PUBLISHED
UNITED STATES COURT OF APPEALS
FOR THE FOURTH CIRCUIT
PATRICIA STEPHENS,
Plaintiff-Appellant,
v.
COUNTY OF ALBEMARLE, VIRGINIA; No. 07-1478
CITY OF CHARLOTTESVILLE; RIVANNA
SOLID WASTE AUTHORITY,
Defendants-Appellees.
Appeal from the United States District Court
for the Western District of Virginia, at Charlottesville.
Norman K. Moon, District Judge.
(3:04-cv-00081)
Argued: March 18, 2008
Decided: May 9, 2008
Before Sandra Day O’CONNOR, Associate Justice (Retired),
Supreme Court of the United States, sitting by designation,
WILLIAMS, Chief Judge, and HAMILTON, Senior Circuit Judge.
Vacated and remanded by published opinion. Chief Judge Williams
wrote the opinion, in which Associate Justice O’Connor and Senior
Judge Hamilton joined.
COUNSEL
ARGUED: Deborah Chasen Wyatt, WYATT & ASSOCIATES,
P.L.C., Charlottesville, Virginia, for Appellant. Alvaro Antonio Inigo,
2 STEPHENS v. COUNTY OF ALBEMARLE
ZUNKA, MILNOR, CARTER & INIGO, LTD., Charlottesville, Vir-
ginia, for Appellees. ON BRIEF: Richard H. Milnor, ZUNKA, MIL-
NOR, CARTER & INIGO, LTD., Charlottesville, Virginia, for
Appellees.
OPINION
WILLIAMS, Chief Judge:
After Patricia Stephens’s husband, Wayne Stephens, died in an
explosion at a landfill near Ivy, Virginia, she brought this action
under 42 U.S.C.A. § 1983 (West 2003 & Supp. 2006) against the
landfill’s operators—the County of Albemarle, the City of Charlottes-
ville, and the Rivanna Solid Waste Authority ("RSWA")1 (collec-
tively "Appellees"). Ms. Stephens claims that two settlement
agreements between Appellees and third-parties unconstitutionally
conditioned government benefits on the relinquishment of the third-
parties’ First Amendment rights to speak freely about the landfill,
thereby depriving her and her husband of their First Amendment
rights to receive information. She further claims that this violation
proximately caused Wayne Stephens’s death.
The district court granted summary judgment in favor of Appellees,
reasoning that the settlement agreements did not make any govern-
ment benefit contingent on the surrender of First Amendment rights.
We conclude, however, that because Ms. Stephens, both individually
and as her husband’s personal representative, lacks standing to pursue
her claims, the district court was without subject-matter jurisdiction
to consider the merits of her claims. We therefore vacate the judgment
of the district court and remand for dismissal of Ms. Stephens’s case.
I.
This appeal is from the district court’s grant of summary judgment
1
The Rivanna Solid Waste Authority ("RSWA") is a distinct govern-
mental entity jointly operated by the County of Albemarle and the City
of Charlottesville.
STEPHENS v. COUNTY OF ALBEMARLE 3
in favor of Appellees, so we review the facts in the light most favor-
able to Ms. Stephens. See Anderson v. Liberty Lobby, Inc., 477 U.S.
242, 255 (1986) (noting that all evidence must be construed in the
light most favorable to the party opposing summary judgment).
Ms. Stephens resides in the area of Albemarle County, Virginia
known as Ivy, near the landfill operated by Appellees. Her husband,
Wayne, worked as the landfill’s manager until April 10, 2003, when
a cutting torch that he was using to cut old oil storage tanks for resale
as scrap metal sparked an explosion, killing him. Cutting fuel tanks
in this manner was a serious violation of the regulations of the Occu-
pational Safety and Health Administration ("OSHA"). OSHA cited
the RSWA for six separate serious violations in connection with the
explosion. These failings, however, do not represent the basis for the
present litigation, which focuses instead on Appellees’ actions several
years earlier, when a number of Stephens’s neighbors raised concerns
about the landfill’s environmental impacts.
