Lance v. Lawler et al

Filing 12

MEMORANDUM AND ORDER (1) The Federal Public Defender for the Middle District of Pennsylvania is appointed to represent the petitioner; and (2) A brief addressing the issues set forth above shall be filed by petitioners counsel, on or before May 7, 20 12.(3) Counsel for the respondents shall file a responsive brief, on or before May 21, 2012.(4) A reply brief may be filed, on or before June 4, 2012.Signed by Magistrate Judge Malachy E. Mannion on 4/9/12. (Attachments: # 1 Unpublished Opinion(s), # 2 Unpublished Opinion(s), # 3 Unpublished Opinion(s), # 4 Unpublished Opinion(s), # 5 Unpublished Opinion(s))(bs, )

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UNITED STATES COURT OF APPEALS
FOR THE THIRD CIRCUIT
____________
No. 11-1320
____________
GARRETT WILLIAMS,
Appellant
v.
*SECRETARY PENNSYLVANIA DEPARTMENT OF CORRECTIONS;
CATHERINE MCVEY, Chairman of the Pennsylvania Board of
Probation and Parole, in their official capacities
*(Pursuant to Rule 43(c), Fed. R. App. P.)
____________
On Appeal from the United States District Court
for the Middle District of Pennsylvania
(D.C. No. 1-09-cv-01587)
District Judge: Honorable Christopher C. Conner
____________
Submitted Pursuant to Third Circuit LAR 34.1(a)
September 19, 2011
Before: FISHER, HARDIMAN and GREENAWAY, Jr., Circuit Judges.
____________
JUDGMENT
____________
This cause came on to be considered on the record from the United States District
Court for the Middle District of Pennsylvania and was submitted pursuant to Third
Circuit LAR 34.1(a) on September 19, 2011. On consideration whereof, it is now hereby
ORDERED and ADJUDGED by this Court that the order of the District Court
entered December 14, 2010, be and the same is hereby AFFIRMED in part, VACATED
in part, and REMANDED to the District Court for further proceedings. All of the above
in accordance with the opinion of this Court.

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Costs will not be taxed.

ATTEST:

/s/ Marcia M. Waldron
Clerk

Dated: October 7, 2011

Certified as a true copy and issued in lieu
of a formal mandate on 10/31/11
Teste:
Clerk, U.S. Court of Appeals for the Third Circuit

2

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NOT PRECEDENTIAL
UNITED STATES COURT OF APPEALS
FOR THE THIRD CIRCUIT
____________
No. 11-1320
____________
GARRETT WILLIAMS,
Appellant
v.
*SECRETARY PENNSYLVANIA DEPARTMENT OF CORRECTIONS;
CATHERINE MCVEY, Chairman of the Pennsylvania Board of
Probation and Parole, in their official capacities
*(Pursuant to Rule 43(c), Fed. R. App. P.)
____________
On Appeal from the United States District Court
for the Middle District of Pennsylvania
(D.C. No. 1-09-cv-01587)
District Judge: Honorable Christopher C. Conner
____________
Submitted Pursuant to Third Circuit LAR 34.1(a)
September 19, 2011
Before: FISHER, HARDIMAN and GREENAWAY, Jr., Circuit Judges.
(Filed: October 7, 2011 )
____________
OPINION OF THE COURT
____________

