Lead Opinion
OPINION OF THE COURT
This case arises from a situation that is troubling on several accounts: First, because it highlights the procedural morass that state prisoners face in pursuing habe-as relief, and second, because it illustrates the tension between what should be the touchstone of any penal system-rehabilitation-and a convicted sex offender’s rights against self-incrimination under the Fifth Amendment. Presently, we must determine whether a Pennsylvania state prisoner challenging his denial of parole on Fifth Amendment grounds must first seek a writ of mandamus in state court before seeking federal habeas review. For the reasons that follow, we hold that the answer is no.
I.
Robert DeFoy was convicted in state court of armed robbery. He served ten years of a 10-20 year sentence before being paroled. Shortly after his release, De-Foy was recommitted as a technical parole violator to serve eighteen additional months. After serving this additional time, he was re-paroled.
While on parole for the second time, DeFoy was arrested for involuntary deviate sexual intercourse, statutory rape, and corruption of a minor. During trial on these charges, DeFoy testified as to his innocence but was convicted nonetheless and sentenced to 78-156 months imprisonment. In addition, the state court revoked his parole on the armed robbery sentence and ordered him to serve an additional forty months imprisonment for that offense.
DeFoy’s amended petition under 28 U.S.C. § 2254 included several claims, but only one is presently relevant. According to DeFoy, the requirement that he admit guilt to qualify for the Sexual Offender Treatment Program violates his Fifth Amendment right against coerced self-incrimination. The District Court referred this claim to the Magistrate Judge, who ultimately concluded it was likely DeFoy could have filed a petition for a writ of mandamus in the Pennsylvania state courts. In light of our instruction that any ambiguity concerning the availability of a state remedy should result in a habeas petition claim being dismissed as unex-hausted, see Coady v. Vaughn,
II.
We have jurisdiction over a District Court’s final order dismissing a habeas petition pursuant to 28 U.S.C. §§ 2253 and 1291. '
A.
The threshold issue before us is whether DeFoy’s petition is moot. The Commonwealth claims this is the case because De-Foy is no longer serving his sentence for armed robbery, but instead is now serving his sentence for the sex offenses. Thus, according to the Commonwealth, any denial of parole occurring while DeFoy was still serving his armed robbery sentence will remain unaffected by our ruling. This argument is flawed.
A prisoner may seek federal habe-as relief only if he is in custody in violation of the constitution or federal- law. 28 U.S.C. § 2254(a). Moreover, a petition for habeas corpus relief generally becomes moot when a prisoner is released from custody before the court has addressed the merits of the petition. Lane v. Williams,
In Garlotte v. Fordice,
DeFoy was required to serve the remainder of his armed robbery sentence before he could begin serving his sex offense sentence. The effect of any error as to the former was to delay the start of the latter. Thus, because any remedy we grant DeFoy might affect his release date for the sentence he is currently serving, we conclude that under Garlotte and Foster, DeFoy’s habeas petition is not moot.
B.
We may not review a petition for writ of habeas corpus “unless it appears that ... the applicant has exhausted the remedies available in the courts of the State,” or shows that doing so would be futile because state procedures are unavailable or ineffective. 28 U.S.C. § 2254(b). The exhaustion doctrine addresses “federalism and comity concerns by affording the state courts a meaningful opportunity to consider allegations of legal error without interference from the federal judiciary.” Coady,
Although we have requested, and received, some clarification from the Pennsylvania Supreme Court regarding the remedies available to prisoners who wish to challenge their denial of parole- on constitutional grounds, see, e.g., Coady v. Vaughn,
In Burkett v. Love,
In light of Weaver, several District Courts in our Circuit relied on the premise that there were no remedies in Pennsylvania state courts for prisoners who wished to challenge the denial of parole, even when the denial was based on an unconstitutional factor. As a result, these courts excused exhaustion of state remedies. See, e.g., Bonilla v. Vaughn, No. 97-7440,
This area of law became conflicted, however, when the Pennsylvania Commonwealth Court in Myers v. Ridge,
The Pennsylvania Supreme Court entered the fray in Rogers v. Pennsylvania Board of Probation and Parole,
Given the Pennsylvania Supreme Court’s equivocation, we did not consider this to be a conclusive and final clarification of the issue, and we subsequently certified the question to the Pennsylvania Supreme Court. Specifically, we asked:
1. May a person who has been denied parole from a Pennsylvania sentence obtain review from a Pennsylvania state court of a claim that the denial of parole violated the ex post facto clause of the United States Constitution?