In the mid-1990s, plans to maximize the amount of trash that could
be put into the landfill spurred a number of individuals living near the
landfill to form a citizens group called the Ivy Steering Committee
(hereinafter the "Committee"). Concerned primarily about water and
air pollution from the landfill, Committee members educated them-
selves "about the issues at the landfill" and met, usually on a weekly
basis, to discuss those issues. (J.A. at 207.) On a number of occasions,
Committee members relayed their concerns to regulatory agencies, at
one point writing letters to the Environmental Protection Agency
("EPA") and writing many letters to the Virginia Department of Envi-
ronmental Quality. Committee members also wrote letters to the
RSWA, and some members, particularly David Booth and Ed
Strange, often called the RSWA to voice concerns. The Committee
did not make public the minutes of its meetings. It did, however,
maintain a website and erected a billboard with a "Mr. Yucky face"-
style design that was related to issues of water pollution.
The Stephenses were not members of the Committee and did not
attend the meetings. In the course of this lawsuit, Ms. Stephens has,
however, gathered information through discovery regarding the
group’s discussions. One member, Ed Strange, stated that although
the concerns discussed "most often involved water and air pollution,
4 STEPHENS v. COUNTY OF ALBEMARLE
. . . discussions were by no means limited to these concerns and in
fact covered virtually any activity taking place at the landfill." (J.A.
at 274.) Another member, Daniel Burke, agreed that the discussions
could extend to, for example, worker safety, explaining that if anyone
in the Committee knew about a practice that endangered the life or
safety of an employee at the landfill, it would definitely have come
up in the meetings. Burke did not, however, remember discussing any
worker-safety concerns that were not coextensive with the Committee
members’ own concerns about water and air quality. He explained
that, before learning of Wayne Stephens’s death in the newspaper, he
personally did not have any misgivings about this aspect of the land-
fill’s operations, as he had "no reason to . . . believe that they weren’t
professional at burying trash." (J.A. at 246.)
In 1998, the Committee, dissatisfied with the results of its calls and
letters, instituted a lawsuit against Appellees. In Weber v. RSWA,
3:98cv0019 (W.D. Va. 1998), twenty-four plaintiffs, including indi-
viduals living near the landfill as well as the St. John the Baptist Epis-
copal Church and the Peacock Hill Water Authority, alleged that the
landfill was contaminating the surrounding air and water, in violation
of federal and state environmental statutes and state nuisance law.
Appellees settled the Weber lawsuit with all but four of the plaintiffs
by entering into two separate settlement agreements in 2000.
Appellees entered into one of the settlement agreements (the
"Booth Agreement") with David and Maureen Booth, whose 26-acre
property abutted the landfill. Pursuant to the Booth Agreement,
Appellees agreed to purchase the Booths’ property. The Booths, in
exchange, agreed to, among other things, release their claims against
Appellees and sign two letters withdrawing complaints they had made
about the landfill to regulatory agencies. Of particular relevance to
this appeal, the Booth Agreement also provided that:
The Booths, to the extent that they have control over such
matters and to the extent possible, agree to remove the Ivy
Steering Committee website and any language or images
from any personal websites and billboards, from the public
domain which deal with any of the matters raised in the
Action or with respect to the Ivy landfill. Further, the
Booths will cease opposition to the Ivy landfill and any fur-
STEPHENS v. COUNTY OF ALBEMARLE 5
ther permits for which it may apply, will refrain from
directly or indirectly opposing the landfill or permitting, will
make no further private or public adverse comments about
the landfill, and will not engage or solicit from others any
opposition to or legal action opposed to said landfill or its
permitting process.
(J.A. at 57-58.)
Another settlement agreement, the "Burke Agreement," covered the
remaining settling plaintiffs. In the Burke Agreement, Appellees
agreed to modify a pending permit application to construct and oper-
ate a new waste disposal cell ("Cell 5") at the landfill, as well as to
handle particular wastes in certain ways, continue to refuse certain
wastes at the landfill, continue to monitor groundwater, purchase cer-
tain property from certain plaintiffs, monitor air quality, pay Compre-
hensive Environmental Response, Compensation, and Liability Act
("CERCLA") costs, and pay attorneys’ fees. Appellees also agreed to
install water treatment devices if groundwater contamination
exceeded a certain level and to provide the plaintiffs with potable
water if contamination exceeded EPA standards; these obligations are
not contingent on the settling plaintiffs fulfilling the terms of the
Burke Agreement. In exchange, the settling plaintiffs released their
claims against Appellees and also agreed not to oppose the Cell 5 permit2
and to remove from their websites any language or images "which
deal with any of the matters raised in the Action with respect to the
Ivy landfill." (J.A. at 99.)
