1

 Towle’s initial complaint also alleged violation under

the Eighth and Fourteenth Amendments. Those claims were

dismissed, without objection by Towle, upon the recommendation of

the Magistrate Judge. Towle v. N.H. Dept. of Corrections, No.

06-cv-464-PB, slip op. at 14-15 (D.N.H. Feb. 5, 2007).

UNITED STATES DISTRICT COURT

DISTRICT OF NEW HAMPSHIRE

Robert V. Towle

v. Civil No. 06-cv-464-JL

Opinion No. 2008 NH 101

New Hampshire Department

of Corrections, Commissioner,

et al.

 O R D E R

Pro se petitioner Robert V. Towle brought this civil rights

action under 42 U.S.C. § 1983 against the Commissioner of the

Department of Corrections (DOC), as well as the Warden and Deputy

Warden of the New Hampshire State Prison, alleging violations of

his rights under the First Amendment of the United States

Constitution.1

 The First Amendment right in question is the

freedom of association involving visitation by Towle’s wife. 

This court has subject matter jurisdiction over this case under

28 U.S.C. §§ 1331 (federal question) and 1343 (civil rights).

The respondents moved to dismiss under Federal Rule of Civil

Procedure 12(b)(6), arguing that Towle’s claims for injunctive

and declaratory relief are moot. See Fed. R. Civ. P. 12(b)(6). 

Case 1:06-cv-00464-JL Document 58 Filed 05/14/08 Page 1 of 17
2

 Because the parties, and in particular the respondents,

have presented matters outside the pleadings, the court will

treat the motion as one for summary judgment under Rule 56. Fed.

R. Civ. P. 12(d) (2008). After a hearing on the motion, for the

reasons set forth below, the court finds that Towle’s claims are

moot, and grants summary judgment in favor of the respondents.

I. APPLICABLE LEGAL STANDARD

Under Federal Rule of Civil Procedure 56, a motion for

summary judgment will be granted “if the pleadings, the discovery

and disclosure materials on file, and any affidavits show that

there is no genuine issue as to any material fact and that the

movant is entitled to judgment as a matter of law.” Fed. R. Civ.

P. 56(c) (2008) (amended December 1, 2007); see Celotex Corp. v.

Catrett, 477 U.S. 317, 322 (1986) (decided under prior version of

the rule); Anderson v. Liberty Lobby, Inc., 477 U.S. 242, 247

(1986) (decided under prior version of the rule). "The object of

summary judgment is to pierce the boilerplate of the pleadings

and assay the parties' proof in order to determine whether trial

is actually required." Dávila v. Corporación de P.R. Para la

Difusión Pública, 498 F.3d 9, 12 (1st Cir. 2007) (quotations

omitted) (quoting Acosta v. Ames Dep’t Stores, Inc., 386 F.3d 5,

7 (1st Cir. 2004)). 

Case 1:06-cv-00464-JL Document 58 Filed 05/14/08 Page 2 of 17
2

 The respondents have asserted the doctrine of mootness as

an affirmative defense. Since they carry the burden of proving

this defense at trial, they carry the burden on this motion.

3

When as here2 the party moving for summary judgment also

bears the burden of proof at trial, summary judgment will not be

granted unless, based on the record taken in the light most

favorable to the nonmoving party, no reasonable jury could find

for the nonmoving party. See E.E.O.C. v. Union Independiente de

la Autoridad de Acueductos y Alcantarillados de P.R., 279 F.3d

49, 54-55 (1st Cir. 2002); Winnacunnet Coop. Sch. Dist. v. Nat’l

Union Fire Ins. Co. of Pittsburgh, 84 F.3d 32, 35 (1st Cir.

1996). To defeat a motion for summary judgment, "the non-moving

party must set forth specific facts showing that a genuine issue

of material fact exists as to each issue upon which she would

bear the ultimate burden of proof at trial.” Torres-Negron v.

