# Mateo v. Waltz

> District Court, M.D. Pennsylvania · September 28, 2023

URL: https://www.frixlaw.com/law-library/cases/10413712

## Case

- **Court:** District Court, M.D. Pennsylvania
- **Decided:** September 28, 2023
- **Opinion:** 100trialcourt
- **Cited by:** 0 later opinions in the Frix Law Library

## Citator (automated)

- No negative treatment found by the automated citator. That is not the same as a confirmation that the case is good law; read the citing cases.
- Full citator and citing cases: https://www.frixlaw.com/law-library/cases/10413712

## How later opinions describe it (automated extraction)

- finding a reasonable jury could conclude that the use of force sufficient to dislocate arrestee’s shoulder was excessive
- noting that it is not proper, on summary judgment, to consider evidence that is not admissible at trial

## Opinion text

UNITED STATES DISTRICT COURT
MIDDLE DISTRICT OF PENNSYLVANIA

FRANCISCO MATEO, #QE7489,

Plaintiff, CIVIL ACTION NO. 3:21-cv-00552

v. (SAPORITO, M.J.)

SERGEANT DANIEL WALTZ,
et al.,

Defendants.

MEMORANDUM
This is a fee-paid § 1983 federal civil rights action for damages,
brought by an incarcerated plaintiff, Francisco Mateo, appearing through
counsel. The plaintiff claims that the defendants—Sergeant Daniel
Waltz, Correctional Officer Dustin Gonzalez, and Correctional Officer
Chris Wolfe—used excessive force in connection with a cell extraction
that occurred on May 14, 2019. As a result of a so-called “bend over” or
“escort” restraint technique used by the defendants on Mateo while he
was restrained in handcuffs and incapacitated by OC spray,1 Mateo

1 “OC spray, commonly known as pepper spray, is a nonlethal
aerosol used to blind and incapacitate temporarily in order to subdue a
subject for arrest.” , 934 F.3d 1169, 1173 n.1
(11th Cir. 2019); , 250 F.3d 843, 849 (4th Cir. 2001)
(describing the physiological effects of OC spray).
suffered a serious injury to his shoulder, which ultimately required

surgical treatment, and which nevertheless caused residual permanent
impairment.
At the time of this incident, Mateo was a pretrial detainee,

incarcerated at the Lebanon County Correctional Facility. His cellmate—
who also happened to be his brother, Gabriel Jimenez—refused to comply
with staff instructions to “secure in his cell.”2 As a consequence, Waltz

ordered that Jimenez be relocated to a medical isolation cell, and a seven-
member cell extraction team, lead by Waltz, was assembled.
Due to Jimenez’s continued noncompliance,3 Waltz deployed OC

spray into the cell to gain compliance. After a few minutes, both Jimenez
and Mateo submitted to being handcuffed through the port in their cell
door.

Mateo and his cellmate were then removed from their cell by

2 Based on the context, we understand this to mean that Jimenez
refused to turn around and place his hands behind his back and through
a port in the cell door for correctional staff to secure with handcuffs.
3 The defendants contend that Mateo was also noncompliant, but
he has disputed this, citing his own deposition testimony, in which he
testified that the conversation was strictly between Waltz and Jimenez,
and that he had previously expressed his willingness to comply to
another correctional officer at the cell door.
members of the cell extraction team to be escorted to decontamination

closets. Mateo was physically removed from the cell and escorted by
Gonzalez and Wolfe, with Gonzalez on Mateo’s right-hand side and Wolfe
on Mateo’s left-hand side. The escorting correctional officers used a “bend

over” or “escort” hold. At their depositions, the defendants testified that
the purpose of this technique is to keep the inmate off balance and to
keep the escorting officers balanced, ensuring the safety of the escorting

officers. They testified that the technique is utilized by the officers
bending the handcuffed inmate over at the waist and pressing down on
his shoulders, thereby lifting the inmate’s elbows and keeping the inmate

bent over as he walks.
Gonzalez and Wolfe utilized the “bend over” hold over a period of
about one minute as they escorted Mateo from his cell to a

decontamination closet. While being escorted, Mateo was subdued and
fully compliant with instructions. Waltz ordered the escorting officers to
bend him over twice, and then a few moments later, he ordered them to