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FISHER, Circuit Judge.
Garrett Williams appeals from an order of the District Court granting Defendants‟
motion for judgment on the pleadings as to his claim for declaratory relief and dismissing
as moot his request for injunctive relief. For the reasons stated below, we will affirm the
District Court‟s decision as to injunctive relief and vacate and remand for dismissal as to
Williams‟s claims for declaratory relief.
I.
We write exclusively for the parties, who are familiar with the factual context and
legal history of this case. Therefore, we will set forth only those facts necessary to our
analysis.
In 2000, Garrett Williams was convicted of involuntary deviate sexual intercourse,
aggravated indecent assault, corruption of minors, and endangering the welfare of
children. He was sentenced to eight to sixteen years‟ imprisonment, to be served in the
custody of the Pennsylvania Department of Corrections (“the DOC”). On May 15, 2008,
Williams was granted conditional parole by the Pennsylvania Board of Probation and
Parole (“the Parole Board”). Among the conditions of his parole was a requirement that
he secure placement in a community correction center (“CCC”) prior to his release from
prison.
The Parole Board has long relied on CCCs to provide halfway house services to
inmates released on parole. Often, release on parole is explicitly conditioned on
placement in such a facility. CCCs are operated primarily by private contractors under
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the supervision of the DOC, and are geographically distributed throughout Pennsylvania.
Some CCCs are operated directly by the state. Privately-owned CCCs categorically
exclude sex offenders, primarily because of opposition by local residents and restrictions
on sex offender occupancy. Although some state-operated CCCs accept sex offenders,
the number of placements available to sex offenders is limited. Similar restrictions have
not been adopted for any other category of paroled offender.
On August 17, 2009, Williams filed a complaint pursuant to 42 U.S.C. § 1983 in
the U.S. District Court for the Middle District of Pennsylvania, alleging that the CCC
policy regarding placement of sex offenders violates his constitutional rights under the
Equal Protection Clause and Due Process Clause of the Fourteenth Amendment and his
rights under the Fair Housing Act, 42 U.S.C. §§ 3601-3619. Williams sought both
declaratory and injunctive relief. Jeffrey Beard, Secretary of the DOC,1 and Catherine
McVey, Chairwoman of the Parole Board (“Defendants”), were named as defendants.
Defendants filed a motion for judgment on the pleadings as to each of Williams‟s
claims. On October 27, 2009, the Parole Board modified its order requiring Williams to
obtain placement in a CCC, and on December 6, 2009, released him directly to a
Philadelphia apartment he had previously secured, subject to his continued participation

1

On May 4, 2011, John Wetzel was confirmed as the new Secretary of the DOC,
and pursuant to Fed. R. App. P. 43(c)(2), he was automatically substituted as a party in
this case.
3

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in, and completion of, sex offender treatment. The condition that he first secure
placement in a CCC was removed.
On November 1, 2010, Magistrate Judge Thomas M. Blewitt issued a report and
recommendation (“R&R”), recommending that Defendants‟ motion for judgment on the
pleadings be granted as to Williams‟s claim for declaratory relief. Judge Blewitt
recommended that Williams‟s claim for injunctive relief be dismissed as moot because he
had been released on parole and was no longer required to seek admission to a CCC.
Because Defendants did not raise the issue of whether Williams‟s declaratory relief claim
was also moot, Judge Blewitt did not address it. The District Court adopted the R&R in
its entirety. Williams subsequently filed a motion for reconsideration, which was denied.
He filed a timely notice of appeal.
II.
The District Court had subject matter jurisdiction pursuant to 28 U.S.C. §§ 1331
and 1343, and we have jurisdiction pursuant to 28 U.S.C. § 1291. Because we resolve
this case solely on mootness grounds, we need not (and do not) address the District
Court‟s decision regarding the merits of Williams‟s claims. “Questions of mootness are
considered under a plenary standard of review.” International Brotherhood of
Boilermakers v. Kelly, 815 F.2d 912, 914 (3d Cir. 1987) (citations omitted). The doctrine
of mootness is rooted in Article III of the Constitution, which limits federal courts to the
adjudication of “cases” or “controversies.” Am. Bird Conservancy v. Kempthorne, 559
F.3d 184, 188 (3d Cir. 2009). “If one or more of the issues involved in an action become
4

