Lead Opinion
Opinion by Judge WIGGINS; Dissent by Judge NOONAN.
FACTS AND PRIOR PROCEEDINGS
E. Robert Nigro is a federal prisoner. During the events relevant to this appeal, Nigro was a pretrial detainee at the Federal Correctional Institute (FCI) at Terminal Island, California. On March 6, 1988, FCI officials required Nigro to provide a urine sample. This sample tested positive for illegal drugs. Prison officials issued an incident report so stating.
Nigro challenged this report under the administrative remedy procedures operative in federal prisons. “The Bureau of Prisons has established an Administrative Remedy Procedure through which an inmate may seek formal review of a complaint which relates to any aspect of his imprisonment.... This procedure applies to all inmates confined in Bureau of Prisons institutions.... ” 28 C.F.R. § 642.10 (1993). “The ... Warden, Regional Director, and General Counsel are responsible for the operation of the Administrative Remedy Procedure at the institution, regional and central office levels, respectively, and ... [e]stablish[ing] procedures for receiving, reviewing, investigating and responding to complaints or appeals submitted by an inmate_” Id. § 542.11(a)(1).
Under the Administrative Remedy Procedure established by the Bureau of Prisons, a prisoner first complains to the Warden (on a BP-9 form) and may appeal to the Bureau’s Regional Director (on a BP-10). If the prisoner is not satisfied with the Regional Director’s decision, the prisoner may appeal to the General Counsel’s Office (on a BP-11). See id. § 542.14. Appeals must be filed within established time limits. A prisoner must appeal to the Regional Director “within twenty (20) calendar days of the date of the Warden’s response” and to the General Counsel’s Office “within thirty (30) calendar days from the date of the Regional Director’s response.” Id. § 542.15. Upon receipt of an appeal, the Warden, Regional Director, or General Counsel’s Office must “[a]cknow-ledge receipt of a complaint or appeal by returning to the inmate a receipt.” Id. § 542.11(a)(2). “A complaint or appeal is considered filed when the receipt is issued.” Id. § 542.14.
Pursuant to these regulations, Nigro filed a BP-9 form asking that the report regarding the urine test be removed from his record. Two hearings were held at which Nigro appeared and was provided representation. At the second hearing, on May 5, 1988, before the Disciplinary Hearing Officer (DHO), Nigro called no witnesses but did submit theories regarding how the test results could be incorrect. The DHO found that Nigro had tested positive for narcotics as charged and that 60 days segregated confinement was appropriate punishment.
Nigro appealed, on a BP-10 form, to the Regional Director for the Bureau of Prisons. The Regional Director set forth on the BP-10 form his response denying Nigro’s appeal and sent the form back to Nigro. The response is dated May 23, 1988. The BP-10 form states: “If dissatisfied with this response, you may appeal to the General Counsel. Your appeal must be received in the General Counsel’s Office within 30 calendar days of the date of this response.”
Nigro appealed to the General Counsel’s Office, on a BP-11 form. Nigro claims he gave his BP-11 form to prison officials on June 21, 1988. The BP-11 was not received in the General Counsel’s Office until July 7,
On July 29, 1992, Nigro filed a petition for a habeas writ. Nigro challenged the hearing officer’s determination that Nigro had used narcotics. On February 5, 1998, the federal magistrate recommended that Nigro’s petition be dismissed because Nigro had failed first to present his arguments to the General Counsel’s Office. Because the time for pre-sénting such arguments had passed, the magistrate found that Nigro was in procedural default of this administrative remedy. The magistrate also ruled that Nigro had failed to establish cause and prejudice for his default. The district court adopted the magistrate’s recommendation. Nigro appealed the dismissal of his petition.
ANALYSIS
A denial of a petition for habeas corpus is reviewed de novo. Adams v. Peterson,
I. Procedural Default
Nigro’s BP-11 form arrived at the General Counsel’s Office well after the thirty day time limit had expired. The district court found that the form was filed late and that the late filing amounted to procedural default of Nigro’s administrative remedy, warranting dismissal. We agree with the district court.
Two cases persuade us: Francis v. Rison,
The Bureau of Prisons has established an administrative remedy by which an inmate in a federal prison may seek review of any aspect of imprisonment. 28 C.F.R. § 542.10 (1984). Difficulties which a prisoner may experience in meeting the time requirements for an administrative appeal are properly first brought before the administrative agency. 28 C.F.R. § 542.15 (1984).
