DUSENBERY v. UNITED STATES
No. 00-6567
SUPREME COURT OF THE UNITED STATES
Argued October 29, 2001—Decided January 8, 2002
534 U.S. 161
Allison M. Zieve, by appointment of the Court, 532 U. S. 940, argued the cause for petitioner. With her on the briefs was Alan B. Morrison.
Jeffrey P. Minear argued the cause for the United States. With him on the brief were Solicitor General Olson, Assistant Attorney General Chertoff, Deputy Solicitor General Dreeben, and William C. Brown.*
*Julia M. Carpenter filed a brief for the DKT Liberty Project as amicus curiae urging reversal.
This case concerns the adequacy of the means employed by the Federal Bureau of Investigation (FBI) to provide notice to a federal prisoner of his right to contest the administrative forfeiture of property seized during the execution of a search warrant for the residence where he was arrested.
In April 1986, officers of the FBI arrested petitioner Larry Dean Dusenbery at a house trailer in Atwater, Ohio. Later that day, they obtained and executed a search warrant, seizing drugs, drug paraphernalia, several firearms, a ballistic knife, an automobile registered in the name of petitioner‘s stepmother, and various other items of personal property. Among these was $21,939 in cash, $394 of which had been found on petitioner‘s person, $7,500 in the inside pocket of a coat in the dining area and $14,045 in a briefcase found on the floor in the living room.
Two months later, petitioner pleaded guilty in the United States District Court for the Northern District of Ohio to a charge of possession with intent to distribute 813 grams of cocaine in violation of
At this time, designated agents of the FBI were allowed to dispose of property seized pursuant to the Controlled Substances Act, 84 Stat. 1242,
To effect such a forfeiture, the statute required the agency to send written notice of the seizure together with information on the applicable forfeiture procedures to each party who appeared to have an interest in the property.
Nearly five years later, petitioner moved in the District Court pursuant to Rule 41(e) of the Federal Rules of Crimi-
The Court of Appeals for the Sixth Circuit vacated the District Court‘s judgment and remanded for further proceedings. Judgt. order reported at 97 F. 3d 1451 (1996), App. 31. The Court of Appeals agreed that petitioner could not pursue his claim through a Rule 41(e) motion since the criminal proceedings against him had been completed. It held that the District Court abused its discretion, however, by not construing the motion as a civil complaint seeking equitable relief for a due process challenge to adequacy of the notice of the administrative forfeiture.
Following remand, the District Court entered an order allowing discovery and subsequently presided over a telephone deposition of James Lawson, an Inmate Systems Officer who began to work in the mailroom at FCI Milan early in 1988 and who had submitted an affidavit in the case. Lawson testified that he signed the certified mail receipt for the FBI‘s notice to petitioner regarding the cash. App. 49-50. He also testified about the procedures within FCI Milan for accepting, logging, and delivering certified mail addressed to inmates. Id., at 50. Lawson explained that the
Both parties moved for summary judgment. The District Court ruled that the Government‘s sending of notice by certified mail to petitioner‘s place of incarceration satisfied his due process rights as to the cash. Case No. 5:95-CV-1872 (ND Ohio, Jan. 19, 1999). The Court of Appeals affirmed. 223 F. 3d 422 (CA6 2000). Citing Mullane v. Central Hanover Bank & Trust Co., 339 U. S. 306, 314 (1950), it held that the Government‘s notice of the cash forfeiture comported with due process even in the absence of proof that the mail actually reached petitioner. 223 F. 3d, at 424.
Because Courts of Appeals have reached differing conclusions about what the Due Process Clause requires of the United States when it seeks to provide notice to a federal inmate of its intention to forfeit property in which the inmate appears to have an interest,3 we granted certiorari to
The Due Process Clause of the Fifth Amendment prohibits the United States, as the Due Process Clause of the Fourteenth Amendment prohibits the States, from depriving any person of property without “due process of law.” From these “cryptic and abstract words,” Mullane, supra, at 313, we have determined that individuals whose property interests are at stake are entitled to “notice and an opportunity to be heard.” United States v. James Daniel Good Real Property, 510 U. S. 43, 48 (1993).