David Booth used the funds he received pursuant to the Booth
Agreement to relocate to a new home with his wife. Following the
settlement, he "never looked back," (J.A. at 186), and thus could not
say with certainty whether the Committee continued to hold meetings
2
"Oppose" was defined as submitting written or oral comments in
opposition to the permit to the relevant authorities, speaking in opposi-
tion to the permit at public hearings, making statements to the press
opposing the permit, providing documents to authorities for the purpose
of opposing the permit, providing another person with documents or
statements in opposition to the permit, or providing another person with
documents for use in opposing the permit.
6 STEPHENS v. COUNTY OF ALBEMARLE
after the two settlement agreements went into effect. He did believe
the meetings continued, albeit with a smaller group. Although Booth
never actually read the terms of his settlement agreement, he per-
ceived that its restrictions on his speech were extremely broad. As a
result, there have been "times [he] wanted to say something and real-
ized [he] could not." (J.A. at 163.) Currently, Booth "d[oesn’t] really
care," (J.A. at 188), whether a court invalidates the speech restrictions
in the Booth Agreement. He does, however, resent the encumbrance
it represents. Indeed, he feels that "anybody should be able to have
a free say," and that he has topics he would like to talk about were
he not constrained by the agreement. (J.A. at 162.)
Similarly, Daniel Burke resents his own settlement agreement to
the extent that it restricts his ability to oppose the Cell 5 permit.
Offended by the idea that "the local government tried to gag its own
citizens," he "wanted to feel free to speak out on that issue" and con-
sidered challenging the Burke Agreement, but ultimately decided not
to do so. Otherwise, Burke did not have any particular issues he
wanted to discuss.
Burke agreed to the provision restricting him from opposing the
Cell 5 permit only because he knew that the Burke Agreement did not
bind Gertrude and Michael Weber ("the Webers") or Ed and Pamela
Strange ("the Stranges"), whom he described as core members of the
Committee, and whom he believed would become aware of any prob-
lems and act as his voice if necessary. According to Burke, the
Webers and the Stranges continued to have meetings, at least with
their attorneys and a hydrologist, after the other plaintiffs in the
Weber suit settled. Burke indicated that others have also discussed
issues related to the landfill: he knows of two meetings held to discuss
leachate problems from the part of the landfill known as Cell 2, but
was out of town for both meetings and thus was unable to attend.
Burke did not know about the fuel-tank cutting at the landfill. He, like
Booth, learned of Wayne Stephens’s death through the newspaper.
Ed Strange, however, learned of the fuel-tank-cutting practice
before the explosion. Strange noticed black smoke coming from the
landfill approximately seven months before Wayne Stephens’s death.
He inquired into the matter and learned that the black smoke was dis-
charged in connection with the practice of cutting up storage tanks,
STEPHENS v. COUNTY OF ALBEMARLE 7
the practice that ultimately killed Wayne Stephens. Although Strange
did not sign either settlement agreement and therefore had no restric-
tions on his speech, he did not contact anyone regarding what he had
learned. According to Strange, the Committee meetings abruptly
ended following the settlements, and because he no longer had his
"group of associates to discuss landfill issues with, [he] took the mat-
ter no further." (J.A. at 275.) Strange believes that if the Committee
had continued its meetings, he would have initiated a vigorous discus-
sion that would have caused the group to pursue the issue "in what-
ever fashion necessary to either end the practice or obtain assurances
(now known not to exist) that the practice was safe." (J.A. at 275.)
Ms. Stephens, too, believes that the explosion would not have
occurred had a citizens group more zealously monitored and opposed
the landfill activities. Accordingly, on October 1, 2004, Stephens filed
a complaint in the U.S. District Court for the Western District of Vir-
ginia asserting three causes of action: (1) a violation of the First
Amendment proximately causing death (Count I); (2) a violation of
Due Process (Count II), and, (3) violations of Ms. Stephens’s and her
husband’s First Amendment rights to receive information concerning
safety and environmental hazards posed by the landfill (Count III).