“bend him down more.” At his deposition, Mateo testified that, at some
point while being escorted to the decontamination closet, he told the
guards that he was hurt, saying “Ow, it hurts.”
After decontamination, Mateo was escorted to a medical isolation

cell. He was not seen by medical staff, however, until four days later.
Beginning the day after the cell extraction, Mateo experienced
recurrent and painful shoulder dislocations. The first time his shoulder

dislocated was the day after the cell extraction, when he tried to do
pushups. He began to complain about the injured shoulder and was seen
by medical staff. Within ten days after the cell extraction, he was seen by

an orthopedic physician. After medical imaging, he was diagnosed with a
glenoid labral tear and possible Bankart lesion. By November 2019, he
underwent surgery to repair the injured shoulder.4

Among the exhibits submitted into the record on summary
judgment is a handheld digital video recording of the cell extraction. It
does not depict all of the events concerning Mateo, however, as the

camera operator followed Jimenez when the two inmates were split up,
about one minute after the cell extraction.
I. LEGAL STANDARD

Under Rule 56 of the Federal Rules of Civil Procedure, summary

4 We note that the complaint alleges that Mateo continues to have
a significantly impaired range of motion in the injured shoulder, post-
surgery.
judgment should be granted only if “there is no genuine dispute as to any

material fact and the movant is entitled to judgment as a matter of law.”
Fed. R. Civ. P. 56(a). A fact is “material” only if it might affect the outcome
of the case. , 477 U.S. 242, 248 (1986). A

dispute of material fact is “genuine” only if the evidence “is such that a
reasonable jury could return a verdict for the non-moving party.”
, 477 U.S. at 248. In deciding a summary judgment motion, all

inferences “should be drawn in the light most favorable to the non-
moving party, and where the non-moving party’s evidence contradicts the
movant’s, then the non-movant’s must be taken as true.”

, 24 F.3d 508, 512 (3d Cir. 1994).
The party seeking summary judgment “bears the initial
responsibility of informing the district court of the basis for its motion,”

and demonstrating the absence of a genuine dispute of material fact.
, 477 U.S. 317, 323 (1986). If the movant makes
such a showing, the non-movant must set forth specific facts, supported

by the record, demonstrating that “the evidence presents a sufficient
disagreement to require submission to the jury.” , 477 U.S. at
251–52.
In evaluating a motion for summary judgment, the Court must first

determine if the moving party has made a prima facie showing that it is
entitled to summary judgment. Fed. R. Civ. P. 56(a); , 477 U.S.
at 331. Only once that prima facie showing has been made does the

burden shift to the nonmoving party to demonstrate the existence of a
genuine dispute of material fact. Fed. R. Civ. P. 56(a); , 477
U.S. at 331.

Both parties may cite to “particular parts of materials in the record,
including depositions, documents, electronically stored information,
affidavits or declarations, stipulations (including those made for the

purposes of the motion only), admissions, interrogatory answers or other
materials.” Fed. R. Civ. P. 56(c)(1)(A). “An affidavit or declaration used to
support or oppose a motion must be made on personal knowledge, set out

facts that would be admissible in evidence, and show that the affiant or
declarant is competent to testify on the matters stated.” Fed. R. Civ. P.
56(c)(4). “Although evidence may be considered in a which is

inadmissible at trial, the of the evidence must be capable of
admission at trial.” , 994 F. Supp. 2d 593, 599
(M.D. Pa. 2014); , 192 F.3d
378, 387 n.13 (3d Cir. 1999) (noting that it is not proper, on summary

judgment, to consider evidence that is not admissible at trial).
II. DISCUSSION
Mateo has asserted three distinct claims against the defendants:
(1) a Fourteenth Amendment substantive due process claim against all

three correctional officers for excessive use of force; (2) a Fourteenth
Amendment substantive due process claim against Waltz only for failure
to protect; and (3) state-law tort claims against Gonzalez and Wolfe only

for assault and battery. The defendants have moved for summary
judgment on all three sets of claims.

