PUBLISHED
UNITED STATES COURT OF APPEALS
FOR THE FOURTH CIRCUIT
BENNY IKO, Personal representative
of the Estate of Ifeanyi A. Iko;
LOREEN JONES, as parent and next
friend of her minor son, BI;
CHRISTINE IKO,
Plaintiffs-Appellees,
v.
JAMES SHREVE, Lieutenant; BRIAN
CLISE, Correctional Officer; LYN
DETRICK, Correction Officer; JASON
HARBAUGH, Correctional Officer;
MARK RALEY, Correctional Officer;
ADAM WHITACRE, Correction Officer;
RUSSELL SUDER, Correctional
Sergeant; PAUL F. DEFFIBAUGH,
Correctional Officer, No. 07-7569
Defendants-Appellants,
and
JON P. GALLEY, Warden;
CORRECTIONAL OFFICERS; JOHN DOES
I THROUGH VI, WESTERN
CORRECTIONAL INSTITUTION; MICHAEL
JACOBS, Correction Lieutenant;
ALLAN HALL, Correctional Sergeant;
ROBERT TICHNELL; RUSSELL ZANG,
Correctional Lieutenant, Western
Correctional Institution; LOUISE
GORDON, Chief of Security, Western
Correctional Institution,
Defendants.
2 IKO v. SHREVE
Appeal from the United States District Court
for the District of Maryland, at Greenbelt.
Deborah K. Chasanow, District Judge.
(8:04-cv-03731-DKC)
Argued: May 14, 2008
Decided: August 6, 2008
Before MICHAEL and DUNCAN, Circuit Judges,
and Henry F. FLOYD, United States District Judge for the District
of South Carolina, sitting by designation.
Dismissed in part and affirmed in part by published opinion. Judge
Duncan wrote the opinion, in which Judge Michael and Judge Floyd
joined.
COUNSEL
ARGUED: Stephanie Judith Lane-Weber, OFFICE OF THE
ATTORNEY GENERAL OF MARYLAND, Baltimore, Maryland,
for Appellants. Paul Lawrence Knight, O’CONNOR & HANNAN,
LLP, Washington, D.C., for Appellees. ON BRIEF: Douglas F.
Gansler, Attorney General of Maryland, Baltimore, Maryland, for
Appellants. Gary C. Adler, ROETZEL & ANDRESS, LPA, Washing-
ton, D.C., for Appellees.
OPINION
DUNCAN, Circuit Judge:
Ifeanyi Iko ("Iko"), an inmate in a Maryland state correctional
facility, died after being forcibly removed from his cell and trans-
ferred to another cell by a team of seven correctional officers
("Appellants," or the "officers"). Iko’s estate and family ("Plaintiffs")
IKO v. SHREVE 3
filed this survival and wrongful death action against the officers pur-
suant to 42 U.S.C. § 1983. The officers moved for summary judgment
based on qualified immunity. The district court granted the motion in
part, finding the officers entitled to qualified immunity from suit for
certain of their actions but not for others.
The officers filed this interlocutory appeal, asserting that they are
entitled to qualified immunity from the entire action. Plaintiffs have
moved to dismiss the appeal, arguing that this court has no jurisdic-
tion to consider it because it improperly calls for revisiting whether
there remains a genuine dispute of material fact. We find that the offi-
cers’ appeal, though attempting to re-litigate certain factual disagree-
ments, also presents legal questions regarding whether the officers are
entitled to qualified immunity as to certain claims when the facts are
viewed in the light most favorable to Plaintiffs. We therefore dismiss
the appeal in part, and affirm the district court’s denial of qualified
immunity in part, because Plaintiffs have alleged facts sufficient to
show that the officers violated certain of Iko’s clearly established
Eighth Amendment rights.
I.
A.
"[C]ourts are required to view the facts and draw reasonable infer-
ences in the light most favorable to the party opposing the summary
judgment motion. In qualified immunity cases, this usually means
adopting . . . the plaintiff’s version of the facts." Scott v. Harris, 127
S. Ct. 1769, 1774-75 (2007) (internal quotations, alterations, and cita-
tions omitted). At the same time, "[w]hen opposing parties tell two
different stories, one of which is blatantly contradicted by the record,
so that no reasonable jury could believe it, a court should not adopt
that version of the facts for purposes of ruling on a motion for sum-
mary judgment." Id. at 1776. In particular, where, as here, the record
contains an unchallenged videotape capturing the events in question,
we must only credit the plaintiff’s version of the facts to the extent
it is not contradicted by the videotape. See id.1
1
Indeed, the videotape in Scott proved instrumental in the Court’s deci-
sion. In reversing, the Court found that the plaintiff’s version of the facts
4 IKO v. SHREVE
Iko was a long-time inmate at Western Correctional Institution
("WCI"), a large state prison in Cumberland, Maryland. Iko had been
involved in a number of violent prison incidents dating to 1992,
including assaults on correctional officers and other inmates. Some of
these incidents involved spitting or biting. Iko had also exhibited
intermittent mental-health problems, with "periods of well-adjusted
socially appropriate behavior" punctuated by violent outbursts and
other "reclusive[,] uncooperative behavior." J.A. 219.
The events leading to Iko’s death began on April 28, 2004, when
Iko was involved in a violent altercation with his cellmate. Correc-
tional officers broke up the fight by administering pepper spray to the
inmates.2 Iko was taken for medical attention and moved to an isola-
tion cell.
Appellant Lieutenant James Shreve ("Lt. Shreve"), the manager of
Iko’s housing unit, attempted to initiate conversation with Iko several
times after the fight, but had difficulty communicating with him. Iko
responded to Lt. Shreve’s entreaties by "just kind of star[ing] at
[him]" or by "sp[eaking] to [him] in a language that [Lt. Shreve]
didn’t understand." J.A. 211. Because Lt. Shreve generally found Iko
to be "a very intelligent person to talk to [who] can speak English,"
he became concerned about this behavior and requested that someone
from the prison’s psychology department visit Iko. Id.