Merck & Co., 488 F.3d 34, 39 (1st Cir. 2007) (quotations

omitted). Further, the non-moving party “must do more than

simply show that there is some metaphysical doubt as to the

material facts,” Matsushita Elec. Indus. Co. v. Zenith Radio

Corp., 475 U.S. 574, 586 (1986), and “may not rest upon the mere

allegations or denials of his pleading.” Id. at n.11 (quotations

omitted).

Case 1:06-cv-00464-JL Document 58 Filed 05/14/08 Page 3 of 17
3

 The version of New Hampshire Department of Corrections Policy and

Procedure Directive (“PPD”) 7.09 in effect at the time the complaint was filed

provided, in pertinent part:

IV. PROCEDURE

. . . .

I. Visiting Lists

1. Inmates must request that a prospective visitor

be placed on the approved visitor list at least

14 days prior to that person visiting. 

. . . .

4. Potential visitors with criminal records or who

are on probation/parole will not be granted

visiting privileges. A direct family member

(father, mother, sister, brother, child, spouse,

aunts, uncles, grandparents, sister-in-law or

brother-in-law) of an inmate who is also on

probation/parole may be authorized to visit only

with the written approval of the Warden and the

supervising PPO. . . . Potential visitors with

drug convictions within the last five years

and/or confinement for any offense within the

last five years will be excluded. Exception to

this policy may be made by written appeal to the

Warden. Any articulable risk to security will

exclude a visitor.

. . . .

5. A visitor cannot appear on more than one

inmate’s approved visitor list unless the

inmates are related to each other and the

visitor is under the immediate family

description. Immediate family for the

purpose of this policy means, mother,

father, children, spouse, brother, sister,

grandparents, aunts, uncles, sister-in-law

and brother-in-law).

PPD 7.09 IV, I (1), (4), (5) (Feb. 15, 2006) (emphasis added).

4

II. BACKGROUND

This action stems from DOC regulations3 that allegedly

excluded Towle’s wife, Katie Wilmot, from his NHSP visitor list. 

Case 1:06-cv-00464-JL Document 58 Filed 05/14/08 Page 4 of 17
5

As a result of this exclusion, Towle was denied visits with

Wilmot. On July, 12, 2006, Wilmot was denied approval to be

placed on Towle’s visitor list because of her criminal history. 

The record reveals that Wilmot was convicted of theft by

unauthorized taking from Wal-Mart and was sentenced to two years

probation. There is no indication that she was convicted of any

drug offense or subjected to any period of confinement. 

Towle filed a second-level appeal with Warden Cattell in

which he identified Wilmot as his wife and requested that she be

placed on his visitor list. Cattell denied the appeal on August

28, 2006, stating that Wilmot’s felony conviction was only three

years old and that her marital status was irrelevant. Cattell

advised Towle to maintain his relationship with Wilmot through

letters and collect telephone calls.

On September 3, 2006, Towle filed a third-level appeal with

Wrenn, the Commissioner of Corrections, in which he requested

that Wilmot be placed on his visitor list and that an exception

be made to NHSP policy because the benefit of their visit would

outweigh any security risk. Greg Crompton, Commissioner Wrenn’s

designee to address such grievance appeals, denied the request on

September 13, 2006, explaining that Wilmot’s “conviction date

Case 1:06-cv-00464-JL Document 58 Filed 05/14/08 Page 5 of 17
4

 As established at the preliminary injunction hearing,

Crompton’s ruling was based on a misinterpretation of PPD IV,

I(4) as it existed at the time. See PPD IV, I(4) (Feb. 15,

2006).

6

does not meet the [five-year] requirement.”4

 Towle filed another

appeal with Crompton on September 28, 2006, stating that the

five-year requirement under PPD 7.09 I(4) should not apply to

Wilmot because she was neither convicted of a drug offense nor

confined. Crompton responded on October 9, 2006, explaining that

he had “delegated authority to respond to all Commissioner level

appeals and grievances” and again denied Towle’s appeal.