Stephens’s complaint sought $15 million in damages for the wrongful
death of Wayne Stephens and $1 million in damages for the depriva-
tion of the Stephenses’ First Amendment rights to receive information
concerning the landfill, as well as declaratory and injunctive relief
voiding the Booth Agreement and the Burke Agreement.
The district court initially dismissed Stephens’s complaint but sub-
sequently granted, in part, Ms. Stephens’s motion to reconsider that
decision and reinstated the First Amendment claims (Counts I & III).
The crux of these claims was Ms. Stephens’s contention that the
Booth Agreement and the Burke Agreement unconstitutionally condi-
tioned government benefits on the relinquishment of the settling
plaintiffs’ First Amendment rights to speak freely about the landfill.
This condition, she argued, prevented the dissemination of health and
safety information that their neighbors had a reciprocal First Amend-
ment right to receive. Ms. Stephens split the claimed First Amend-
ment violation into two Counts (Counts I & III) because she further
alleged that had the settlement agreements not stifled discussion of
landfill safety information, someone would have uncovered the
8 STEPHENS v. COUNTY OF ALBEMARLE
OSHA violations occurring at the landfill, thus preventing Wayne
Stephens’s death. The district court initially doubted Ms. Stephens’s
standing to assert these "truly novel" claims. (J.A. at 24.) Upon recon-
sidering its dismissal of Counts I and III at the pleading stage, how-
ever, the district court concluded that because Ms. Stephens’s
complaint alleged the existence of one or more willing speakers and
also alleged that she and her husband were potential recipients of
speech from the parties to the settlement agreements because they
lived in Albemarle County near the landfill, Ms. Stephens, both in her
own right and on behalf of her deceased husband, had standing to pur-
sue her First Amendment claims.
Ultimately, the district court granted summary judgment in favor
of Appellees. Without revisiting the issue of standing, the court
rejected Ms. Stephens’s claims on the merits, reasoning that because
neither the Booth Agreement nor the Burke Agreement conditioned
a government benefit on the surrender of First Amendment rights, Ms.
Stephens could not prevail.
Ms. Stephens timely appealed, and we have jurisdiction pursuant
to 28 U.S.C.A. § 1291 (West 2006).3
II.
As a court of limited jurisdiction, we have "a special obligation to
satisfy [our]self not only of [our] own jurisdiction, but also that of the
lower courts in a cause under review, even though the parties are pre-
pared to concede it." Bender v. Williamsport Area Sch. Dist., 475 U.S.
534, 541 (1986) (internal quotation marks omitted). "When the lower
federal court lacks jurisdiction, we have jurisdiction on appeal, not of
the merits but merely for the purpose of correcting the error of the
lower court in entertaining the suit." Id. (internal quotation marks and
alteration omitted); see also Steel Co. v. Citizens for a Better Env’t,
523 U.S. 83, 94-95 (1998) ("The requirement that jurisdiction be
established as a threshold matter springs from the nature and limits of
the judicial power of the United States and is inflexible and without
3
Ms. Stephens does not appeal the district court’s dismissal of the Due
Process claim (Count II) under Fed. R. Civ. P. 12(b)(6) for failure to
state a claim. (J.A. at 15.) Accordingly, this claim is not before us.
STEPHENS v. COUNTY OF ALBEMARLE 9
exception." (internal quotation marks and alteration omitted)). To that
end, we must "assure ourselves of [Stephens’s] standing under Article
III," for the requirement of standing enforces "the constitutional limi-
tation of federal-court jurisdiction to actual cases or controversies."
Daimler Chrysler Corp. v. Cuno, 547 U.S. 332, 340, 341-42 (2006)
(internal quotation marks omitted).4
It is well-established that, to satisfy Article III’s standing require-
ments, a plaintiff must show that:
(1) [she] has suffered an ‘injury in fact’ that is (a) concrete
and particularized and (b) actual or imminent, not conjec-
tural or hypothetical; (2) the injury is fairly traceable to the
challenged action of the defendant; and (3) it is likely, as
opposed to merely speculative, that the injury will be
redressed by a favorable decision.