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moot . . . the adjudication of the moot issue or issues should be refused.” N.J. Tpk. Auth.
v. Jersey Cent. Power & Light, 772 F.2d 25, 30 (3d Cir. 1985). When a case is rendered
moot, “[w]e will vacate the district court‟s decision and remand with directions to dismiss
the action in order to strip the decision of legal consequences.” Id. at 34 (citing United
States v. Munsingwear, Inc., 340 U.S. 36, 40-41 (1950)).
Because mootness implicates the subject matter jurisdiction of the federal courts
under Article III, a mootness challenge is never waivable. Brown v. Phila. Hous. Auth.,
350 F.3d 338, 346-47 (3d Cir. 2003). “[N]o action of the parties can confer subjectmatter jurisdiction upon a federal court.” Ins. Corp. of Ir. v. Compagnie des Bauxites de
Guinee, 456 U.S. 694, 702 (1982). Accordingly, we must now consider not only whether
the District Court correctly determined that Williams‟s claim for injunctive relief was
moot, but also whether his claim for declaratory relief is moot.
III.
First, we address Williams‟s contention that the District Court erred in adopting
the finding of the Magistrate Judge that his request for injunctive relief was moot. “[T]he
central question of all mootness problems is whether changes in circumstances that
prevailed at the beginning of the litigation have forestalled any occasion for meaningful
relief.” Jersey Cent. Power & Light Co. v. New Jersey, 772 F.2d 35, 39 (3d Cir. 1985)
(citation omitted). Williams seeks an injunction requiring the elimination of distinctions
between sex offenders and other offenders with respect to CCC placement. However,
because he has been released and the condition that he obtain placement in a CCC has
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been waived, he no longer needs to be treated as a non-sex offender. Removal of the
distinction between sex offenders and non-sex offenders would not provide him any
meaningful relief.
The District Court, adopting the Magistrate Judge‟s R&R, correctly found that
United States Parole Commission v. Geraghty, 445 U.S. 388 (1980), is inapposite. In
Geraghty, a prisoner in federal custody who had been denied parole brought a putative
class action challenging the federal parole release guidelines. Id. at 393. He was released
from prison while his appeal was pending. Id. at 394. The Court concluded that “an
action brought on behalf of a class does not become moot upon expiration of the named
plaintiff‟s substantive claim.” Id. at 404. The Court explained that a plaintiff who brings
a class action presents two separate issues for judicial resolution: (1) his claim on the
merits and (2) his claim that he is entitled to represent the class. Id. at 402. Thus, even if
the named plaintiff‟s claim on the merits is rendered moot, he “retains a „personal stake‟
in obtaining class certification sufficient to assure that Art. III values are not
undermined.” Id. at 404. Here, Williams did not file a class action and thus Geraghty
does not apply. The fact that the Community Justice Project receives numerous requests
for representation from other sex offenders impacted by the CCC policy is irrelevant.
Their potential claims are not at issue in this case.
Williams‟s reliance on Jago v. Van Curen, 454 U.S. 14 (1981), is similarly
misplaced. In that case, a prisoner brought a habeas action challenging the revocation of
his parole. Id. at 16. Although he was released while his appeal was pending, he
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remained subject to the conditions imposed by his parole. Id. at 21 n.3. The Court held
that, although the prisoner had been released, the case was not moot because he could be
incarcerated again upon violation of the conditions of his parole. Id. The fact that Van
Curen involved a habeas petition – not a § 1983 action – is significant. Section 1983 is
not the proper vehicle when the claim seeks “core habeas corpus relief, i.e., where a state
prisoner requests present or future release.” Wilkinson v. Dotson, 544 U.S. 74, 81 (2005)
(internal quotations omitted). The Court in Van Curen explained that had the defendants
not revoked the prisoner‟s parole, his release would not have been delayed and the term
of his parole would likely have expired. Van Curen, 454 U.S. at 21 n.3. Unlike the
remedies available under § 1983, “the flexible nature of habeas relief” would allow the
district court to order that the parole restrictions be terminated. See id.
In the present case, there is no indication that, even if CCCs were required to treat
all offenders alike, Williams would have been released earlier. In fact, by bringing his
claims under § 1983, Williams necessarily undercuts any argument he might have under
Van Curen. See Wilkinson, 544 U.S. at 81. He concedes that, “[e]ven if successful . . . an
unknown condition to CCC placement, having to do with beds becoming available or
being added and the number of eligible parolees ahead of him, must be satisfied.” Thus,
unlike in Van Curen, Williams has not alleged that he would be free of parole restrictions
but for the challenged action, and accordingly he suffers no continuing injury as a result
of the CCC policy. See Van Curen, 454 U.S. at 21 n.3. An injunction would offer no
meaningful relief.
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We next address whether Williams‟s claim for declaratory relief is also moot. A
live controversy can exist as to declaratory relief even if a request for injunctive relief is
rendered moot. Super Tire Eng’g Co. v. McCorkle, 416 U.S. 115, 121-22 (1974);
Winston by Winston v. Children & Youth Servs. of Delaware County, 948 F.2d 1380,
1384 (3d Cir. 1991). This case, however, does not present such a situation. Williams
argues that because his injury is capable of repetition, yet will inevitably evade judicial
review, he retains a sufficient stake in the controversy. We disagree. “The exception
from the mootness doctrine for cases that are technically moot but „capable of repetition,
yet evading review‟ is narrow and available „only in exceptional circumstances.‟”
Rendell v. Rumsfeld, 484 F.3d 236, 241 (3d Cir. 2007) (quoting City of Los Angeles v.
Lyons, 461 U.S. 95, 109 (1983)). The exception only applies when “(1) the challenged
action [is] in its duration too short to be fully litigated prior to cessation or expiration, and
(2) there [is] a reasonable expectation that the same complaining party [will] be subject to
the same action again.” Weinstein v. Bradford, 423 U.S. 147, 149 (1975). In this case,
Williams has not established a sufficiently reasonable expectation that he will once again
be subject to the challenged CCC policy.
Williams could only again be subject to the policy at issue if he commits another
crime or otherwise violates his parole. Although recidivism rates may indicate that he is
more likely than others in society to engage in criminal behavior, we refuse to assume
that he will do so. As the Supreme Court made clear, he is “able – and indeed required