Over the next two days, three different members of the prison
mental-health staff visited Iko in his temporary cell. Though Iko was
communicative during some of those visits, his erratic behavior con-
tinued. On April 30, 2004, prison psychologist Dr. Janet Hendershot
was "utterly discredited by the record [such] that no reasonable jury
could have believed him." Id. at 1776. The Court concluded that the
Court of Appeals erred in "rel[ying] on such visible fiction; it should
have viewed the facts in the light depicted by the videotape." Id.
2
Plaintiffs suggest that the officers responding to the fight handled Iko
violently, citing the testimony of several inmates who allegedly wit-
nessed the incident. The district court did not admit this testimony for
purposes of analyzing the officers’ motion for summary judgment, and
that determination has not been challenged on appeal. The testimony is
therefore not properly before us.
IKO v. SHREVE 5
("Dr. Hendershot") recommended that Iko be transferred to a cell in
the "Special Observation Housing" ("SOH") unit, where he would
receive more frequent observation and medical attention. The transfer
was scheduled for later that day.
Just prior to the scheduled transfer, Dr. Hendershot encouraged Iko
to "cuff up" by inserting his wrists through a slot in the cell door, so
that he would not have to be transferred by force. When Iko did not
respond, the chief of security and the prison warden authorized his
transfer to an SOH cell by force.
To effectuate the transfer, prison authorities utilized a procedure
called a "cell extraction." A team of seven correctional officers (the
"extraction team") was assembled, led by Lt. Shreve. Each member
of the team was assigned a role. For example, one officer was respon-
sible for restraining the inmate’s left leg and one his right. The team
members wore protective vests, gas masks, gloves, and hard knee and
elbow caps. Standing prison procedures authorized the extraction
team to use force if and to the extent necessary to secure compliance.
The cell extraction was videotaped pursuant to state policy.3
The general sequence of the events of the transfer is undisputed,
and comports with the depiction in the videotape. Immediately prior
to the cell extraction, Iko lay passively on the floor of his cell. Lt.
Shreve told Iko that he could avoid the use of force if he came to the
door to be handcuffed. When Iko did not move, Lt. Shreve deployed
a pepper spray "fogger"4 for several seconds through the door slot. Lt.
3
According to the Maryland Secretary of the Department of Public
Safety and Correctional Services:
[C]ell extractions are videotaped in order to make a record of the
event. The videotape is reviewed by correctional staff and super-
visors to assess the conduct of the correctional staff and inmate
and, if appropriate, to take any administrative, disciplinary, or
law enforcement actions. The videotape is considered an integral
part of any investigation into the circumstances of the cell
extraction.
J.A. 333.
4
Unlike a personal-use sprayer that releases a targeted stream, the
"foggers" used here disperse the irritant in a diffuse mist.
6 IKO v. SHREVE
Shreve then shut the slot door. When Iko did not come to the door,
Lt. Shreve deployed another short burst of pepper spray. As he was
doing so, Iko came to the door with his wrists and hands in front of
him and his palms face down, and inserted them through the slot
where the pepper spray was being deployed. Several officers then
began shouting that Iko should instead turn around and place his
hands behind his back and through the slot. When Iko did not do so,
Lt. Shreve administered another burst of pepper spray, and Iko again
lay down on the floor of his cell. Lt. Shreve and another officer each
released a final burst of pepper spray and prepared to enter the cell.
Plaintiffs’ expert estimates that pepper spray was dispersed into Iko’s
cell for approximately nine to fourteen seconds in total. It is undis-
puted that at no point during the spraying did Iko respond violently
or in a confrontational manner.
Iko was lying still on the floor when the extraction team entered
his cell. They secured Iko’s arms in metal handcuffs behind his back
and his legs in shackles, and placed a spit mask over his head.5
The extraction team lifted Iko from the floor and, pursuant to stan-
dard cell-extraction procedure, walked him to a nearby medical room
to be examined by a nurse. The nurse explained to Iko that she was
there to offer medical treatment, but he did not respond, instead hang-
5
Though not a standard part of the cell-extraction procedure, the use
of a spit mask may be authorized for an inmate with a history of spitting
or biting. As explained by the district court below, the type of spit mask
used here was
a hood that covers the wearer’s face and head, . . . fastened by
tying two straps under the armpits and through two loops in the
back. A thin cloth, similar to the type used in doctors’ surgical
masks, covers the wearer’s nose and mouth. A mesh material
covers the wearer’s eyes and back of his head. The instructions
accompanying the spit mask read, "WARNING: IMPROPER
USE OF THE SPIT NET MAY CAUSE INJURY OR DEATH
. . . Wearer must be under constant visual supervision and should
NEVER be left unattended. DO NOT USE on anyone that is . . .
having difficulty breathing."
Iko v. Galley, No. 8:04-CV-3731-DKC, slip op. at 38 (D. Md. September
17, 2007) (latter two omissions in original).
IKO v. SHREVE 7
ing his head as the officers propped him up. The nurse can be heard
on the videotape commenting that Iko did not appear to be reacting
to the pepper spray. After about a minute in the medical room, Iko
suddenly collapsed forward. The officers caught him and directed him
into a nearby wheelchair for transportation to the SOH cell. At no
point did the nurse provide any medical treatment to Iko or even come
into physical contact with him. Nor did the officers at any point
remove Iko’s spit mask or decontaminate him or his clothing, which
was saturated with pepper spray. The officers then wheeled Iko to the
SOH cell via an outdoor path, carrying Iko’s legs in front of the
wheelchair to keep them from dragging on the ground.