In a letter of October 13, 2006 addressed to Wrenn, Wilmot

explained her criminal history and essentially reiterated the

requests made by Towle. Crompton responded on October 30, 2006,

stating that “Warden Cattell’s letter of 8/8/06 stands.”

Towle filed another appeal with Cattell on November 4, 2006,

reiterating his argument that the five-year requirement under PPD

7.09 IV, I(4) should not apply to Wilmot because she was never

convicted of a drug offense or subjected to a period of

confinement. Cattell responded on November 8, 2006, explaining

that PPD 7.09 IV, I(4) “excludes two categories but it does not

indicate that people who were convicted of other felonies or

received suspended sentences will be approved as visitors. When

Case 1:06-cv-00464-JL Document 58 Filed 05/14/08 Page 6 of 17
5

 Effective as of May 15, 2007, the new PPD 7.09 provides provides as

follows:

IV. PROCEDURE

. . . .

B. Authorized Visitors

DOC Staff must approve all visitors. Inmates

will be authorized an unlimited number of family

members on their visiting list. Non-family

members will be limited in accordance with COR

305.02.

Visitors being taken off an inmate’s list will

be removed immediately and cannot be added to

any inmate’s visiting list for a one-year

period.

. . . .

I. Visiting Lists

. . . .

4. Potential visitors with criminal records

involving felony drug offenses within the

last 10 years from date of conviction will

7

I responded to you on this issue on 8/28/06 I was aware of PPD

7.09. What I wrote to you then still stands today.”

Towle filed an appeal with Crompton on November 8, 2006.

Crompton denied his request on November 16, 2006. Towle then

brought this Section 1983 action, alleging that the respondents’

acts and omissions rise to the level of constitutional

deprivations.

In 2007, the Department of Corrections promulgated a new

Policy and Procedure Directive 7.09, which superseded the version

of PPD 7.09 in effect at the time Towle initiated suit.5 A

Case 1:06-cv-00464-JL Document 58 Filed 05/14/08 Page 7 of 17
not be allowed to visit.

5. Potential visitors with criminal records

involving misdemeanor drug offense within

the last 5 years from date of conviction

will not be allowed to visit.

6. Potential visitors with pending drug

related offenses (felony or misdemeanor)

will be not allowed to visit.

7. Potential visitors with a criminal history

which resulted in confinement to a

correctional facility for any offense

within the last 5 years regardless of the

duration of the confinement will not be

permitted to visit.

8. Potential visitors with any criminal

record for non-drug related [sic] within 1

year from date of the most recent criminal

conviction will be not be [sic] permitted

to visit.

9. Potential visitors who are on

probation/parole will not be granted

visiting privileges without the written

recommendation of the supervising

probation/parole officer and the written

approval of the warden. Consideration

will be given for direct family members

only (father, mother, sister, brother,

child, spouse, aunts, uncles,

grandparents, sister-in-law or brother-inlaw).

PPD 7.09 IV(B), (I)(4)-(9) (2007).

8

supplemental affidavit filed by the respondents asserts that

under PPD 7.09 as amended above, Towle’s wife has been deemed

eligible to visit Towle and that Towle submitted an inmate

visitor request slip in November, 2007. As a result, Towle’s

wife was approved for visitation and made visits to Towle in

Case 1:06-cv-00464-JL Document 58 Filed 05/14/08 Page 8 of 17
6

 Because, as set forth infra Parts III, IV, summary

judgment is granted to the respondents on grounds that are

primarily procedural, it is not necessary to analyze the merits

of that claim. The court notes, however, that it concurs with

the Magistrate Judge’s ruling on Towle’s motion for a preliminary

injunction that, even under PPD 7.09 IV as it existed prior to

the amendment described supra, Towle was “not likely to succeed

on the merits of his First Amendment claim.” (Towle, slip op. at

23). See generally, Overton v. Bazzetta, 539 U.S. 126, 131-32,

135 (2003).

9

November and December, 2007, and continued monthly visits

beginning in January, 2008.