Petitioner urges that, in analyzing his due process claim, we follow the approach articulated in Mathews v. Eldridge, 424 U. S. 319 (1976). Brief for Petitioner 12; Reply Brief for Petitioner 7. There we spoke of a balancing of three factors: (1) the private interest that will be affected by the official action, (2) a cost-benefit analysis of the risks of an erroneous deprivation versus the probable value of additional safeguards, and (3) the Government‘s interest, including the function involved and any fiscal and administrative burdens associated with using different procedural safeguards. 424 U. S., at 335. The United States, on the other hand, urges us to apply the method set forth in Mullane, supra, which espouses a more straightforward test of reasonableness under the circumstances. Brief for United States 27.
We think Mullane supplies the appropriate analytical framework. The Mathews balancing test was first conceived in the context of a due process challenge to the adequacy of administrative procedures used to terminate Social Security disability benefits. Although we have since invoked Mathews to evaluate due process claims in other
Mullane itself involved a due process challenge to the constitutional sufficiency of notice to beneficiaries on judicial settlement of accounts by the trustee of a common trust fund established under state law. A trustee of such a common trust fund sought a judicial decree settling its accounts as against all parties having an interest in the fund. The only notice of the application for this decree was by court-ordered publication in a newspaper for four successive weeks. 339 U. S., at 309-310. We held that this notice was constitutionally defective as to known persons whose whereabouts were also known, because it was not “reasonably calculated, under all the circumstances, to apprise interested parties of the pendency of the action and afford them an opportunity to present their objections.” Id., at 314, 319; see also id., at 315 (“The means employed must be such as one desirous of actually informing the absentee might reasonably adopt to accomplish it“).
Was the notice in this case “reasonably calculated under all the circumstances” to apprise petitioner of the pendency of the cash forfeiture? The Government here carried its burden of showing the following procedures had been used to give notice. The FBI sent certified mail addressed to
Petitioner does not seriously contest the FBI‘s use of the postal service to send its certified letter to him, a method our cases have recognized as adequate for known addressees when we have found notice by publication insufficient.4 Tr. of Oral Arg. 11 (“This case is not really a mailed notice case because the procedures that are inadequate are the procedures that happened after the mailing“). Instead, he argues that the notice was insufficient because due process generally requires “actual notice” to interested parties prior to forfeiture, which he takes to mean actual receipt of notice.5 Brief for Petitioner 8, 15, 18-19; see also Tr. of Oral Arg. 23.
We note that none of our cases cited by either party has required actual notice in proceedings such as this. Instead, we have allowed the Government to defend the “reasonableness and hence the constitutional validity of any chosen method . . . on the ground that it is in itself reasonably certain to inform those affected.” Mullane, 339 U. S., at 315.
Petitioner argues that because he was housed in a federal prison at the time of the forfeiture, the FBI could have made arrangements with the BOP to assure the delivery of the notice in question to him. Brief for Petitioner 17. But it is hard to see why such a principle would not also apply, for example, to members of the Armed Forces both in this country and overseas. Undoubtedly the Government could make a special effort in any case (just as it did in the movie “Saving Private Ryan“) to assure that a particular piece of mail reaches a particular individual who is in one way or another in the custody of the Government. It could, for example, have allowed petitioner to make an escorted visit to the post office himself in order to sign for his letter. But the Due Process Clause does not require such heroic efforts by the Government; it requires only that the Government‘s effort be “reasonably calculated” to apprise a party of the pendency of the action; “[t]he criterion is not the possibility of conceiv-
Nor does the Due Process Clause require the Government to substitute the procedures proposed by petitioner for those in place at FCI Milan in 1988. See Brief for Petitioner 17 (suggesting that the Government could send the notice to a prison official with a request that a prison employee watch the prisoner open the notice, cosign a receipt, and mail the signed paper back to the agency from which it came). The suggested procedures would work primarily to bolster the Government‘s ability to establish that the prisoner actually received notice of the forfeiture, a problem petitioner perceives to be the FCI Milan‘s procedures’ primary defect. See Tr. of Oral Arg. 15 (explaining that the problem is that “[t]he procedure doesn‘t require verification of delivery“). But as we have noted above, our cases have never required actual notice. The facts of the present case, moreover, illustrate the difficulty with such a requirement. The letter in question was sent to petitioner in 1988, but the claim of improper notice was first asserted in 1993. What might be reasonably fresh in the minds of all parties had the question arisen contemporaneously will surely be stale five years later. The issue would often turn on disputed testimony as to whether the letter was in fact delivered to petitioner. The title to property should not depend on such vagaries.