Upon his arrival at the SOH cell, Iko was placed face down on the
floor. The officers dispatched someone to locate nylon "flex cuffs" to
replace Iko’s metal handcuffs. While the officers waited for the flex
cuffs to arrive, they continued to restrain Iko by kneeling and other-
wise exerting downward pressure on various parts of his body, includ-
ing his head, neck, shoulders, stomach, waist and legs. The videotape
confirms, for example, that at least one officer was kneeling, in hard
knee caps, on Iko’s back and shoulders throughout this process. After
several minutes of constant pressure, the flex cuffs arrived. The offi-
cers exchanged the handcuffs and exited the cell, leaving Iko face
down, arms restrained behind his back, and spit mask still on. After
he left the cell, Lt. Shreve offered that Iko could come to the slot to
have his cuffs removed, but Iko did not respond. The officers left.
Dr. Hendershot instructed the SOH staff to monitor Iko every fif-
teen minutes. At least one SOH staff member observed through the
cell door that Iko was still breathing upon his arrival to the SOH unit.
SOH staff soon became concerned, however, that Iko was not moving
from his face-down position on the cell floor. After initially being
denied permission by prison officials to enter the cell because of Iko’s
alleged dangerousness, SOH staff finally obtained authorization to
enter, finding Iko dead. A state medical examiner later concluded that
Iko "died of Asphyxia (the asphyxia was caused by chemical irritation
of the airways by pepper spray, facial mask placement, compressional
and positional mechanisms)." J.A. 1143.
8 IKO v. SHREVE
B.
As a result of Iko’s death, Plaintiffs sued the officers in the United
States District Court for the District of Maryland pursuant to 42
U.S.C. § 1983, claiming that the officers violated Iko’s Eighth
Amendment right to be free from cruel and unusual punishment.
Plaintiffs also alleged a number of Maryland state constitutional and
tort claims. The officers moved for summary judgment, asserting,
inter alia, qualified immunity from the federal claims. The district
court granted the motion in part, but denied it as to three portions of
Plaintiffs’ § 1983 action: (1) the claim that Lt. Shreve used excessive
force in deploying a large quantity of pepper spray (the "excessive
pepper spray claim"); (2) the claim that the officers used excessive
force in applying pressure to Iko in the SOH cell while waiting for
the flex cuffs to arrive (the "excessive pressure claim"); and (3) the
claim that the officers showed deliberate indifference to Iko’s medical
needs after he was doused in pepper spray (the "medical needs claim").6
The district court held that, for each of these claims, Plaintiffs had
alleged facts that, if proven true, would subject the officers to liability
for violating Iko’s Eighth Amendment rights.7
The officers timely filed this interlocutory appeal, challenging the
district court’s partial denial of their motion for summary judgment.
6
The district court granted qualified immunity to the officers regarding
Plaintiffs’ claims that the use of restraints during the cell extraction con-
stituted excessive force, and that the use of a spit mask and the failure
to provide medical care in the SOH cell showed deliberate indifference
to a medical need. Plaintiffs do not appear to contest these rulings on this
interlocutory appeal. The district court also refused to grant summary
judgment regarding the pendent state law claims. We would be reticent
to review those pendent claims in this appellate posture, see Johnson v.
Jones, 515 U.S. 304, 318 (1995), and the parties do not request that we
do so.
7
The district court likewise denied summary judgment to Lt. Shreve on
Plaintiffs’ claim that he is liable as a supervisor for the actions of the rest
of the officers. The parties do not separately argue this claim on appeal,
instead assuming it rises and falls with the officers’ liability for the same
acts. We therefore decline to revisit the district court’s denial of sum-
mary judgment on this claim.
IKO v. SHREVE 9
Plaintiffs moved to dismiss the appeal, arguing that this court does not
have jurisdiction to entertain it under Johnson v. Jones, 515 U.S. 304.
We address Plaintiffs’ jurisdictional challenge first, as we must. See
Bender v. Williamsport Area Sch. Dist., 475 U.S. 534, 541 (1986)
("[E]very federal appellate court has a special obligation to satisfy
itself . . . of its own jurisdiction." (internal quotations omitted)).
II.
A.
The doctrine of qualified immunity protects government officials
from liability for violations of constitutional rights that were not
clearly established at the time of the challenged conduct. Harlow v.
Fitzgerald, 457 U.S. 800, 818 (1982). Qualified immunity is an "im-
munity from suit rather than a mere defense to liability; and like an
absolute immunity, it is effectively lost if a case is erroneously per-
mitted to go to trial." Mitchell v. Forsyth, 472 U.S. 511, 526 (1985).
Thus, though interlocutory appeals are generally disallowed, "a dis-
trict court’s denial of a claim of qualified immunity, to the extent that
it turns on an issue of law, is [immediately appealable] notwithstand-
ing the absence of a final judgment," under the collateral-order doc-
trine. Id. at 530 (emphasis added); see also Behrens v. Pelletier, 516
U.S. 299, 301 (1996); Johnson v. Jones, 515 U.S. at 313; Winfield v.
Bass, 106 F.3d 525, 528 (4th Cir. 1997) (en banc).
Plaintiffs argue that we lack jurisdiction to hear this appeal because
none of the questions presented on appeal "turns on an issue of law"
related to qualified immunity. See id. at 530. Instead, Plaintiffs con-
tend, the officers would have us revisit the district court’s assessment
of whether genuine issues of material fact make summary judgment
inappropriate. Since Johnson v. Jones prevents such an inquiry, see
515 U.S. at 314, Plaintiffs conclude that we lack jurisdiction over the
officers’ entire appeal.
Plaintiffs are correct that we lack jurisdiction to re-weigh the evi-
dence in the record to determine whether material factual disputes
preclude summary disposition. See id., 515 U.S. at 319-20 ("[A]
defendant, entitled to invoke a qualified immunity defense, may not
appeal a district court’s summary judgment order insofar as that order
10 IKO v. SHREVE
determines whether or not the pretrial record sets forth a ‘genuine’
issue of fact for trial."); see also Buonocore v. Harris, 65 F.3d 347,
360 (4th Cir. 1995). That does not mean, however, that there may not
remain purely legal questions relating to qualified immunity that can
and should be resolved at this stage in the litigation. See Johnson v.