A. § 1983 Excessive Force Claim
Most of the briefing on this motion is focused on the appropriate
legal standard that governs Mateo’s § 1983 excessive force claim, which
is brought under the Fourteenth Amendment’s due process clause.5 In

their initial brief, the defendants champion a subjective standard:
“whether force was applied in a good-faith effort to maintain and restore
discipline, or maliciously and sadistically to cause harm.” In support,

5 As a pretrial detainee, Mateo was not subject to the Eighth
Amendment’s cruel and unusual punishment clause, which applies to
convicted prisoners only.
they cite a 2000 decision by the Third Circuit involving excessive force in

the pretrial detention context, , 206 F.3d 335 (3d Cir.
2000), together with several decisions applying the Eighth Amendment’s
subjective standard applicable to convicted prisoners only.6 They contend

that the force used by the defendants on May 14, 2019, was a
constitutionally permissible good-faith effort to restore discipline, rather
than an attempt to maliciously or sadistically cause harm.

In his brief in opposition, the plaintiff notes at the outset that the
subjective legal standard exclusively relied upon by the defendants was
inappropriate, as it had been expressly rejected by the Supreme Court of

the United States in a 2015 decision, , 576 U.S.
389 (2015). In , the Supreme Court squarely rejected the very
same subjective standard relied upon by the defendants here—“ , that

the plaintiff must prove that the use of force was not ‘applied in a good-
faith effort to maintain or restore discipline’ but, rather, was applied

6 The defendants cite , 503 U.S. 1 (1992),
, 204 F.3d 102 (3d Cir. 2000), , 475 U.S.
312 (1986), , Civil No. 3:11-CV-1431, 2016 WL 3621279
(M.D. Pa. Mar. 31, 2016), and , No. CIV. A. 92-4877, 1994
WL 463400 (E.D. Pa. Aug. 25, 1994), all of which concerned convicted
prisoners under an Eighth Amendment standard, not pretrial detainees.
‘maliciously and sadistically to cause harm.’” at 400. Instead, the

Supreme Court held that “a pretrial detainee must show only that the
force purposely or knowingly used against him was objectively
unreasonable.” at 396–97. The Supreme Court further explained:

A court (judge or jury) cannot apply this standard
mechanically. Rather, objective reasonableness turns
on the “facts and circumstances of each particular
case.” A court must make this determination from the
perspective of a reasonable officer on the scene,
including what the officer knew at the time, not with
the 20/20 vision of hindsight. A court must also account
for the “legitimate interests that stem from the
government’s need to manage the facility in which the
individual is detained,” appropriately deferring to
“policies and practices that in the judgment” of jail
officials “are needed to preserve internal order and
discipline and to maintain institutional security.”
Considerations such as the following may bear on the
reasonableness or unreasonableness of the force used:
the relationship between the need for the use of force
and the amount of force used; the extent of the
plaintiff’s injury; any effort made by the officer to
temper or to limit the amount of force; the severity of
the security problem at issue; the threat reasonably
perceived by the officer; and whether the plaintiff was
actively resisting. We do not consider this list to be
exclusive. We mention these factors only to illustrate
the types of objective circumstances potentially
relevant to a determination of excessive force.
at 397 (citations and brackets omitted). Based on the foregoing, the
plaintiff argues, in essence, that the defendants have failed to make a
prima facie showing that they are entitled to summary judgment.

Fed. R. Civ. P. 56(a); , 477 U.S. 317, 323 (1986).
In their reply brief, the defendants make a misguided attempt to
rehabilitate their original argument, doubling down on the applicability

of a subjective legal standard. In an attempt to reconcile with
, they contend that
the Third Circuit Court of Appeals has recognized an
exception to this general rule when an excessive force
claim arises in the “context of a prison disturbance.”
, 206 F.3d 335, 347 (3d Cir. 2000). In
this context, the appellate court has held that the
Eighth Amendment’s cruel and unusual punishment
standard applies to a pretrial detainee’s excessive force
claim.
(Defs. Reply Br. 2, Doc. 35.)7 The reply brief then cites an additional
Eighth Amendment convicted-prisoner decision,8 a pre-
Fourteenth Amendment pretrial detainee decision utilizing the
subjective standard,9 and a post- decision that applied both
objective and subjective standards alternately because it was unclear