In this case, Nigro failed to file a timely BP-11. A BP-11 “is considered filed when [a] receipt [for it] is issued.” 28 C.F.R. § 542.14 (1993). The receipt “[a]cknow-ledge[s] receipt [by the General Counsel] of a[n] ... appeal.” Id. § 542.11(a)(2). No receipt could have been issued to Nigro until after July 7, 1988, when the General Counsel’s Office received Nigro’s BP-11 form. July 7th was more than 30 days after the date of the Regional Director’s response. The appeal was therefore not timely filed. See id. § 542.15. For this reason, Nigro has procedurally defaulted. See Francis,
We reject Nigro’s contentions to the contrary. Nigro’s primary contention is that his BP-11 appeal form was timely filed under Houston v. Lack,
The court of appeals dismissed the appeal because it thought the notice untimely under Fed.R.App.P. 4(a)(1), which required that the notice be “filed” within thirty days of the date of judgment.
The Court noted further that pro se prisoners stand in a position different than that of other litigants. Specifically, pro se prisoners cannot personally travel to the courthouse to see that a notice of appeal is stamped “filed.” Rather, the pro se prisoner is forced to trust the prison mail system and the U.S. postal service. The prisoner cannot even monitor the mails to ensure that the notice is received by the court. The prisoner’s control over the filing ceases when he delivers it to prison authorities. Moreover, in habeas cases, prison officials have an incentive to delay forwarding prisoners’ court filings. The prisoner is unlikely to have means of proving that prison officials delayed his appeal.
Nigro correctly notes that we have applied the Houston rationale to hold that pro se prisoners successfully “mail” or “serve” papers under Fed.R.Civ.P. 5(b), 33, and 34 merely by depositing them with prison authorities for mailing. Faile v. Upjohn Co.,
First, both Houston and Faile addressed an undefined term, “file” or “serve.” These terms, left undefined, are susceptible to the construction given them in Houston and Faile. In this case, the operative term “file” is defined, however. An appeal is “considered filed when the receipt is issued.” 28 C.F.R. § 542.14 (1993). “Issuance of a receipt” does not and cannot mean “deposited with prison authorities.” “File” in this case is simply not open to the interpretation given it in Houston or given “serve” in Faile.
Nigro might argue that the proposition that “an appeal is considered filed when a receipt for it is issued” does not preclude an appeal being considered filed at other times as well. This argument conflicts with the second sentence in 28 C.F.R. § 542.14, however. This second sentence states in reference to a BP-11 appeal, “Once filed, response shall be made ... by the General Counsel within thirty (30) calendar days.” The response deadline runs from the time an appeal is filed. “Filed,” in this second sentence, makes sense only if it means roughly “received” or, as indicated in the first sentence of § 542.14, “when a receipt is issued.” If an appeal could be deemed filed at the time it is delivered to prison officials for mailing, General Counsel might well be required by the regulation to respond to the appeal prior to receiving it, a nonsensical result. Moreover, the General Counsel’s Office generally has no idea when an appeal is given to prison officials for mailing. The General Counsel cannot be required to respond within thirty days of a date it does not know. “Filed” in this second sentence therefore means at least “received.” Most likely it refers to the “issuance of a receipt” noted in the first sentence. Under this “filed” requirement, Nigro failed
Houston and Faile paint the pro se prisoner in a sympathetic light. We cannot in the name of sympathy rewrite a clear procedural rule, however. Neither Houston nor Faile supports such a rewriting. Moreover, Fex v. Michigan, — U.S. -,
Fex made to the Court a “policy argument” that “fairness requires the burden of compliance with the [delivery] requirements ... to be placed entirely on the law enforcement officials involved, since the prisoner has little ability to enforce compliance.” Id. at -,
These arguments, however, assume the availability of a reading that would give effect to a request that is never delivered at all._ As we have observed, the textual requirement “shall have caused to be delivered” is simply not susceptible of such a reading. Petitioner’s “fairness” and “higher purpose” arguments are, in other words, more appropriately addressed to the legislatures....
Id. (emphasis in original). The Court rejected the dissent’s suggestion that Houston should apply. — U.S. at -,
In Faile, we neglected to engage in a textual analysis of “serve.” Such a textual analysis was unnecessary, however, because “serve” was susceptible to the meaning given to “filing” in Houston. In Faile, given the natural ambiguity of “serve,” we properly applied the policies Houston stressed. However, nothing in Faile or Houston allows us to rewrite a clear procedural rule. Rather, as Fex held, policy arguments are best addressed to rulemaking bodies when a procedural rule is clear.