Friends of the Earth, Inc. v. Laidlaw Envtl. Servs., 528 U.S. 167, 180-
81 (2000) (citing Lujan v. Defenders of Wildlife, 504 U.S. 555, 560-
61 (1992)). "The party invoking federal jurisdiction bears the burden
of establishing these elements." Lujan, 504 U.S. at 561.
The Supreme Court in Lujan explained that a plaintiff establishes
her standing "in the same way as any other matter on which the plain-
tiff bears the burden of proof, i.e., with the manner and degree of evi-
dence required at the successive stages of the litigation." 504 U.S. at
561. "At the pleading stage, general factual allegations of injury
resulting from the defendant’s conduct may suffice, for on a motion
to dismiss we presume that general allegations embrace those specific
facts that are necessary to support the claim." Id. (internal quotation
marks and alteration omitted). "In response to a summary judgment
motion, however, the plaintiff can no longer rest on such mere allega-
tions, but must ‘set forth’ by affidavit or other evidence ‘specific
facts’ . . . which for purposes of the summary judgment motion will
be taken to be true." Id. (quoting Fed. R. Civ. P. 56(e)).
4
To assist us in this endeavor, we requested supplemental briefs from
the parties addressing Ms. Stephens’s standing to pursue her claims on
behalf of herself and Wayne Stephens. We appreciate the help that they
provided.
10 STEPHENS v. COUNTY OF ALBEMARLE
Ms. Stephens claims that she has set forth a sufficient factual basis
for her standing to withstand summary judgment on that ground.
According to Ms. Stephens, both she and her husband have suffered
"injuries in fact"—violations of their First Amendment right to
receive information—that were caused by the speech restrictions
Appellees obtained through the settlement agreements and are
redressable by a favorable decision in this case. Appellees counter
that neither Ms. Stephens nor her husband was a potential recipient
of speech covered by the Booth and Burke Agreements. Appellees
therefore contend that because the Stephenses would not have
received information from the settling plaintiffs about health and
safety concerns posed by the landfill, they were not injured by the
speech restrictions in the Booth and Burke Agreements. We agree that
Stephens’s allegations of injury are simply too speculative to support
standing.
To be sure, "[i]t is now well established that the Constitution pro-
tects the right to receive information and ideas" from a willing
speaker. Stanley v. Georgia, 394 U.S. 557, 564 (1969); see also Va.
State Bd. of Pharmacy v. Va. Citizens Consumer Council, 425 U.S.
748, 756 (1976) (explaining that where a willing speaker exists, "the
protection afforded [by the First Amendment] is to the communica-
tion, to its source and to its recipients both").
But to have standing to assert a right to receive speech, a plaintiff
must show that there exists a speaker willing to convey the informa-
tion to her. See FOCUS v. Allegheny County Court of Common Pleas,
75 F.3d 834, 838-39 (3d Cir. 1996) (holding that plaintiffs with an
interest in a lawsuit had standing to challenge gag order constraining
the speech of parties to a widely publicized adoption case because one
party to the case had spoken publicly before the gag order, supporting
the inference that it would be willing to do so again); In re Applica-
tion of Dow Jones & Co., 842 F.2d 603, 606-08 (2d Cir. 1988) (hold-
ing that news agencies had standing to challenge gag order
constraining speech of trial participants because extensive pretrial
publicity showed that the trial participants were willing speakers and
that the news agencies were in fact potential receivers of the
restrained speech); Public Citizen v. Liggett Group, Inc., 858 F.2d
775, 787 n.12 (1st Cir. 1988) (holding that third-party public interest
group had standing to challenge protective order in court case because
STEPHENS v. COUNTY OF ALBEMARLE 11
the plaintiffs clearly indicated that they would disseminate the infor-
mation if permitted to do so, meaning that modification of the order
would, as a practical matter, guarantee the group access to docu-
ments).