7 Although they did not cite it at this point in their reply brief, this
passage appears to be a verbatim copy of language in ,
Civil Action No. 19-4671, 2021 WL 2826439, at *3 (E.D. Pa. July 6, 2021).
8 , 475 U.S. 312 (1986).
9 , Civ. No. 10-893-LPS, 2011 WL 2119347 (D. Del.
May 26, 2011).
whether the plaintiff was a pretrial detainee or a convicted inmate.10 The

only post- pretrial detainee decision that supports the
defendants’ position is , Civil Action No. 19-4671, 2021
WL 2826439 (E.D. Pa. July 6, 2021), which reconciled with

in (literally) an identical manner as our defendants do here.
at *3.
About one month after our sister court decided , however, the

Third Circuit expressly recognized that the Supreme Court’s decision in
“abrogated the portion of that applied the Eighth
Amendment’s malicious-and-sadistic standard to pretrial detainees.”

, 8 F.4th 187, 194 n.5 (3d Cir. 2021).11 The
court explained:
In [ , 441 U.S. 520 (1979)], the Supreme
Court explained that “pretrial detainees, who have not
been convicted of any crimes, retain those
constitutional rights that we have held are enjoyed by
convicted prisoners.” Later, in [ , 490
U.S. 386 (1989)], the Court explained that it was “clear”

10 , Civil Action No. 19-CV-5763, 2020 WL
1244184 (E.D. Pa. Mar. 13, 2020).
11 We note that the defendants’ reply brief included in a
string citation together with and to support the
proposition that “a pretrial detainee must show not only that the force
was excessive, but that the force was applied maliciously and
sadistically.” (Defs. Reply Br. 3.) But holds the exact opposite.
that the Fourteenth Amendment protects pretrial
detainees from “the use of excessive force that amounts
to punishment.” But it was not always clear what the
punishment standard entailed.
Courts were left to decide whether the punishment
standard was objective . . . or subjective . . . . For
example, in , we held, in part, that
“the Eighth Amendment cruel and unusual
punishments standards apply to a pretrial detainee’s
excessive force claim arising in the context of a prison
disturbance.” Thus, in the context of a disturbance, we
required pretrial detainees to show not only that force
was excessive, but also that the force was applied
maliciously and sadistically. In such a case, the Eighth
and Fourteenth Amendment inquiries became
identical.
In 2015, [in ,] the Supreme Court clarified
that the subjective Eighth Amendment standard does
not apply to pretrial detainees. “The language of the
two Clauses differs, and the nature of the claims often
differs. And, most importantly, pretrial detainees
(unlike convicted prisoners) cannot be punished at all,
much less ‘maliciously and sadistically.’” Instead, the
Court held that “a pretrial detainee must show
that the force purposely or knowingly used against him
was objectively unreasonable.” The Court thus clarified
that the Fourteenth Amendment, like the Fourth,
exclusively employs an objective-reasonableness
standard.
at 194 (citations and alterations omitted).
Based on the foregoing, we find that the defendants have failed to
make a prima facie showing that they are entitled to summary judgment
on the plaintiff’s § 1983 excessive force claim. Fed. R. Civ. P. 56(a);
, 477 U.S. at 323. Moreover, based on the facts and evidence

of record, viewed in the light most favorable to the non-moving plaintiff,
we find that a reasonable jury could conclude that the force used on
Mateo in the wake of the cell extraction that occurred on May 14, 2019,

was objectively unreasonable. Under the circumstances presented, there
remain genuine disputes of material fact with respect to the relationship
between the need for the use of force and the amount of force used, the

extent of the plaintiff’s injury, the severity of the security problem at
issue, the threat reasonably perceived by the officers, and whether the
plaintiff was actively resisting. , 576 U.S. at 397. In

particular, it is beyond dispute that the use of allegedly excessive force
occurred the plaintiff and his cellmate had been subdued and
handcuffed, the parties dispute whether the plaintiff’s serious shoulder

injury was caused by this allegedly excessive force, and the plaintiff has
adduced evidence to suggest that, while his cellmate had actively
resisted, he did not.