Jones, 515 U.S. at 318 (pointing out that, had the district court "deter-
mined that beating respondent violated clearly established law, peti-
tioners could have sought review of that determination"). This court,
sitting en banc, summarized the distinction:
[W]e possess jurisdiction to consider an appeal from a deci-
sion of a district court rejecting a government official’s
claim of entitlement to qualified immunity to the extent that
the official maintains that the official’s conduct did not vio-
late clearly established law. Alternatively, to the extent that
the appealing official seeks to argue the insufficiency of the
evidence to raise a genuine issue of material fact—for
example, that the evidence presented was insufficient to
support a conclusion that the official engaged in the particu-
lar conduct alleged—we do not possess jurisdiction . . . to
consider the claim and, therefore, may not do so absent
some independent jurisdictional base. In other words, we
possess no jurisdiction over a claim that a plaintiff has not
presented enough evidence to prove that the plaintiff’s ver-
sion of the facts actually occurred, but we have jurisdiction
over a claim that there was no violation of clearly estab-
lished law accepting the facts as the district court viewed
them.
Winfield, 106 F.3d 525, 529-30 (4th Cir. 1997) (internal citations
omitted).
As Winfield makes plain, our first task on appeal is to separate the
district court’s legal conclusions regarding entitlement to qualified
immunity, over which we have jurisdiction, from its determinations
regarding factual disputes, over which we do not. The task is compli-
cated by the fact that nearly every "decision of a district court denying
a governmental official’s request for summary judgment based upon
qualified immunity will encompass" both a factual and a legal deter-
mination—"that the facts are sufficiently controverted to warrant a
IKO v. SHREVE 11
trial and that the legal right purportedly violated was clearly estab-
lished." Id. at 529 (emphasis added). We must therefore carefully
"consider the order entered by the district court to assess the basis for
its decision." Id. (citing Johnson v. Jones, 515 U.S. at 319). If sum-
mary judgment was denied as to a particular claim solely because
there is a genuine issue of material fact, that claim is not immediately
appealable and we lack jurisdiction to consider it. If instead summary
judgment was denied as to a particular claim because the officers
were found, on the facts viewed most favorably to Plaintiffs, to have
violated Iko’s clearly established constitutional rights, that claim is
properly before us.
Once the district court’s decision has been so parsed, we must also
examine the parties’ appellate arguments to ensure that we only con-
sider those legal questions formally raised on appeal. See id. at 530.8
It is to the application of these jurisdictional principles to this appeal
that we now turn.
B.
We must assess, for each of the three claims presented on
appeal—the excessive pepper spray claim, the excessive pressure
claim, and the medical needs claim—whether the district court
decided the claim based on qualified immunity, and if so, whether the
officers challenge that legal determination on appeal.
1.
We begin with the district court’s analysis regarding the excessive
pepper spray claim. The court found that a number of genuine issues
of fact remained unresolved, including whether Iko complied with the
officers’ orders during the extraction. See Iko v. Galley, No. 8:04-CV-
8
This step is particularly important in interlocutory appeals regarding
qualified immunity, because a party can so focus its appellate argument
on factual disputes that it fails to raise a single legal question appropriate
for appellate review. See, e.g., Johnson v. Jones, 515 U.S. at 314 (dis-
missing appeal because the Court could not "find any ‘separate’ [legal]
question—one that is significantly different from the fact-related legal
issues that likely underlie the plaintiff[s’] claim on the merits").
12 IKO v. SHREVE
3731-DKC, slip op. at 27, 60. This finding is precisely the type of fac-
tual determination over which we lack jurisdiction at this stage in the
litigation. See Johnson v. Jones, 515 U.S. at 314.
The district court also held, however, that "[t]he existing case law
. . . gave [Lt.] Shreve fair warning that multiple applications of pepper
spray against a passive inmate who made at least some attempt at
compliance, received no subsequent decontamination, and was forced
to wear a spit mask, was unlawful," and that Lt. Shreve was therefore
"not entitled to qualified immunity for his use of pepper spray." Iko
v. Galley, No. 8:04-CV-3731, slip op. at 32 (emphasis added). This
determination is plainly legal in nature, and immediately appealable
under the collateral-order doctrine. See Mitchell, 472 U.S. at 530.
Our jurisdictional analysis does not end there, however, as we must
assure ourselves that the officers raised the appropriate legal question
on appeal, and did not merely focus on rehashing the factual dispute
below. We agree with Plaintiffs that the officers’ appellate argument
on this claim asks us to revisit a number of factual disputes. As
explained in their briefs and extensively at oral argument, however,
the officers also argue that the right to be free from an excessive
deployment of force by pepper spray was not clearly established—a
question of law that does not require us to revisit any factual disputes.
We possess jurisdiction over such a legal determination. See Johnson
v. Jones, 515 U.S. at 316.9
9
We do not find Plaintiffs’ citation to Buonocare to mandate a differ-
ent result. In that case, the district court had denied qualified immunity
to two officers who had searched the plaintiff’s home. On appeal, this
court held that the plaintiff had alleged the violation of a right protected
by the Fourth Amendment, and that the right was clearly established,
rendering a denial of qualified immunity appropriate. See 65 F.3d at 356-
57. This court expressly did not consider the officers’ appeals insofar as
they sought review of whether the record set forth a genuine issue of fact.
See id. at 361. Instead of affirming the district court’s denial of qualified
immunity, however, this court dismissed the appeals. See id.
Plaintiffs suggest that the disposition in Buonocare, namely that the
appeals were dismissed instead of the order below being affirmed, con-
trols the disposition here. Viewed holistically, however, Buonocare sup-
ports the approach we take today: deciding the legal questions related to
IKO v. SHREVE 13
Having parsed the district court’s findings and conclusions regard-
ing the excessive pepper spray claim and scrutinized the officers’
arguments made on appeal, we find a legal question that is ripe for
our review. The pure issue of law is whether, "accepting the facts as
the district court viewed them," Winfield, 106 F.3d at 530, and as sup-
ported by the videotape, see Scott, 127 S. Ct. at 1776, Lt. Shreve’s
continued use of pepper spray against Iko violated his clearly estab-
lished constitutional right to be free from excessive force.