III. ANALYSIS

A. The applicable law

Section 1983 creates a cause of action against those who,

acting under the color of state law, violate federal law. See 42

U.S.C. § 1983; Parratt v. Taylor, 451 U.S. 527, 535 (1981)

(overruled on other grounds by Daniels v. Williams, 474 U.S. 327,

330-31 (1986)); Conn v. Gabbert, 526 U.S. 286, 290 (1999). The

premise of Towle’s Section 1983 claim is that the respondents

violated his First Amendment right to intimate association by

placing impermissibly burdensome restrictions on his wife’s

ability to visit him in prison.6

The respondents argue that they are entitled to summary

judgment because DOC has amended PPD 7.09 in such a way that

permits his wife routine visitation in the same general manner

Case 1:06-cv-00464-JL Document 58 Filed 05/14/08 Page 9 of 17
10

available to all inmates’ spouses. This amendment, they argue,

renders Towle’s Section 1983 claim moot as a matter of law.

“Simply stated, a case is moot when the issues presented are

no longer ‘live’ or the parties lack a legally cognizable

interest in the outcome.” D. H. L. Assoc., Inc. v. O’Gorman, 199

F.3d 50, 54 (1st Cir. 1999) (quoting Powell v. McCormack, 395

U.S. 486, 496 (1969)); Gulf of Maine Fisherman’s Alliance v.

Daley, 292 F.3d 84, 87 (1st Cir. 2002). The seminal Supreme

Court case on the mootness doctrine, as well as the exception to

the doctrine involved in this case, is United States v. W. T.

Grant Co., 345 U.S. 629 (1953). There, the Court recognized “the

abstract proposition that voluntary cessation of allegedly

illegal conduct does not deprive the tribunal of power to hear

and determine the case, i.e., does not make the case moot.” Id.

at 897. This is because a defendant who wins a mootness-based

dismissal “is free to return to his old ways. This, together

with a public interest in having the legality of the practices as

settled, militates against a mootness conclusion.” Id. (citing

United States v. Trans-Missouri Freight Ass’n, 166 U.S. 290, 309-

310 (1897) (footnote omitted)).

The W. T. Grant court continued, however, that a “case may

nevertheless be moot if the defendant can demonstrate that there

Case 1:06-cv-00464-JL Document 58 Filed 05/14/08 Page 10 of 17
11

is no reasonable expectation that the wrong will be repeated.” 

Id. at 633 (quotation and footnotes omitted).

Thus, the standard for determining whether a case

has been mooted by the defendant’s voluntary

conduct is stringent: A case might become moot if

subsequent events make it absolutely clear that

the allegedly wrongful behavior could not

reasonably be expected to recur. The heavy burden

of persuading the court that the challenged

conduct cannot reasonably be expected to recur

lies with the party asserting mootness.

Friends of the Earth, Inc. v. Laidlaw Envtl. Servs. (TOC, Inc.),

528 U.S. 167, 170 (2000) (citation omitted).

A legislative repeal or amendment of a statute in a manner

that satisfies the plaintiff’s complaints normally justifies a

finding of mootness because the legislative change makes it

unlikely that the wrong will be repeated.” 1B Martin Schwartz,

Section 1983 Litigation: Claims and Defenses § 15.04[B][2] at 15-

23 and n.88 (3d ed. 2007) (citing examples of legislative and

administrative agency amendments to laws, regulations and

policies). The First Circuit has recognized this corollary to

the voluntary change exception to the mootness doctrine. See,

e.g., D.H.L. Associates, 199 F.3d at 54-55 (legislative

amendments to offending ordinance rendered case moot). It is of

no consequence that the amendments in this case were made to

rules and regulations as opposed to a statute or ordinance, and

by an executive branch agency as opposed to a legislative body. 