B. Qualified Immunity Defense
Our inquiry with respect to the plaintiff’s § 1983 excessive force
claim does not end there. In addition to seeking summary judgment on
the merits of the plaintiff’s claim, the defendants have interposed the

affirmative defense of qualified immunity.12
“The doctrine of qualified immunity protects government officials
from liability for civil damages insofar as their conduct does not violate

clearly established statutory or constitutional rights of which a
reasonable person would have known.” , 555 U.S.
223, 231 (2009) (internal quotation marks omitted). “Qualified immunity

balances two important interests—the need to hold public officials
accountable when they exercise power irresponsibly and the need to
shield officials from harassment, distraction, and liability when they

perform their duties reasonably.” Qualified immunity “provides ample
protection to all but the plainly incompetent or those who knowingly
violate the law.” , 475 U.S. 335, 341 (1986). “Thus, so long

as an official reasonably believes that his conduct complies with the law,
qualified immunity will shield that official from liability.”
, 669 F.3d 144, 159 (3d Cir. 2012) (citing , 555 U.S. at

244). Although qualified immunity is generally a question of law that

12 We note that the defendants have not raised the issue of qualified
immunity with respect to the plaintiff’s § 1983 failure to protect claim.
should be considered at the earliest possible stage of proceedings, a

genuine dispute of material fact may preclude summary judgment on
qualified immunity. , 571 F.3d 318, 325–26 (3d Cir. 2009).
A qualified immunity determination involves a two-pronged

inquiry: (1) whether a constitutional or federal right has been violated;
and (2) whether that right was “clearly established.” , 533
U.S. 194, 201 (2001), , 555 U.S. at 236

(permitting federal courts to exercise discretion in deciding which of the
two prongs should be addressed first). “The relevant, dispositive
inquiry in determining whether a right is clearly established is whether

it would be clear to a reasonable officer that his conduct was unlawful in
the situation he confronted.” at 202. In the Third Circuit, it is the
party asserting the affirmative defense of qualified immunity who bears

the burden of persuasion. , 750 F.3d 273, 288 (3d Cir.
2014). Thus, the moving defendants must
show that there was no genuine dispute of material fact
to refute their contention that they did not violate [the
plaintiff’s] constitutional rights as he asserted them, or
show that reasonable officers could not have known
that their conduct constituted such a violation when
they engaged in it.
As discussed above, there exists a genuine dispute of material fact on
the merits of the plaintiff’s § 1983 excessive force claim. But the

defendants may nevertheless prevail on summary judgment with respect
to this claim under the second prong of the analysis.
“In determining whether a right has been clearly established, the

court must define the right allegedly violated at the appropriate level of
specificity.” , 669 F.3d at 159. If the right is defined too broadly, at
a high level of generality, it risks “convert[ing] the rule of qualified

immunity that our cases plainly establish into a rule of virtually
unqualified liability simply by alleging violation of extremely abstract
rights.” , 483 U.S. 635, 639 (1987). “We are thus

required to frame the right at issue in a more particularized, and hence
more relevant, sense, in light of the case’s specific context, not as a broad
general proposition.” , 800 F.3d 633,

638 (3d Cir. 2015) (citations and internal quotation marks omitted).
The contours of the right must be sufficiently clear that
a reasonable official would understand that what he is
doing violates that right. This is not to say that an
official action is protected by qualified immunity unless
the very action in question has previously been held
unlawful; but it is to say that in the light of pre-existing
law the unlawfulness must be apparent.
, 483 U.S. at 640 (citation omitted).
Here, the defendants suggest that the specific context is the use by

correctional officers of OC spray and the particular hold used in this
case—the “bend over” or “escort” hold—to transport an uncooperative
inmate during a high-risk extraction with his hands handcuffed behind

his back and held at an angle. ( Defs. Br. 13, Doc. 31; Defs. Reply Br.
5.) They argue that the plaintiff is unable to point to a prior decision
addressing identical facts.

At that level of specificity, there indeed appears to be no prior
caselaw. But this articulation of this case’s specific context would
effectively require us to find the defendants “protected by qualified

immunity unless the very action in question has previously been held
unlawful.” , 483 U.S. at 640. The plaintiff’s articulation of
the specific context is closer to the mark: whether a correctional officer

can raise a shackled pretrial detainee’s arms so high above his back that
it injures him. (Pl. Opp’n Br. 8, Doc. 33.) Ultimately, in the context of
summary judgment, where we are required to view the facts in the light

most favorable to the non-moving plaintiff, we find the specific context
presented to be whether a correctional officer can, while transporting a
physically restrained and nonthreatening pretrial detainee a cell
extraction has been completed, gratuitously twist the detainee’s shackled

arms behind and above his back so far or with sufficient force to dislocate
the inmate’s shoulder and seriously injure him.
Viewed in this context, it is apparent to us that any reasonable

officer would have known in May 2019 that this gratuitous forceful
twisting or contortion of a subdued detainee’s shackled arms was
unlawful. , 8 F.4th at 196–97 (finding that by February 2015

it was clearly established that a correctional officer may not strike or
otherwise use gratuitous force against a physically restrained and
nonthreatening pretrial detainee); , 623 F.3d 975,