2.
With respect to the medical needs claim, the district court’s order
likewise comprises appealable conclusions of law and non-appealable
determinations regarding facts. For example, the court found that
"Plaintiffs have set forth sufficient proof to raise a genuine issue of
material fact regarding whether the extraction team . . . consciously
disregarded a known risk of harm to [Iko] by failing to insist that he
be examined." Iko v. Galley, No. 8:04-CV-3731-DKC, slip op. at 42-
43. As before, we have no jurisdiction to determine whether Plaintiffs
have indeed come forward with sufficient facts to avoid summary
judgment. See Johnson v. Jones, 515 U.S. at 314. The district court,
however, also went on to hold that, in light of its reading of "existing
case law[,] . . . [the officers are not] entitled to qualified immunity
under these circumstances." Iko v. Galley, No. 8:04-CV-3731-DKC,
slip op. at 43-44 (emphasis added). Again, on appeal, the officers
argue about the contours of their legal duty to address Iko’s medical
needs and whether existing case law clearly established that he be
treated, on the facts accepted by the district court. There is, therefore,
a legal question appropriate for our review at this time: whether the
officers’ failure to secure medical care for Iko after he was doused in
pepper spray and collapsed in the medical room violated Iko’s clearly
established right to have his medical needs addressed.
qualified immunity without passing on the district court’s decision that
factual disputes persist. Furthermore, to the extent that Buonocare can be
said to be inconsistent with our hearing the instant appeals, the proper
procedures governing cases in this posture were clarified one year later
by the Supreme Court’s decision in Behrens, 516 U.S. 299 (1996) (find-
ing jurisdiction and reversing), as construed by this court sitting en banc
in Winfield, 106 F.3d 525 (4th Cir. 1997) (same).
14 IKO v. SHREVE
3.
Finally, with respect to the excessive pressure claim, Plaintiffs
insist that the district court failed to consider the officers’ qualified
immunity defense at all, instead basing its finding solely on the exis-
tence of factual disputes regarding the level of force necessary to
restrain Iko in the SOH cell. Because the district court so limited its
analysis on this claim, Plaintiffs contend, there is no related legal
question for the officers to appeal at this time. We agree.
The district court did not construe the officers’ filings as raising the
defense of qualified immunity with respect to this aspect of Plaintiffs’
claims. See Iko v. Galley, No. 8:04-CV-3731-DKC, slip op. at 33. It
cabined its analysis, therefore, to a direct review, without the overlay
of qualified-immunity doctrine, of whether a factual dispute made
summary judgment inappropriate. The court noted that, on the one
hand, the officers may have restrained Iko "in a good faith effort to
maintain control while flex cuffs were located to replace his metal
handcuffs." Id. at 35. On the other hand, the court pointed out, it was
not clear why the flex cuffs were not more readily available, and why
such force was required when Iko "was not resisting and had been
passive throughout the [transfer]." Id. The officers alleged that Iko
had a history of performing feats of great strength in resisting
restraints, and that their use of pressure was "commensurate with the
officers’ need for security." Id. at 36. The district court concluded that
"it is not possible to determine as a matter of law whether [the offi-
cers] inflicted unnecessary and wanton pain and suffering." Id. at 35
(internal quotations omitted). "Given the conflicting inferences from
the record," the court denied summary judgment as to this aspect of
Plaintiffs’ claims. Id. at 36.
We find that the district court’s analysis can only be viewed as a
determination that factual disputes persisted, rendering summary
judgment inappropriate. The officers’ protestations that the district
court misread their filings, and that they had raised a qualified immu-
nity defense to this claim, even if accurate, do not change the fact that
we may only review those legal issues decided by the district court
and subsequently argued on appeal. See Winfield, 106 F.3d at 529.
Because the district court denied, by virtue of conflicting factual
inferences, summary judgment on the claim that the application of
IKO v. SHREVE 15
pressure to Iko constituted excessive force, there is no legal issue on
appeal on which we could base jurisdiction. Therefore, this aspect of
the officers’ appeal must be dismissed.
In sum, we are left with two legal questions, one regarding the
excessive pepper spray claim and the other regarding the medical
needs claim. It is to these two legal questions that we now turn.
III.
We review de novo the district court’s partial denial of the officers’
motion for summary judgment based on qualified immunity. See
Johnson v. Caudill, 475 F.3d 645, 650 (4th Cir. 2007).
Under the doctrine of qualified immunity, "government officials
performing discretionary functions generally are shielded from liabil-
ity for civil damages insofar as their conduct does not violate clearly
established statutory or constitutional rights of which a reasonable
person would have known." Harlow, 457 U.S. at 818. A court first
determines whether any right was violated, and, if so, whether that
right was clearly established. See Miller v. Prince George’s County,
Md., 475 F.3d 621, 626-27 (4th Cir. 2007).
Officials’ actions violate a "clearly established" constitutional right
only if, "in the light of preexisting law[,] the unlawfulness" of the
actions is apparent. Anderson v. Creighton, 483 U.S. 635, 640 (1987).
"We do not require of such officials the legal knowledge culled ‘by
the collective hindsight of skilled lawyers and learned judges,’ but
instead only ‘the legal knowledge of an objectively reasonable official
in similar circumstances at the time of the challenged conduct.’"
Johnson v. Caudill, 475 F.3d at 650 (quoting Jackson v. Long, 102
F.3d 722, 731 (4th Cir. 1996)). "Officials are not liable for bad
guesses in gray areas; they are liable for transgressing bright lines."
