Source: https://supreme.justia.com/cases/federal/us/422/395/
Timestamp: 2019-04-20 00:43:46+00:00

Document:
After being transferred, without explanation or hearing, from a medium security to a maximum security prison in New York because of his involvement in a conflict among inmates concerning a petition for a prisoners' "union" at the former prison, respondent brought suit under 28 U.S.C. §§ 1343(3) and (4) and 42 U.S.C. § 1983 against petitioner prison officials, seeking declaratory and injunctive relief. The District Court, granting relief in part, ruled that the transfer violated the Due Process Clause of the Fourteenth Amendment, because it was made without any explanation to respondent or opportunity to be heard. The Court of Appeals affirmed with some modification, holding, inter alia, that the suit was not mooted by the fact that respondent was returned to the medium security prison prior to the District Court's ruling. Respondent was later transferred to a minimum security prison, and will soon be eligible for parole.
Held: In light of respondent's return to the medium security prison and later transfer to a minimum security prison, the suit does not present a case or controversy as required by Art. III of the Constitution, but is now moot, and must be dismissed, since, as to the original complaint, there is now no reasonable expectation that the wrong will be repeated, and the question presented does not fall within the category of harm capable of repetition, yet evading review. Pp. 422 U. S. 401-403.
499 F.2d 1214, vacated and remanded.
BURGER, C.J., delivered the opinion of the Court, in which BRENNAN, STEWART, WHITE, MARSHALL, BLACKMUN, POWELL, and REHNQUIST, JJ., joined. MARSHALL, J., filed a concurring statement, post, p. 422 U. S. 404. DOUGLAS, J., filed a dissenting statement, post, p. 422 U. S. 404.
the Court of Appeals found, and it is not seriously disputed here, that the Wallkill facility is "unique," and has advantages over other correctional institutions in the New York system in that there are fewer restrictions and physical restraints, as well as a more comprehensive rehabilitation program.
Early in 1972, a petition aimed at the formation of a prisoners' "union" was circulated at Wallkill. This event produced some vociferous controversy among the prisoners. Tension among the inmates, according to the District Court, stemmed in part from the hostility of an existing prisoner representative committee toward the "union" movement. The prison administration, however, did not forbid or actively discourage the circulation of the petition. The administrators did, however, monitor the level of unrest within the prison brought on by the clash of opinions on the petition. On June 2, 1972, there was a general meeting of the inmates at which the petition was discussed loudly by the contending factions; the meeting dispersed peacefully, however, without incidents of violence. Respondent did not attend this meeting, but he had previously signed a proposed "union" constitution and, immediately prior to the meeting, had received a petition from a fellow inmate, signed it, and passed it along.
arranged for transfer of several inmates, including Newkirk, to other facilities within the state corrections system. The transfer of Newkirk was effected on June 8. He was summoned to the infirmary and informed that he was being transferred.
Newkirk was transferred to the Clinton Correctional Facility, a maximum security institution. The conditions for the general prison population at Clinton were substantially different from those at Wallkill. At Clinton, the cells are locked, access to the library and recreational facilities is more limited, and the rehabilitation programs are less extensive. Newkirk requested a truckdriving assignment when he arrived at Clinton, and understood he was on a waiting list. He was then assigned to the residence of the superintendent of Clinton at the same wage he earned at Wallkill. Since Newkirk's family lived in New York City, 80 miles from Wallkill but 300 miles from Clinton, his transfer to Clinton made visits by his family more difficult.
as it related to them. During the trial, another plaintiff was released, and the action was dismissed as to him as well; subsequently, Newkirk was returned to Wallkill. The superintendent of that institution also had a memorandum placed in respondent's file which explained the nature of the transfer, noted that the transfer was not for disciplinary reasons, and was not to have any bearing on eligibility for parole or the decisions of the time-allowance committee.
"an explanatory note has been included with the record of transfer, and that no action adverse to plaintiff, whether with reference to parole or discipline, will be based on this information . . . ,"
id. at 504, the court also denied a request that all record of the transfer be expunged from his file.