990 (9th Cir. 2010) (Beezer, J., concurring in part) (noting that it was
clearly established “that causing fractures and dislocating shoulders
while handcuffing a suspect is excessive force”) (arrestee);

, 837 F.3d 444, 454 (5th Cir. 2016) (“We have little difficulty
concluding that in 2009, the time of the incident, it was well-established,
in sufficiently similar situations, that officers may not ‘use gratuitous

force against a prisoner who has already been subdued . . . [or]
incapacitated.’” (alteration in original)) (convicted prisoner);
, 779 F.3d 401, 419 (6th Cir. 2015) (“[S]ince at least 2009, the use of
violence against a subdued and non-resisting individual has been clearly

established as excessive, regardless of whether the individual had been
placed in handcuffs.”) (arrestee); , 571 F.3d at 326 (“[A]t the time of
the incident in 2001, it was established that an officer may not kick or

otherwise use gratuitous force against an inmate who has been
subdued.”) (convicted prisoner); , 297 F.3d 114, 121–22 (2d
Cir. 2002) (finding a reasonable jury could conclude that the use of force

sufficient to dislocate arrestee’s shoulder was excessive);
, 280 F.3d 1295, 1303 (11th Cir. 2002) (“By 1998, our precedent
clearly established that government officials may not use gratuitous force

against a prisoner who has been already subdued or, as in this case,
incapacitated.”) (convicted prisoner).
Accordingly, we find that the defendants have failed to meet their

burden of persuasion with respect to the affirmative defense of qualified
immunity.
C. § 1983 Failure to Protect Claim

The defendants seek summary judgment on the plaintiff’s § 1983
failure-to-protect claim against Waltz as well. They argue exclusively
that Waltz cannot be held liable for failure to protect because no excessive
force occurred. We have rejected that underlying premise on summary

judgment, however, finding that the issue must be left to the jury to
resolve based on evidence presented at trial. Thus, the defendants have
failed to demonstrate that they are entitled to judgment as a matter of

law on the plaintiff’s § 1983 failure to protect claim against Waltz.
D. State-Law Tort Claims
The defendants also seek summary judgment on the plaintiff’s
state-law tort claims against Gonzalez and Wolfe for assault and battery.

As this court has previously recognized, “incidental and necessary
touchings by correctional officers of inmates in the performance of their

duties are not batteries, but are privileged contacts.” ,
491 F. Supp. 1026, 1038 (M.D. Pa. 1980). Under Pennsylvania law,
“officials charged with the custody of prisoners are privileged to use force

which is reasonable under the circumstances to maintain control of their
charges.” ; , No. 1:17-CV-00016, 2017
WL 2778524, at *6 (M.D. Pa. June 27, 2017) (“While corrections officers

have the authority to use necessary force under appropriate
circumstances, the reasonableness of this force in relation to their
employment duties determines whether particular conduct is considered
an assault and battery.”). Thus, if a correctional officer uses reasonable

force necessary to carry out his duties, that amount of force when applied
to an inmate is not tortious. , 491 F. Supp. At 1041.
For the same reasons articulated above with respect to the

plaintiff’s § 1983 excessive force claim, based on the facts and evidence of
record, viewed in the light most favorable to the non-moving plaintiff, we
find that a reasonable jury could conclude that the quantum of force used

by the defendants was not reasonable under the circumstances. Thus,
there remains a genuine dispute of material fact on this issue.
III. CONCLUSION

For the foregoing reasons, the defendants’ motion for summary
judgment (Doc. 31) will be denied.
An appropriate order follows.

Dated: September 28, 2023
JOSEPH F. SAPORITO, JR.
United States Magistrate Judge

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Source: Frix Law Library, https://www.frixlaw.com/law-library/cases/10413712. Public record. Not legal advice.