Houston and Faile are inapposite for a separate, additional reason. Houston and Faile addressed only civil filing or service deadlines. No civil deadline is at issue in this case, however. Nigro’s appeal to the
Furthermore, “[a]n agency’s interpretation of its own regulation [in an individual case] is entitled to a high degree of deference and will be upheld as long as it is not plainly erroneous or inconsistent with the regulation.” Rendleman v. Shalala,
Moreover, the regulations at issue are fair to prisoners. They ensure that prison officials will not interfere with a prisoner’s appeals. The Warden, Regional Director, and General Counsel must “[establish procedures for receiving ... appeals submitted by an inmate.” 28 U.S.C. § 542.11(a)(1) (1993). Further, regulations provide for relief when a prisoner cannot meet time limits. When “a valid reason for delay is stated by an inmate[,] the[] time limits may be extended.” Id. § 542.15. Given that interference by government officials would constitute an excuse for procedural default, Francis,
In this case, Nigro requested an extension of time but did not allege that prison officials or the U.S. Postal Service delayed the mail. Rather, he alleged that another matter kept him busy and that prison officials provided him an appeal form fifteen days before it was due to be filed. That he was busy is hardly an excuse. Fifteen days was plenty of time to fill in the short BP-11 form, attach the appeal, and mail the form. No unfairness resulted to Nigro in this case. Thus, the Bureau’s interpretation of its regulation was not plain error and should be upheld.
II. Cause and Prejudice
Cause and prejudice may excuse a procedural default of administrative remedies. Francis,
Nigro also asserts that he was denied access to the law library. Nigro notes that he wrote to the ACLU in April 1988 requesting assistance in gaining access to the law library. On June 24, 1988, Nigro requested access to the law library from prison officials. Also, Nigro claims he filed, on July 11, 1988, a motion in federal court for an order giving him access to the library. He contends that he was denied access to the library throughout this time.
Nigro claims these causes excuse his procedural default, citing Shah v. Quinlin, 901 F.2d 1241 (5th Cir.1990). In Shah, the district court dismissed Shah’s pro se complaint for failure to exhaust administrative remedies because Shah’s BP-10 form was not received by the Regional Director within the required time limits. An appeal to the General Counsel’s Office was not accepted because the appeal to the Regional Director was not timely. In the meantime, Shah had complained to the warden that the prison mail system was delaying delivery and processing of prisoner complaints.
We conclude that Nigro has not shown cause and prejudice. Failure of prison officials to provide Nigro a BP-11 form until June 7th, even assuming such failure occurred, did not interfere with Nigro’s access to administrative remedies. Nigro’s BP-11 submission is primarily attachments, handwritten on notebook paper. The actual BP-11 form contains only a few written words and otherwise refers the reader to the attachments. Nigro could have written the attachments any time after he received the response from the Regional Director. He did not need more than a few days, at most, to fill out the actual BP-11 form.
In addition, Nigro failed to show prejudice. Even if we assume Nigro was unable to procure the BP-11 form from prison officials until June 7th, Nigro makes no allegation that he was unable to fill out the form properly and fully in the time allotted him. And though Nigro makes a bare allegation that the law library was necessary to fill out the BP-11 form, Nigro does not indicate what, if anything, he would have done differently had he had access to the law library. A “merely conclusory statement” such as Nigro’s fails to demonstrate “actual prejudice resulting from the claim of error.” United States v. Johnson,
III. Other Arguments
A. Failure to Exhaust as Jurisdictional
Nigro argues that exhaustion of administrative remedies is not a jurisdictional requirement, citing Brown v. Rison,
B. The Bureau of Prison’s Late Response
Nigro claims that the Regional Director’s response to his BP-10 form was 36 days late. He claims that the government is in default as a result. Nigro claims this default gave the government “unclean hands” and that it would be unfair for the government now to claim that Nigro’s BP-11 form was too late.
We disagree. Regulations allow the Regional Director to respond after time limits have expired: “If the inmate does not receive a response within the time allotted for reply, including extension, the inmate may consider the absence of a response to be a denial at that level.” 28 C.F.R. § 542.14. Moreover, government delay does not affect how long the prisoner has to respond. The period in which the prisoner may appeal runs from the time the prisoner receives the Regional Director’s response, whenever issued. Id. § 542.15. Finally, Nigro has failed to show any prejudice resulting from the government’s delay.
C. Technicalities
Nigro argues that the lower court avoided the merits of his habeas petition because of mere technicality. Citing Schiavone v. Fortune,
CONCLUSION
For the foregoing reasons, we affirm. Houston v. Lack,
AFFIRMED.
Notes
. We are aware that some courts have indicated that Houston rests partly on due process grounds. E.g., Brewer v. Wilkinson,
. The regulations likewise survive any facial challenge that might be made. When subject to facial challenges, "[s]uch regulations have the force and effect of legislation, and may not be set aside because a court would have read the statutory mandate differently.” Fmali Herb,
. The government also claims that Nigro never argued in the district court that he was denied access to the law library. Nigro did raise the argument below, however.
. In a portion of his opening brief, Nigro argues the merits of his habeas petition. Because we affirm the dismissal of the habeas petition for procedural default, we decline to review these arguments.
Dissenting Opinion
“Habeas corpus jurisdiction ... exists when a petitioner seeks expungement of a disciplinary finding from his record if ex-pungement is likely to accelerate the prisoner’s eligibility for parole.” Bostic v. Carlson,