8

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by law – to prevent such a possibility from occurring.”2 Spencer v. Kemna, 523 U.S. 1,
15 (1998) (quoting Lane v. Williams, 455 U.S. 624, 633 n.13 (1982)). We must assume
that Williams will comply with the law.
A closer question is whether the potential for a “technical” parole violation3
establishes the reasonable expectation of repetition required by the exception. Because
we find the primary case on which Williams relies distinguishable, we hold that it does
not. Williams points out that the restriction on sex offender placement in CCCs is due in
large part to community opposition. Such staunch anti-sex offender sentiment, he argues,
increases the risk of a technical violation. For example, he says that public pressure on
his employer or landlord might cause him to lose his job or housing, events which could
lead to a technical parole violation. The likelihood of this happening is so great,
Williams maintains, as to bring his case within the ambit of the “capable of repetition, yet
evading review” exception.
Williams draws our attention to Winston by Winston v. Children and Youth
Services of Delaware County, in which we held that a conditional return of parental
custody did not moot the parents‟ challenge to the state‟s visitation policies, because

2

Williams argues that because he cannot avail himself of reintegration assistance
programs provided by CCCs, he is more likely to re-offend. Regardless of whether a
parolee has the benefit of such a program, he is obligated to refrain from future criminal
activity. Thus, Williams‟s argument on this point is unavailing.
3

A “technical violator” is a parolee who “violates the terms and conditions of his
parole, other than by the commission of a new crime.” 61 PA. CONS. STAT. § 6138(c)(1).
9

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circumstances indicated that the parents could once again be subject to those policies.
948 F.2d at 1384. In that case, the three-year-old son of Maryann and Samuel Winston
was taken into protective custody by the child services agency because Samuel was
arrested in connection with a drug violation and Maryann was hospitalized due to
recurrent psychiatric and substance abuse problems. Id. at 1382. The parents,
dissatisfied with the limitations placed on their visitation rights, brought a challenge to
the state‟s visitation policy under § 1983. Id. Before the case was resolved, the child was
returned to his father‟s custody. Id. We rejected the state‟s argument that the action was
moot, reasoning that “legal custody was returned to the parents only subject to conditions
which, if not complied with, could subject them to a repeat of the situation which
precipitated this lawsuit.” Id. at 1384.
Winston is distinguishable on its facts. The possibility that Williams might be
evicted or lose his job because of public opposition to sex offenders is highly speculative,
surely far more so than the possibility that a “family unit, composed . . . of two parents
who have a history of drug use,” could experience “another breakdown requiring [the
state] to retake temporary custody of [the child].” See id. There is no evidence to
support Williams‟s claims that he might be evicted or lose his job. Assuming Williams‟s
landlord or employer is unaware of his status as a sex offender, he or she would have to
learn of his status and then bow to public pressure to fire or evict Williams. The Parole
Board would have to deem this a parole violation and revoke his parole. Even then,
Williams would not be subject to the CCC policy unless he was subsequently granted
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parole under the same conditions originally imposed in this case. Such a series of events
is speculative and does not establish a reasonable expectation that Williams will be
subject to the challenged policy again.4 Thus, we cannot conclude that this is one of
those “exceptional circumstances,” in which the “capable of repetition, yet evading
review” exception applies. See Rendell, 484 F.3d at 241.
IV.
For the foregoing reasons, we will affirm the order of the District Court finding
Williams‟s claim for injunctive relief moot, vacate the order of the District Court as to
Williams‟s claim for declaratory relief, and remand with instructions to dismiss the
declaratory relief claim on mootness grounds.

4

Williams argues that the CCC policy regarding sex offenders also affects his
eligibility for the Half-Way Back program, which allows parolees who commit technical
violations to occupy CCCs and receive assistance in finding a residence or employment,
rather than be re-incarcerated. The chance that Williams would commit a technical
violation, meet the qualifications for the program, and then be excluded because he is a
sex offender is similarly speculative.
11