JUSTICE GINSBURG‘s dissent does not contend, as petitioner does, that due process could be satisfied in this case only with actual notice. It makes an alternative argument that the FBI‘s notice was constitutionally flawed because it was “‘substantially less likely to bring home notice’ than a feasible substitute,” post, at 174 (quoting Mullane, supra, at 314-315)—namely, the methods used currently by the BOP, which generally require an inmate to sign a logbook acknowledging delivery, see post, at 180, 181-182 (describing current BOP procedures and noting the practicability of BOP Unit Team member‘s “linger[ing]” a little longer to secure an in-
Even if one accepts that the BOP‘s current procedures improve delivery to some degree, our cases have never held that improvements in the reliability of new procedures necessarily demonstrate the infirmity of those that were replaced. Other areas of the law, moreover, have for strong policy reasons resisted rules crediting the notion that, “‘because the world gets wiser as it gets older, therefore it was foolish before.‘” Advisory Committee‘s Notes on
Here, the use of the mail addressed to petitioner at the penitentiary was clearly acceptable for much the same reason we have approved mailed notice in the past. Short of allowing the prisoner to go to the post office himself, the remaining portion of the delivery would necessarily depend on a system in effect within the prison itself relying on prison staff. We think the FBI‘s use of the system de-
The judgment of the Court of Appeals is
Affirmed.
JUSTICE GINSBURG, with whom JUSTICE STEVENS, JUSTICE SOUTER, and JUSTICE BREYER join, dissenting.
“‘The fundamental requisite of due process of law is the opportunity to be heard.’ Grannis v. Ordean, 234 U. S. 385, 394 (1914). This right to be heard has little reality or worth unless one is informed that the matter is pending and can choose for himself whether to appear or default, acquiesce or contest.” Mullane v. Central Hanover Bank & Trust Co., 339 U. S. 306, 314 (1950). Today‘s decision diminishes the safeguard of notice, affording an opportunity to be heard, before one is deprived of property. As adequate to notify prisoners that the Government seeks forfeiture of their property, the Court condones a procedure too lax to reliably ensure that a prisoner will receive a legal notice sent to him. The Court does so despite the Government‘s total control of a prison inmate‘s location, and the evident feasibility of tightening the notice procedure “as [would] one desirous of actually informing [the prisoner].” Id., at 315. Because the Court, without warrant in fact or law, approves a procedure “less likely to bring home notice” than a feasible alternative, ibid., I dissent.
I
The Court correctly identifies the foundational case on reasonable notice as a due process requirement, Mullane v. Central Hanover Bank & Trust Co., and the core instruction: “[D]eprivation of . . . property by adjudication [must] be preceded by notice and opportunity for hearing appropriate to the nature of the case.” Id., at 313. Further, the Court recognizes that petitioner Dusenbery‘s complaint does not
What process did the Government provide for getting the FBI‘s forfeiture notice from the FCI‘s mailroom to prisoner Dusenbery‘s cell? On that key transmission the record is bare. It contains no statement by FCI Milan‘s warden concerning any set of safeguards routinely employed. The Government presented only the affidavit and telephone deposition of James Curtis Lawson, an “Inmate Systems Officer” assigned to FCI Milan‘s mailroom. App. 36-37, 46-53. On the mailroom to prisoner transmission, Lawson said simply this: “The [Housing] Unit Team member or a correctional staff member will [after signing the mailroom logbook] distribute the mail to the inmates during the institution‘s mail call.” App. 37. Lawson did not know whether notice was in fact delivered to Dusenbery. Nor would he have such knowledge or information regarding any other prisoner. As Lawson clarified on deposition, he was not acquainted with particular practices or systems governing mail once it left the mailroom, because that was not “pertinent to [his] department.” App. 52. According to Lawson, “[t]hat would be case workers’ responsibility,” ibid.; but no caseworker filled in the evidentiary gap.
Was the prison to prisoner mode of transmission described by Officer Lawson “substantially less likely to bring home notice” than a feasible substitute that would place no “im-
II
Mullane was a proceeding in which the trustee of a common trust fund sought from a New York Surrogate Court an order settling all questions concerning the management of the common fund during a statutorily specified accounting period.2 Many of the beneficiaries resided outside New York. Could a New York court adjudicate such a case despite the large numbers of nonresidents affected? And if a New York court could entertain the case, would notice by publication, for which the New York statute provided, suffice to inform beneficiaries of the proceeding? The Court recognized that these were separate questions calling for discrete inquiries.