Case 1:06-cv-00464-JL Document 58 Filed 05/14/08 Page 11 of 17
12

The corollary to the “voluntary cessation” exception applies

nonetheless. “The promulgation of new regulations and amendment

of old regulations are among such intervening events as can moot

a challenge to the regulation in its original form.” Gulf of

Maine, 292 F.3d at 88 (involving New England Fisheries Management

Council regulations). “There is no question that a case can be

mooted by promulgation of new regulations or by amendment or

revocation of old regulations.” Save Our Cumberland Mountains,

Inc. v. Clark, 725 F.2d 1422, 1432 n.27 (D.C. Cir. 1984).

Under this framework of established law, the petitioner’s

case is moot. The parties’ respective filings, and the evidence

taken at the preliminary injunction hearing establish that

Towle’s wife was denied visitation for two reasons: (1) a

mistaken belief by the prison administration that she had been

convicted of a felony drug offense within a five year period

prior to her request for visitation, and (2) a broad

interpretation of the former PPD 7.09's presumptive prohibition

of visitation by “potential visitors with criminal records”

without giving due consideration to the warden’s discretionary

authority to allow visitation by immediate family members of

prisoners, including those with criminal records. The first

ground for denial is irrelevant in this case. It cannot be cured

Case 1:06-cv-00464-JL Document 58 Filed 05/14/08 Page 12 of 17
13

through injunctive relief, and Towle’s amended complaint makes no

claim for money damages.

The second ground, however, was directly addressed by the

amendments to PPD 7.09. As amended and currently effective, PPD

7.09 contains no presumptive prohibition against visits by those

“with criminal records.” It makes finer, more clearly defined

distinctions among potential ineligible visitors, namely, those

with drug-related offenses, ex-convicts, probationers, parolees,

and individuals with recent convictions. It is thus, less

subject to overbroad interpretation or outright

misinterpretation. None of the above-listed distinctions

provides a basis to deny visitation to Katie Wilmot. Wilmot,

moreover, has been granted and currently enjoys visiting

privileges with Towle at the prison. Thus, DOC’s administrative

overhaul to the applicable regulation, PPD 7.09, renders Towle’s

request for injunctive relief moot. See Gulf of Maine, 292 F.3d

at 88 (new regulations can moot a challenge to a regulation in

its original form); Jews for Jesus, Inc. v. Hillsborough County

Aviation Auth., 162 F.3d 627, 629-30 (11th Cir. 1998) (countybased aviation authority’s change in policy regarding literature

distribution at airport rendered case moot); Free v. Landrieu,

666 F.2d 698, 702-04 (1st Cir. 1981) (reconsideration of

interpretation of challenged amendment in light of other federal

Case 1:06-cv-00464-JL Document 58 Filed 05/14/08 Page 13 of 17
14

regulations rendered case moot); McKenna v. Peekskill Housing

Authority, 647 F.2d 332, 334 (2d Cir. 1981) (housing authority’s

administrative recision of challenged rule rendered case moot). 

All of these cases follow the Supreme Court’s practice, whether

the policy change was legislatively enacted or administratively

promulgated, to evaluate claims for injunctive relief “in light

of the [applicable law] as it now stands, not as it once did.” 

Hall v. Beals, 396 U.S. 45, 48 (1969) (citing Thorpe v. Housing

Authority, 393 U.S. 268, 281-82 (1969)).

A related argument not nominally advanced by Towle, yet

nonetheless raised by the respondents, is whether, despite the

administrative change to PPD 7.09, Towle’s claims are “capable of

repetition, yet evading review.” Such claims will not be

dismissed on mootness grounds. See e.g., Dionne v. Bouley, 757

F.2d 1344, 1348 (1st Cir. 1985).