Maciariello v. Sumner, 973 F.2d 295, 298 (4th Cir. 1992). In the end,
the lodestar for whether a right was clearly established is whether the
law "gave the officials ‘fair warning’ that their conduct was unconsti-
tutional." Ridpath v. Bd. of Governors Marshall Univ., 447 F.3d 292,
313 (4th Cir. 2006) (quoting Hope v. Pelzer, 536 U.S. 730, 741
(2002)).
16 IKO v. SHREVE
Here, Plaintiffs argue that the officers violated Iko’s clearly estab-
lished Eighth Amendment rights to be free from excessive force and
to receive adequate medical care, and are thus not entitled to qualified
immunity on their § 1983 claims. The Eighth Amendment prohibits
the infliction of "cruel and unusual punishments." U.S. Const. amend.
VIII. In the prison context, it "protects inmates from inhumane treat-
ment and conditions while imprisoned." Williams v. Benjamin, 77
F.3d 756, 761 (4th Cir. 1996). An inmate’s Eighth Amendment claim
involves a subjective component and an objective component. "Spe-
cifically, Eighth Amendment analysis necessitates inquiry as to
whether the prison official acted with a sufficiently culpable state of
mind (subjective component) and whether the deprivation suffered or
injury inflicted on the inmate was sufficiently serious (objective com-
ponent)." Id. These requirements spring from the text of the amend-
ment itself; absent intentionality, a condition imposed on an inmate
cannot properly be called "punishment," and absent severity, such
punishment cannot be called "cruel and unusual." See Wilson v.
Seiter, 501 U.S. 294, 298-300 (1991). The specific showings neces-
sary to prove each component, however, "var[y] according to the
nature of the alleged constitutional violation." Hudson v. McMillian,
503 U.S. 1, 5 (1992). We therefore flesh out the components further
in the context of each of the two Eighth Amendment violations before
us.
A.
First, Plaintiffs claim that the amount of pepper spray used during
the extraction constituted excessive force. The district court denied
Lt. Shreve’s claim of qualified immunity on this claim, finding that
Lt. Shreve violated Iko’s clearly established right to be free from
excessive force. We agree.
1.
An injury is sufficiently serious for purposes of the objective com-
ponent of an Eighth Amendment excessive force claim as long as it
rises above the level of de minimus harm. Hudson, 503 U.S. at 9-10
(rejecting the argument that "minor" injuries are not actionable).10
10
This rule comports with "society’s expectations" regarding the use of
force: if an inmate can show the malevolence required to prove the sub-
IKO v. SHREVE 17
Lt. Shreve argues that Iko did not suffer at all from the pepper
spray. He contends that pepper spray is "a non-lethal gas which is
widely available" and that Iko "showed no symptoms of distress or
pain." Appellants’ Br. at 33. The state’s own medical examiner, how-
ever, suggested that the pepper spray may have contributed to Iko’s
asphyxia and death. The district court, recognizing these conflicting
accounts, found that issues of material fact remained regarding
whether and to what extent the pepper spray contributed to Iko’s
death. Of course, we can only resolve the legal question here:
whether, in the light most favorable to Plaintiffs, Iko’s injury from the
use of such quantity of pepper spray rose above the level of de mini-
mus harm. Accepting as we must that Plaintiffs might be able to
prove that Iko’s death resulted from the excessive use of pepper
spray, we easily conclude that Plaintiffs satisfy the objective compo-
nent of their excessive force claim at this stage in the litigation.
Plaintiffs must also show that Lt. Shreve acted with a "sufficiently
culpable state of mind" (the subjective component). Wilson, 501 U.S.
at 298. The state of mind required in excessive force claims is "wan-
tonness in the infliction of pain." Whitley v. Albers, 475 U.S. 312, 322
(1986). Put differently, the "core judicial inquiry" regarding the sub-
jective component of an excessive force claim is "whether force was
applied in a good-faith effort to maintain or restore discipline, or
maliciously and sadistically to cause harm." Hudson, 503 U.S. at 7.
The Supreme Court has set forth four non-exclusive factors to
assist courts in assessing whether an officer has acted with "wanton-
ness": (1) "the need for the application of force"; (2) "the relationship
between the need and the amount of force that was used"; (3) the
extent of any reasonably perceived threat that the application of force
was intended to quell; and (4) "any efforts made to temper the sever-
ity of a forceful response." Whitley, 475 U.S. at 321 (internal quota-
tions omitted) (applying these factors in a prison riot case); see
Hudson, 503 U.S. at 7 (extending the Whitley standard "to all allega-
jective component, the actual injury suffered as a result of such malevo-
lence need not be great for "contemporary standards of decency [to be]
violated." Id. at 9.
18 IKO v. SHREVE
tions of excessive force"). We now consider those factors in light of
the circumstances before us.
With respect to the first criterion, there is no question that some
dispersal of pepper spray was warranted in carrying out the cell
extraction. The Maryland Division of Corrections Directive governing
the use of force, DCD 110-23 (the "Use of Force Directive"), permits
the use of pepper spray in a cell extraction "to incapacitate the inmate
prior to committing staff" to the procedure. J.A. 588. Plaintiffs con-
cede that pepper spray is a commonly used method of incapacitating
inmates for this purpose. Lt. Shreve can therefore demonstrate that
there was a "need for the application of force" because Iko did not ini-
tially comply with orders to "cuff up."
We next consider the relationship between the need for force and
the amount of force that was used. Lt. Shreve testified that he was
trained to use pepper spray until the inmate complied with orders.
This contention cannot help Lt. Shreve on appeal, however, because
the district court found that a genuine issue of material fact remained
regarding whether Iko’s offering of his hands through the door slot
constituted "compliance" with the order to "cuff up" or not. As evi-
dent in the videotape and as found by the district court, Iko remained
docile and passive throughout the cell extraction, and proffered his
hands through the door, albeit in front of rather than behind him. In
the light most favorable to Plaintiffs, then, Lt. Shreve deployed sev-
eral additional bursts of pepper spray even after Iko attempted to
comply with orders. Moreover, the Use of Force Directive governing
the extraction unequivocally states that "[o]nly the minimal amount of
chemical agents necessary shall be used in a given situation." J.A. 590
(emphasis in original). Under the second Whitley factor, these facts
tend to show that the amount of force used was disproportionate to
the need for force.