2. If so, may review be appropriately secured on direct appeal, through a petition for a writ of mandamus, or in some other manner?
Coady,
discretionary actions and criteria are not being contested but rather the actions of the board taken pursuant to changed statutory requirements are being challenged, an action for mandamus remains viable as a means for examining whether statutory requirements have been altered in a manner that violates the ex post facto clause. Such an action could be brought in the original jurisdiction of the Commonwealth Court. Absent a change in the statutes governing parole, however, denial of parole would generally constitute a discretionary matter that is not subject to review.
Coady,
Inasmuch as Weaver has never been overruled, we conclude that it is the best indication of how the Pennsylvania Supreme Court would resolve the issues raised by DeFoy. Because the Commonwealth Court’s decision in that case is directly on point, it is highly instructive here. Therefore, a Pennsylvania state prisoner challenging the denial of parole need not file a petition for a writ of mandamus in order to satisfy the dictates of exhaustion.
The Weaver Court held that mandamus is not available to a prisoner denied parole based upon a constitutional error by the parole board.
Mandamus is based upon a duty by an agency to follow a law and is available only when, under a correct interpretation of that law, the agency has an absolute ministerial duty-no choice-to act in a certain way. Mandamus cannot be used to say that an agency considered improper factors, that its findings of fact were wrong, or that the reasons set forth in its decision are a pretense. If that was the nature of mandamus, there would be no difference between it and an appeal from the agency’s decision or other forms of actions to address those concerns.
Id. at 777 (emphasis added) (footnote omitted). As in Weaver, DeFoy’s refusal to admit guilt was the dispositive-albeit potentially improper-factor in the denial of his parole. As the Weaver Court explains, however, mandamus is not available to review a parole board’s consideration of improper factors. By force of logic, therefore, DeFoy is not entitled to seek a writ of mandamus on his claim.
We therefore read Coady’s holding narrowly, applying only to ex post facto claims. Indeed, if mandamus extended beyond the holding in that case, it would-as the Commonwealth Court explained in Weaver-be no different than a direct appeal. See Weaver,
Accordingly, in answer to the question submitted by the District Court, we conclude that claims of constitutional violations in the denial of parole in Pennsylvania need not be presented to the state courts via a petition for writ of mandamus in order to satisfy the requirement of exhaustion. We reverse the District Court to the extent it held otherwise and remand so the District Court may address the merits of DeFoy’s petition.
III.
We reverse the judgment of the District Court dismissing DeFoy’s claims as unex-hausted and remand for proceedings consistent with this opinion.
Notes
. Under Pennsylvania law, "[a]grant of parole does not eliminate a prisoner's sentence, but instead, the prisoner continues to serve his sentence during which time he or she is the subject of society’s rehabilitation efforts under supervision." Weaver v. Pa. Bd. of Prob. & Parole,
. One of the specific criteria for the treatment phase of the Program stipulates that an inmate must "admit [his] offense,”. See App. at 239.
. There is also a narrow exception to the general mootness rule that rescues DeFoy's petition from being moot. The doctrine of collateral consequences applies where a former prisoner can demonstrate he will suffer some collateral consequences if his conviction is allowed to stand. See Carafas v. LaVallee,
. We do not reach DeFoy's constitutional argument under the Fifth Amendment. He alleges that because Pennsylvania's practice makes parole for any sex offender contingent on participation in the Sexual Offender Treatment Program, and the Program in turn requires that he admit guilt, the Program violates his rights under the Fifth Amendment. We acknowledge that if DeFoy’s allegations are accurate, then he was presented with an unenviable choice: refuse to admit guilt and be ineligible to participate in the Program, thereby losing eligibility for parole, or admit guilt and incriminate himself, providing evidence that would most certainly be used against him in any post-conviction efforts to demonstrate his innocence. However, because the District Court did not certify to us the question of the Program's constitutionality, we express no view.
Concurrence Opinion
concurring.
I agree with the result reached by the majority, but arrive there by a different route. In my view, Pennsylvania law provides a procedure through which DeFoy may present his claim to the state courts and indicates that they have jurisdiction over that remedy. However, it would be futile to require him to pursue his efforts in the state forum, because, on several occasions, the Commonwealth Court has denied claims similar to DeFoy’s on the merits. Therefore, the District Court should excuse exhaustion of state remedies and proceed to decide the case.