If Towle’s complaint contained a colorable, well-pleaded

claim for damages under Section 1983, it is possible that that

portion of his case may have survived a mootness challenge. His

original complaint did in fact assert a claim for damages, but

his amended complaint contains no such request, and is limited to

injunctive and declaratory relief. As those claims are now

Case 1:06-cv-00464-JL Document 58 Filed 05/14/08 Page 14 of 17
7

 In both his summary judgment filings and at oral argument,

the petitioner vigorously maintained that even if his equitable

claims were dismissed as moot, he was nonetheless entitled to a

jury trial on his claims for a declaratory judgment. He cites no

authority to support this proposition, and there is abundant

authority suggesting the opposite--that when equitable claims are

dismissed as moot, the dismissal also covers claims for

declaratory relief. See, e.g., Sutton v. Rasheed, 323 F.3d 236,

249 (3rd Cir. 2003); D.H.L. Assoc., 199 F.3d at 54; ; Jews for

Jesus, 162 F.3d at 629-30; Pembroke v. Wood County, Tex., 981

F.2d 225, 228 (5th Cir. 1993); Flittie v. Erickson, 724 F.2d 80,

82 (8th Cir. 1983); Free, 666 F.2d at 704; McKenna, 647 F.2d at

334; Kerr v. Puckett, 967 F. Supp. 354, 363 (E.D.Wis. 1997)

(aff’d 138 F.3d 321 (7th Cir. 1998). 

15

moot,7

 his entire action is subject to dismissal. Flittie, 724

F.2d at 82 (where prisoner’s civil rights suit originally

requested compensatory and punitive damages, but amended

complaint requested only injunctive and declaratory relief plus

costs, plaintiff had abandoned request for damages, and his case

was moot); cf. Sutton, 323 F.3d at 249 (where prisoner’s civil

rights claims for declaratory and injunctive relief were

dismissed under mootness doctrine, money damages claims survived

despite prison’s policy changes and transfer of plaintiff to

different facility); but see Tawaab v. Metz, 554 F.2d 22, 24 n.4

(2d Cir. 1977) (where prisoner’s equitable claims dismissed on

mootness grounds, but complaint also contained a general demand

for damages, entire case dismissed where “[a]ny award of damages

on the facts of this case, as alleged in the complaint, would be

so remote and speculative that it could not stand.”).

Case 1:06-cv-00464-JL Document 58 Filed 05/14/08 Page 15 of 17
16

To come within this exception [to the mootness

doctrine, a plaintiff must establish] . . . two

elements: (1) the activity being challenged must,

by its nature, be of such short duration that it

is unlikely to be fully litigated before its

cessation or expiration, and (2) there must be a

reasonable expectation that the same complaining

party will be subjected to the same acts again.

Id., (citing Weinstein v. Bradford, 423 U.S. 147, 149 (1975);

Loeterman v. Town of Brookline, 709 F.2d 116, 118 (1st Cir.

1983)) (bracketed language added). The applicability to this

case, however, of the legislative/administrative modification

exception to the “voluntary cessation” rule demonstrates that the

plaintiff’s claims are not capable of repetition while evading

review. See Tawwab v. Metz, 544 F.2d at 23-24 (where change in

prison policy was “embodied in an official prison document”

presented to the court, it was “absolutely clear that the

allegedly wrongful behavior could not reasonably be expected to

recur”) (quoting United States v. Concentrated Phosphate Export

Ass’n, 393 U.S. 199, 203 (1968)).

Case 1:06-cv-00464-JL Document 58 Filed 05/14/08 Page 16 of 17
17

IV. CONCLUSION

For the reasons set forth above, the respondents are awarded

summary judgment on all claims under the mootness doctrine. 

After requesting and receiving special briefing on the issue, the

court further concludes that neither party is entitled to costs

under 42 U.S.C. § 1988 (2003) or Fed. R. Civ. P. 54(d)(1). See

Buckhannon Board and Care Home, Inc. v. W. Va. Dept. of Health

and Human Resources, 532 U.S. 598, 604-06. All other pending

motions are denied as moot. The Clerk is directed to close the

case.

SO ORDERED.

 

Joseph N. Laplante

United States District Judge

Dated: May 14, 2008

cc: Robert V. Towle, pro se

Glenn A. Perlow, Esq.

Case 1:06-cv-00464-JL Document 58 Filed 05/14/08 Page 17 of 17