Likewise, the threat reasonably perceived by Lt. Shreve must have
decreased as the spraying continued. Despite Lt. Shreve’s character-
ization of Iko as "recalcitrant," Appellants’ Br. at 28, Iko never
reacted violently or otherwise became confrontational. Indeed, Lt.
Shreve’s final burst of pepper spray was deployed after Iko had lain
down on the floor of his cell. The third factor therefore also favors
Plaintiffs.
IKO v. SHREVE 19
Finally, far from trying to ameliorate the effects of the pepper
spray, Lt. Shreve and the extraction team never changed Iko’s cloth-
ing, never removed the spit mask covering his nose and mouth, and
never secured him any medical treatment for the exposure. As dis-
cussed more fully below, this failure to provide medical treatment
directly contradicted the Use of Force Directive, which states that
"[m]edical treatment shall be given to all persons exposed to chemical
agents." J.A. 590. The fourth factor—any efforts made to temper the
severity of a forceful response—thus favors Plaintiffs as well.
All told, these factors combine to provide an inference that Lt.
Shreve wantonly inflicted pain upon Iko by deploying an excessive
amount of pepper spray. As a matter of law, then, the facts viewed
in the light most favorable to Plaintiffs support a finding that Lt.
Shreve violated Iko’s constitutional right to be free from excessive
force.
2.
Lt. Shreve can still enjoy qualified immunity from suit if he can
show that this constitutional right was not clearly established at the
time of Iko’s death. The district court found that the right here was
clearly established. We agree.
We held over a decade ago that "[i]t is generally recognized that
it is a violation of the Eighth Amendment for prison officials to use
mace, tear gas or other chemical agents in quantities greater than
necessary or for the sole purpose of infliction of pain." Williams, 77
F.3d at 763 (internal quotations omitted) (emphasis added). Notwith-
standing this clear pronouncement, Lt. Shreve attempts to distinguish
Williams on the grounds that it involved the use of mace, not pepper
spray. Williams’s use of "or other chemical agents," id., plainly
reaches the use of pepper spray, and evinces the principle that
"‘[c]learly established’ . . . includes not only already specifically adju-
dicated rights, but those manifestly included within more general
applications of the core constitutional principle invoked." Pritchett v.
Alford, 973 F.2d 307, 314 (4th Cir. 1992). Because Lt. Shreve had
"‘fair warning’ that [his] conduct was unconstitutional," Ridpath, 447
F.3d at 313, we hold that Iko’s right to be free from excessive use of
20 IKO v. SHREVE
pepper spray was clearly established, preventing an award of qualified
immunity to Lt. Shreve on the facts before us.11
B.
Next, we turn to Plaintiffs’ claim that the officers demonstrated
deliberate indifference to Iko’s medical needs when they failed to pro-
vide him with medical treatment after he was pepper sprayed. The
district court denied the officers qualified immunity on this claim,
noting that the officers’ training and existing case law at the time
required decontamination after the use of such an irritant. We agree.
Claims that prison officials failed to provide adequate medical care
to an inmate, like excessive force claims, sound in the Eighth Amend-
ment. Williams, 77 F.3d at 761. Again, there is a subjective and an
objective component to showing a violation of the right. The plaintiff
must demonstrate that the officers acted with "deliberate indifference"
(subjective) to the inmate’s "serious medical needs" (objective).
Estelle v. Gamble, 429 U.S. 97, 104 (1976).
Beginning with the objective component, a "serious . . . medical
need" is "one that has been diagnosed by a physician as mandating
treatment or one that is so obvious that even a lay person would easily
recognize the necessity for a doctor’s attention." Henderson v. Shea-
han, 196 F.3d 839, 846 (7th Cir. 1999) (internal quotations omitted).
The officers argue that Iko did not appear fazed by the pepper spray,
and therefore Iko did not have a serious medical need at the time he
11
Lt. Shreve’s citation to Grayson v. Peed, 195 F.3d 692 (4th Cir.
1999), is unavailing. In Grayson, pepper spray was deployed once
against an inmate when he attempted to crawl out of his cell, and again
the next day when he tried to escape his cell by "jamming his foot in the
doorway." Id. at 694. Though the inmate later died from an ensuing
struggle with prison officials, this court found that the officers had not
used excessive force against the inmate. Id. at 696. Aside from the pas-
sage of time between the two uses of pepper spray, Grayson differs sub-
stantially from this case because the inmate indisputably remained
belligerent and kept trying to escape. Id. at 694. Grayson hardly suggests
that five bursts of pepper spray are appropriate for an inmate who had
not become confrontational.
IKO v. SHREVE 21
was in the medical room. This argument fails for two reasons. First,
the state’s own medical examiner credited the pepper spray as con-
tributing to Iko’s death of asphyxia. It seems axiomatic that an inmate
who dies in this way must have suffered some serious medical need
that caused his death. Second, even a lay person would infer from
Iko’s medical room collapse that he was in need of medical attention.
We conclude that Iko suffered from an objectively serious medical
need after the pepper-spraying.
Plaintiffs must also show the subjective component—deliberate
indifference. An officer is deliberately indifferent only when he
"knows of and disregards" the risk posed by the serious medical needs
of the inmate. Farmer v. Brennan, 511 U.S. 825, 837 (1994). The
subjective component therefore sets a particularly high bar to recov-
ery. See Grayson, 195 F.3d at 695 ("Deliberate indifference is a very
high standard—a showing of mere negligence will not meet it.").