New York had jurisdiction to adjudicate despite the dispersion of trust beneficiaries among several States, the Court explained, because the trust “exist[ed] by the grace of [New York‘s] laws and [was] administered under the supervision of its courts.” Id., at 313. If New York could not take
Having thus settled the question of the nexus between the forum and the controversy necessary to establish jurisdiction to adjudicate, the Court turned to the means by which potentially affected persons must be apprised of the proceeding: “Quite different from the question of a state‘s power to discharge trustees,” the Court began, “is that of the [full] opportunity it must give beneficiaries to contest.” Ibid.
“Personal service of written notice,” the Court acknowledged, “is the classic form of notice always adequate in any type of proceeding.” Ibid. But that classic form, the Court next developed, “has not in all circumstances been regarded as indispensable to the process due to residents, and it has more often been held unnecessary as to nonresidents.” Id., at 314. For beneficiaries whose interests or addresses were unknown to the trustee, notice by publication would do, faute de mieux. Id., at 318. But “[a]s to known present beneficiaries of known place of residence,” Mullane instructed, notice by publication would not do. Ibid. Personal service on “the large number of known resident or nonresident beneficiaries,” however, would “seriously interfere with the proper administration of the fund.” Id., at 318-319 (delay as well as expense rendered such service impractical). For that group, the Court indicated, “ordinary mail to the record addresses,” which might be sent with periodic income remittances, was the minimal due process requirement. Id., at 318. The risk that notice would not reach even all known beneficiaries, the Court reasoned, was justifiable, for the common trust
In a series of cases following Mullane, the Court similarly condemned notice by publication or posting as not reasonably calculated to inform persons with known interests in a proceeding. See Tulsa Professional Collection Services, Inc. v. Pope, 485 U. S. 478 (1988) (notice by publication inadequate as to estate creditors whose identities were known or ascertainable by reasonably diligent efforts); Mennonite Bd. of Missions v. Adams, 462 U. S. 791 (1983) (notice by publication and posting inadequate to inform real property mortgagee of a proceeding to sell the mortgaged property for nonpayment of taxes); Greene v. Lindsey, 456 U. S. 444 (1982) (posting summons on door of a tenant‘s apartment provided inadequate notice of eviction proceedings); Schroeder v. City of New York, 371 U. S. 208 (1962) (publication plus signs posted on trees inadequate to notify property owners of condemnation proceedings); Walker v. City of Hutchinson, 352 U. S. 112 (1956) (publication as sole notice to property owners inadequate to inform them of condemnation proceedings). In these cases, the Court identified mail service as a satisfactory supplement to statutory provisions for publication or posting. But the decisions, it bears note, do not bless mail notice as an adequate-in-all-circumstances substitute for personal service. They home in on the particular proceedings at issue and do not imply that in the mine-run civil action, a plaintiff may dispense with the straightforward, effective steps required to secure proof of service or waiver of formal service. See
Returning to the instant case and the question Mullane identified as pivotal: Was the mail delivery procedure at FCI Milan “substantially less likely to bring home notice [to prison inmates]” than a “feasible . . . substitut[e]“? 339 U. S., at 315; cf. Mennonite Bd., 462 U. S., at 803 (O‘CONNOR, J., dissenting) (ability of “members of a particular class . . . to safeguard their interests . . . must be taken into account when we consider the ‘totality of the circumstances,’ as required by Mullane“). Prisoner Dusenbery‘s situation differs dramatically from that of persons for whom we suggested ordinary mail service, without more, would suffice. Those differences, I am persuaded, are dispositive.