The Court of Appeals affirmed the judgment with some modification. 499 F.2d 1214 (CA2 1974). It held that, when a prisoner suffers a "substantial loss" as a result of the transfer, "he is entitled to the basic elements of rudimentary due process, i.e., notice and an opportunity to be heard," id. at 1217, whether or not his transfer is part of a formal disciplinary proceeding and whether or not it has any adverse parole consequences. Noting that there were no formal disciplinary proceedings in this case, the Court of Appeals relied on the fact that the transfer changed Newkirk's living conditions, his job assignment, and training opportunities. However, although agreeing that advance publication of "rules," violation of which might result in transfer, "would serve the salutary function of avoiding misunderstanding and resentment . . . ," id. at 1219, the Court of Appeals concluded that requiring prison officials to draw up such rules would place officials in "an unnecessary straight jacket [sic]." Ibid. It therefore modified the judgment of the District Court to remove this requirement from its order. Although specifically noting that Newkirk had been returned to Wallkill from Clinton, the Court of Appeals held that the suit was not moot, since "[e]ven after his return, he remained subject to a new transfer at any time. . . ." Ibid. Furthermore, despite the District Court's reliance on the good faith assurances of prison officials that the transfer would not have an adverse effect on Newkirk's parole possibility, the Court of Appeals concluded he was "entitled to a judicial decree to that effect." Ibid.
without the imposition of disciplinary punishment, is entitled under the Due Process Clause of the Fourteenth Amendment to notice of the reasons for the transfer and an opportunity to be heard? [Footnote 2]"
In granting the petition, however, the Court directed that the parties brief and argue the question of mootness. 419 U.S. 894 (1974).
"'a real and substantial controversy admitting of specific relief through a decree of a conclusive character, as distinguished from an opinion advising what the law would be upon a hypothetical state of facts.'"
SEC v. Medical Comm. for Human Rights, 404 U. S. 403 (1972); United States v. Munsingwear, Inc., 340 U. S. 36 (1950)."
"the question in each case is whether the facts alleged, under all the circumstances, show that there is a substantial controversy, between parties having adverse legal interests, of sufficient immediacy and reality to warrant the issuance of a declaratory judgment."
Id. at 312 U. S. 273 (emphasis supplied). This is not a class action, and Newkirk has not sought damages. As noted, supra, before the ruling of the District Court, Newkirk had been transferred back to Wallkill and had been there for 10 months. No adverse action was taken against him during that period. A notation had been made in his file expressly stating that the transfer "should have no bearing in any future determinations made by the Board of Parole or the time allowance committee." Newkirk has now been transferred, as noted above, to a minimum security facility in New York City. It is therefore clear that correction authorities harbor no animosity toward Newkirk. We have before us more than a "[m]ere voluntary cessation of allegedly illegal conduct," United States v. Concentrated Phosphate Export Assn., Inc., 393 U. S. 199, 393 U. S. 203 (1968), where we would leave "[t]he defendant . . . free to return to his old ways." United States v. W. T. Grant Co., 345 U. S. 629, 345 U. S. 632 (1953). As to Newkirk's original complaint, there is now "no reasonable expectation that the wrong will be repeated,'" id. at 345 U. S. 633, quoting United States v. Aluminum Co. of America, 148 F.2d 416, 448 (CA2 1945).
"pleadings must be something more than an ingenious academic exercise in the conceivable. A plaintiff must allege that he has been or will, in fact, be perceptibly harmed by the challenged agency action, not that he can imagine circumstances in which he could be affected by the agency's action."
Similarly, while there is always the possibility that New York authorities might disregard the specific record notation that the transfer should have no effect on good time or parole decisions in regard to Newkirk, "such speculative contingencies afford no basis for our passing on the substantive issues [Newkirk] would have us decide . . . ," Hall v. Beals, 396 U. S. 45, 396 U. S. 49 (1969). The record of events since the challenged transfer hardly bears out a genuine claim of an injury or possible injury "of sufficient immediacy and reality to warrant the issuance of a declaratory judgment." Maryland Casualty Co., 312 U.S. at 312 U. S. 273. Newkirk, as noted above, will be eligible for parole within a matter of days. See supra at 422 U. S. 401.
with directions that the complaint be dismissed by the District Court. United States v. Munsingwear, Inc., 340 U. S. 36, 340 U. S. 39 (1950).
MR. JUSTICE DOUGLAS dissents from the holding of mootness, and would affirm the judgment below.
New York State has six correctional facilities that are designated as maximum security institutions: Attica, Auburn, Clinton, Green Haven, Ossining, and Great Meadow. Eight facilities, or portions thereof, are designated as medium security institution: Adirondack, Bedford Hill, Coxsackie, Elmira, Eastern, Fishkill, Tappon, and Wallkill. Six others are designated minimum security institutions: Albion, Bayview, Edgecombe, Parkside, Rochester, and Taconic. There are also four minimum security correctional camps. See 7 NYCRR, pt. 100, §§ 100.1-100.94.
Pet. for Cert. 2. See this Court's Rule 23(1)(c).
Tr. of Oral Arg. 7, 22; Brief for Respondent 10.
I join this opinion only because, for some reason, respondent did not file this case as a class action. As a result, the State of New York, by releasing the other three named plaintiffs, transferring respondent back to Wallkill after the District Court action, and finally to a lesser correctional facility after the Court of Appeals acted, thereby made the case moot.

References: § 1983
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