This court has identified two slightly different aspects of an offi-
cial’s state of mind that must be shown in order to satisfy the subjec-
tive component in this context. First, actual knowledge of the risk of
harm to the inmate is required. Young v. City of Mt. Ranier, 238 F.3d
567, 575-76 (4th Cir. 2001); see also Parrish ex rel. Lee v. Cleveland,
372 F.3d 294, 303 (4th Cir. 2004) ("It is not enough that the officer[ ]
should have recognized it."). Beyond such knowledge, however, the
officer must also have "recognized that his actions were insufficient"
to mitigate the risk of harm to the inmate arising from his medical
needs. Parrish, 372 F.3d at 303 (emphasis added).
With respect to knowledge of the risk of harm to Iko, the officers
here undoubtedly possessed actual knowledge of the risk to Iko posed
by their use of pepper spray. The Use of Force Directive itself
requires that "medical treatment shall be given to all persons exposed
to chemical agents." J.A. 590 (emphasis added). The chief of security
at the WCI confirms that it is standard procedure for an inmate to be
seen by a nurse and have his vital signs checked after a cell extrac-
tion. This court has also recognized that decontamination is the usual
remedy for the pain associated with chemical irritants. Williams, 77
F.3d at 763.
The officers here were all aware that Iko had been doused in pep-
per spray; they had witnessed Lt. Shreve deploy it just minutes earlier
22 IKO v. SHREVE
and had seen its effects first-hand when they entered the cell, with
their gas masks on, to shackle Iko. Most significantly, the officers
witnessed Iko collapse forward in the medical room, caught him, and
directed him into a wheelchair. It is inconceivable that the officers
here were not subjectively aware, even as lay persons not trained in
medicine, that Iko was in need of medical attention after his collapse.
As explained above, however, under the high "deliberate indiffer-
ence" standard, even subjective knowledge of Iko’s medical needs is
not enough; the officers must have actually known that their response
was inadequate to address those needs (the second part of the subjec-
tive component). Parrish, 372 F.3d at 303. It is this element that the
officers most vociferously challenge on appeal, contending that they
were entitled to defer to the actions and medical decisions of the
nurse. In essence, the officers argue that they believed they could del-
egate Iko’s medical care to the nurse and be relieved of any further
duty to monitor Iko’s health. The officers cite to Miltier v. Beorn, 896
F.2d 848 (4th Cir. 1990), and to Spruill v. Gillis, 372 F.3d 218 (3d
Cir. 2004), for support. As explained by the Third Circuit:
If a prisoner is under the care of medical experts . . ., a non-
medical prison official will generally be justified in believ-
ing that the prisoner is in capable hands. This follows natu-
rally from the division of labor within a prison. Inmate
health and safety is promoted by dividing responsibility for
various aspects of inmate life among guards, administrators,
physicians, and so on. Holding a non-medical prison official
liable in a case where a prisoner was under a physician’s
care would strain this division of labor.
Id. at 236; see also Miltier, 896 F.2d at 854-55 (finding prison offi-
cials not subject to supervisory liability for conduct of subordinate
medical staff when supervisors had "closely monitored" the health of
the inmate).
This case does not, however, present a situation in which prison
officials might be held liable for the actions or inactions of a medical
professional. The officers face liability for their own decisions, made
while Iko was in their charge. The proposition elucidated in Spruill
and Miltier—that a distant prison official can generally rely on his
IKO v. SHREVE 23
medical staff’s examinations and diagnoses—is therefore irrelevant to
the issue before us.
This case is further distinguishable from the precedent on which
the officers seek to rely because it is undisputed that Iko received no
medical treatment whatsoever. There was therefore no medical opin-
ion to which the officers could have deferred. Instead, the question
here is whether the officers should be permitted to defer to the nurse’s
apparent decision not to treat Iko after he was pepper sprayed, and
after he collapsed in their presence. The officers contend that Iko’s
silence in the face of the nurse’s questioning constituted a refusal of
medical treatment. Whether Iko’s silence constituted a refusal is a
question of fact that we cannot resolve, however. In the light most
favorable to Plaintiffs, the facts show that Iko was nonresponsive to
the nurse’s inquiries, then collapsed in plain sight, but never received
medical treatment.
The officers also contend that Iko was able to breathe fresh air for
a few minutes while he was wheeled from the medical room to the
SOH unit via an outdoor path, and that this provided an adequate
alternative to receiving actual medical care. The Use of Force Direc-
tive provides that "[m]edical treatment shall be given to all persons
exposed to chemical agents," J.A. 590 (emphasis added), and does not
allow for "fresh air" to be substituted for medical treatment. We note
as well that it is undisputed that, during Iko’s foray outside, he still
wore a skin-tight, pepper-spray soaked spit mask over his mouth and
nose.
All told, viewing the facts in the light most favorable to Plaintiffs,
the officers’ actions—namely, shuttling Iko into a wheelchair upon
his collapse without seeking any medical evaluation or even decon-
tamination—were an insufficient response to Iko’s serious medical
needs. Because those needs were objectively serious and the officers
were subjectively aware of that seriousness and chose to do nothing,
the officers’ actions on these facts violated Iko’s Eighth Amendment
right to adequate medical care.12
12
Neither can the officers succeed in showing that this right was not
clearly established. The right to adequate medical care had already been
carefully circumscribed in the caselaw, with its objective and subjective
components spelled out to ensure that only the most wanton indifference
goes punished. The officers therefore had "‘fair warning’ that their con-
duct was unconstitutional." Ridpath, 447 F.3d at 313.
24 IKO v. SHREVE
The district court therefore properly denied the officers’ assertion
of qualified immunity as to this claim.
IV.
In sum, we find that we lack jurisdiction over one of the three
claims presented on appeal, the claim that the application of pressure
to Iko in the SOH cell constituted excessive force, because the district
court denied summary judgment on the sole ground that issues of
material fact remained. With respect to the other two claims, we
affirm the district court’s denial of qualified immunity, and thus sum-
mary judgment, to Lt. Shreve regarding the amount of pepper spray
used against Iko and to the officers regarding their deliberate indiffer-
ence to Iko’s medical needs. The appeal is therefore
DISMISSED IN PART AND AFFIRMED IN PART.