A beneficiary not in receipt of actual notice in Mullane would nevertheless be protected, in significant measure, by beneficiaries who did receive notice and might have advanced objections shared by the large class of similarly situated persons. Moreover, the Surrogate‘s Court was obliged to review the trustee‘s accounting before approving it. In contrast, Dusenbery‘s alleged ownership interest stands alone. No others are similarly situated. Dusenbery claims that the money the FBI seized at his home was not traceable to an unlawful exchange for a controlled substance. See
Nor can any undue hardship justify a less than careful endeavor actually to inform Dusenbery that his property is the subject of an impending forfeiture. The agency responsible for giving notice of the forfeiture, here, the FBI, is part of the same Government as the prisoner‘s custodian, the Bureau of Prisons (BOP). As the Second Circuit observed, “[w]hen [a federal] investigating agency [seeks] a prisoner‘s cooperation in testifying against some important wrongdoer,
A further factor counsels care to inform a prisoner that his Government is proceeding against him or his property. A prisoner receives his mail only through the combined good offices of two bureaucracies which he can neither monitor nor control: The postal service must move the mail from the sender to the prison, and the prison must then move the mail from the prison gates to the prisoner‘s hands. That the first system can be relied upon does not imply that the second is acceptable. See United States v. One Toshiba Color Television, 213 F. 3d 147, 154 (CA3 2000); accord, Weng, 137 F. 3d, at 715; cf. Houston v. Lack, 487 U. S. 266, 271 (1988) (Court recognized that “the pro se prisoner has no choice but to entrust the forwarding of [mail] to prison authorities whom he cannot control or supervise and who may have every incentive to delay“; Court therefore held that pro se prisoner‘s notice of appeal must be regarded as “filed” when delivered to prison authorities for mailing). In the cases in which we indicated that mail notice would be sufficient, by contrast, receipt hinged only upon the dependability of the postal service, “upon which prudent men will ordinarily rely in the conduct of important affairs.” Greene, 456 U. S., at 455; see also Mullane, 339 U. S., at 319 (“[T]he mails today are recognized as an efficient and inexpensive means of communication.“); United States Postal Service, 2000 Comprehensive Statement on Postal Operations 91 (Table 5.1) (on-time delivery rate of first class mail between 87% and 94%).
The majority asserts that “[t]he Government here carried its burden of showing the . . . procedures . . . used to give notice.” Ante, at 168. As to the prison to prisoner trans-
Beyond doubt, the Government can try harder, without undue inconvenience or expense. Indeed, it now does so: As the Government informed the Court on brief, prison employees currently “must not only record the receipt of the certified mail and its distribution, but the prisoner himself must sign a log book acknowledging delivery.” Brief for United States 24 (citing BOP Program Statement 5800.10.409, 5800.10.409A (Nov. 3, 1995)). If a prisoner refuses to sign, a prison officer must document that refusal. BOP Operations Memorandum 035-99 (5800), p. 2 (July 19, 1999). The Government noted additionally that administrative forfeiture notices, along with “appropriately marked congressional, judicial, law enforcement, and attorney correspondence,” are now marked “special mail,” to be “opened only in the inmate‘s presence.” Brief for United States 29, n. 19 (citing
The Government, of course, should not be “penalized” for upgrading its policies. See ante, at 172. It would be improper to brand the BOP‘s 1988 procedures deficient simply because those procedures have since been improved. Nevertheless, the new rules show that substantial improvements in reliability could have been had, in 1988 and years before, at minimal expense and inconvenience. Nor will it do to label these efforts a matter of executive grace. They undeniably provide a “feasible” means “substantially [more] likely to bring home notice” than FCI Milan‘s prior uncertain mailroom to prison cell practice. See Mullane, 339 U. S., at 315.3
The Government would assign to Dusenbery the burden of showing that the mail delivery system inside the prison was unreliable at the relevant time. Brief for United States 23-24. The Court shies away from explicit agreement, for that is not what Mullane instructs. Rather, the party obliged to give notice—here, the Government—must adopt a method “reasonably calculated” to reach the intended recipient. See 339 U. S., at 318; One Toshiba Color Television, 213 F. 3d, at 155 (If the Government “chooses to rely on less than actual notice, it bears the burden of demonstrating the existence of procedures that are reasonably calculated to ensure that [actual] notice will be given.“). The Government, staying “within the limits of practicability,” Mullane, 339 U. S., at 318, now conforms to the foundational precedent; its prior practice fell short of the requirement that “[t]he means employed must be such as one desirous of actually informing the absentee might reasonably adopt to accomplish it,” id., at 315.4
The majority is surely correct that the Due Process Clause does not require “heroic efforts” to ensure actual notice.
Notice consistent with due process “will vary with circumstances and conditions.” Mennonite Bd., 462 U. S., at 802 (O‘CONNOR, J., dissenting) (internal quotation marks omitted). Given the circumstances and conditions of imprisonment, the Government must have cause to be confident that legal notices to prisoners will be delivered inside the prison with the care “one desirous of actually informing the [addressee] might reasonably adopt to accomplish it.” Mullane, 339 U. S., at 315. The uncertain mailroom to cell delivery system formerly in place at FCI Milan