As the majority notes, the means by which a state prisoner may seek relief in state courts from a denial of parole based on a constitutional violation is a matter of considerable jurisprudential confusion. In Burkett v. Love,
Following our decision in Burkett, the Pennsylvania Supreme Court held that Parole Board decisions are not “adjudications” under state law and, therefore, they are not appealable. Rogers v. Pa. Bd. Of Prob. & Parole,
“While appellants are not entitled to appellate review of a Parole Board decision, they may be entitled to pursue allegations of constitutional, violations against the Parole Board through a writ of mandamus, or through an action under 42 U.S.C. § 1983.5 Mandamus is an extraordinary remedy which is available to compel the Parole Board to conduct a hearing or to apply the correct law.”
Id. at 323 n. 5 (internal citations omitted).
In Coady v. Vaughn,
In response to our inquiry, the Pennsylvania Supreme Court acknowledged that “parole denial claims are not normally suited to review by way of mandamus” and “mandamus will not lie to compel a purely discretionary act.” Coady v. Vaughn,
“where ... discretionary actions and criteria are not being contested ... an action for mandamus remains viable as a means for examining whether statutory requirements have been altered in a manner that violates the ex post facto clause. Such an action could be brought in the original jurisdiction of the Commonwealth Court.”
Id.; see also Hall v. Pa. Bd. of Prob. & Parole,
Although in Coady the Pennsylvania Supreme Court did not consider the availability of mandamus for constitutional challenges other than those raising the ex post facto clause,
In Winklespecht v. Pennsylvania Board of Probation & Parole,
Justice Castille’s concurring opinions, both joined by Justice Newman, in Coady and Winklespecht suggest that a constitutional challenge to a parole denial may by cognizable under Pennsylvania’s habeas corpus statute. Justice Castille noted that “because the practical effect of a parole denial is the continuation of the prisoner’s incarceration, a petition for writ of habeas corpus would seem to be the logical and appropriate manner to raise a viable constitutional claim stemming from the Parole Board’s decision.” Coady v. Vaughn,
I have found no opinion of the Pennsylvania Supreme Court post -Coady containing any language suggesting that only constitutional claims raising an ex post facto charge are subject to review. Similarly, research has not uncovered any holding of the Pennsylvania Commonwealth Court after Coady stating that mandamus jurisdiction is limited to ex post facto claims. In fact, in Voss v. Pennsylvania Board of Probation & Parole,
Similarly, in Evans v. Pennsylvania Board of Probation & Parole,
Weaver,
“Because there is no constitutional prohibition against using Weaver’s refusal to admit that he committed the rape for which he was convicted as a basis for denying participation in treatment program, and because a failure to successfully complete that program is a valid reason for denying parole, Weaver has failed to set forth a cause of action in mandamus.”
Id. at 779.
In other portions of its opinion, however, Weaver referred to constitutional violations “that are wholly extraneous to the
Less than a year after Weaver, in a case “in the nature of mandamus,” the Commonwealth Court suggested that mandamus was available to remedy constitutional violations in the refusal of parole. Myers v. Ridge,
My research persuades me that Pennsylvania does provide a remedy for constitutional violations that infect parole denial proceedings. The state supreme court seemingly would permit the use of mandamus for that purpose. The court has not definitively addressed the question of whether habeas corpus is available.
I am convinced that the courts of Pennsylvania would not deny jurisdiction over claims of constitutional violations in prison settings or elsewhere. Consequently, I would hold that DeFoy’s claim would find a jurisdictional basis in the Pennsylvania courts.
B.
The exhaustion of state remedies requirement is excused when resort to the state courts would be futile. Lynce v. Mathis,
C.
In these circumstances, where a remedy potentially exists but attempting to exercise it would be futile, I agree with the majority that exhaustion is not required and the District Court should decide the case.
The issues in this case are important, but in the absence of a fully developed record, like the majority, I intimate no view as to whether DeFoy has a cause of action. Some sources bearing on the issue are McKune v. Lile,
A development of the record on the current practices of the Department of Corrections and the Board of Parole with respect to the implementation of the Sex
. Whether § 1983 is a proper remedy for denial of parole was argued before the United States Supreme Court on December 6, 2004 in the case of Wilkinson v. Dotson, No. 03-287,
. Given the limited question this Court certified, the answer was jurisprudentially correct.
. In Winklespecht, the court noted, "... we leave for another day the question of the propriety of habeas corpus as a remedy." Winklespecht,