Here, Stephens provided deposition testimony from Booth and
Burke indicating their willingness to speak about matters covered by
their respective settlement agreements. Booth stated that there were
"times [he] wanted to say something and realized [he] could not,"
(J.A. at 163), because of the Booth Agreement. Similarly, Burke
expressed resentment toward the inclusion of a speech restraint in the
Burke Agreement and a desire to see the restriction lifted. Thus, Ms.
Stephens has presented evidence that at least one of the signatories to
each settlement agreement would be a willing speaker in the absence
of the agreements.
Ms. Stephens has not, however, offered any indication that these
willing speakers would have discussed the landfill with her or her
husband in the past or that they would presently discuss the landfill
with her if they were not constrained by the settlement agreements.
Neither Booth nor Burke claimed to have spoken to either of the Ste-
phenses regarding the landfill in the past or to have had any desire to
do so. And, looking forward, neither Booth nor Burke have indicated
that there is any particular landfill-related issue that either of them
would like to discuss. Burke stated that he currently only takes issue
with, and wants to speak about, the speech restriction itself; Booth has
"never looked back," (J.A. at 181), and "d[oesn’t] really care," (J.A.
at 188), if the speech restriction is lifted, though he does resent the
encumbrance it represents.
Moreover, Ms. Stephens has not sought to discuss the landfill with
either Booth or Burke. Burke did not know Stephens, and although
Stephens did know Booth, who had been a relatively close neighbor
of hers before he relocated, she saw him only on a few occasions after
he moved and has never approached him with any questions related
to Wayne Stephens’s death. Thus, there exists no direct connection
between Booth and/or Burke and Stephens such that, absent the settle-
ment agreements, Stephens would expect to receive the information
that Booth and Burke possessed. Cf. Lamont v. Postmaster Gen., 381
U.S. 303, 304-05 (1965) (successful challenge to a statute restricting
12 STEPHENS v. COUNTY OF ALBEMARLE
the right to receive certain publications (deemed communist propa-
ganda) through the mail brought by two individuals whose publica-
tions had been detained by the postal service).
Nevertheless, Ms. Stephens argues that she "stands among the core
class of foreseeable recipients of the banned safety speech," (Supp.
Br. of Appellant at 1), urging us to presume that, because she lives
near Booth, Burke, and the landfill, she is a potential recipient of
Booth’s and Burke’s landfill-related speech. This contention, how-
ever, is belied by the absence of any indication that Stephens ever
once was a recipient of such information from Booth, Burke, or any
other Committee member during the years when she claims those
individuals were outspoken, as well as by her failure to seek out infor-
mation from signatories of the Booth and/or Burke Agreements.
Although Ms. Stephens alleges that her neighbors were vocal in dis-
cussing problems at the landfill prior to the settlements, she does not
claim that either she or her husband, who were not members of the
Committee, ever heard or read anything from this vociferous group.
Similarly, although Ms. Stephens offered evidence that the Commit-
tee maintained a website impacted by the settlement agreements, she
does not assert that either she or her husband ever visited (or
attempted to visit) that website. Instead, she leaves us to speculate
that, although she did not receive information from Committee mem-
bers in the past by virtue of her status as a neighbor and has not
actively sought information from them, something might have
changed such that she would now hear from Booth and Burke if they
could speak freely. In so doing, she forgets that, to satisfy Article III’s
standing requirements, a plaintiff must suffer an injury that is "actual
and imminent" not "conjectural or hypothetical." Lujan, 504 U.S. at
560 (internal quotation marks omitted).
In sum, Ms. Stephens merely speculates that she and/or her hus-
band would have been and that she continues to be a potential recipi-
ent of speech from members of the Committee, specifically, Booth
and Burke, had those individuals not been subject to restrictions
imposed by the Booth and Burke Agreements, respectively. Because
Stephens has not provided any factual support for this conjecture, she
cannot demonstrate that the speech restrictions in the settlement
agreements caused her, or her husband, any injury. Accordingly, both
STEPHENS v. COUNTY OF ALBEMARLE 13
individually and as Wayne Stephens’s personal representative, she
lacks standing to pursue her First Amendment claims.
III.
For the foregoing reasons, we vacate the judgment of the district
court and remand with instructions to dismiss Ms. Stephens’s case for
lack of jurisdiction.
VACATED AND REMANDED