Lead Opinion
Appellant Keith Mark Dillon appeals from the dismissal on summary judgment of his suit under 42 U.S.C. § 1983 for abuse he allegedly suffered while being held as a prisoner in Jena, Louisiana. For the reasons described below, we vacate the judgment of the district court and remand for further development of the record in this case.
I.
On August 29, 2005, when Hurricane Katrina made landfall in southeastern Louisiana, Dillon was being held as a prisoner at the Jefferson Parish Correctional Center (“Jefferson”), within the New Orleans metropolitan area. Due to the devastation caused by the hurricane, the Louisiana Department of Public Safety and Corrections (“DPSC”) evacuated Dillon and other inmates from Jefferson on August 31, 2005 and moved them to a temporary facility in Jena, Louisiana (“Jena”). Dillon alleges that he was beaten and mistreated by Appellees in late September 2005 during his detention at Jena, resulting in hearing loss and other injuries. Shortly after this alleged abuse, in early October 2005, DPSC transferred Dillon to Allen Correctional Center (“Allen”) in Kinder, Louisiana, and the temporary facility at Jena closed.
In July 2006, Dillon filed this section 1983 suit alleging violations of his civil rights during his incarceration. He proceeded pro se until late March 2007, after which he was represented by counsel. In November 2007, Appellees filed a motion to dismiss Dillon’s suit for failure to exhaust administrative remedies, and shortly thereafter the magistrate judge hearing this case recommended that Appellees’ motion be granted. However, the district court rejected the magistrate’s recommendation and under Rule 12(d) converted Appellees’ motion into a motion for summary judgment, as the parties had submitted evidence with their briefing going beyond the factual allegations in their pleadings. Subsequently, the district court granted summary judgment for Appellees in March 2008, on the ground that Dillon had failed to exhaust administrative remedies before bringing this suit. This appeal followed.
II.
Under the Prison Litigation Reform Act (“PLRA”), prisoners must properly exhaust “such administrative remedies as are available” prior to filing a section 1983 action concerning prison conditions. 42 U.S.C. § 1997e(a) (2006); Woodford v. Ngo,
The inmate may proceed to the second step of the ARP by appealing to the Secretary of the DPSC if he or she is dissatisfied with the first step response. § 325(G)(2)(a). If the inmate never receives a response to a first step grievance, then he or she is entitled to proceed to the second step of the process upon the expiration of the first step response time limit. § 325(G)(4)(a). If the inmate is not satisfied with the second step response, he or she may then file suit in district court. § 325(G)(2)(b).
III.
“We review the grant of summary judgment de novo, applying the same standards as the district court.” In re Egleston,
Since exhaustion is an affirmative defense, the burden is on Appellees to demonstrate that Dillon failed to exhaust available administrative remedies. Jones v. Bock,
A.
Dillon does not seriously dispute that he failed to satisfy the steps of the ARP that are prerequisite to filing a section 1983 action. Rather, he argues that his suit should not be barred because there was no remedy “available” to him during the 90-day period following the alleged abuse. Alternatively, he also argues his failure to exhaust should be excused on the basis of estoppel or the “special circumstances” surrounding his detention at Jena.
In opposition to Appellees’ various motions seeking to dismiss this case, Dillon submitted affidavits alleging that no administrative grievance procedures were available to prisoners at Jena and that prisoners were explicitly told not to submit grievances. Dillon asserts that when he sought to file an administrative complaint at Jena after he was abused in late September 2005, Appellee Brad Rogers
After the DPSC transferred Dillon to Allen in early October 2005, the 90-day period during which he could have filed a grievance under section 325(G)(1)(a) had not yet elapsed and would not do so until late December. However, Dillon alleges that Allen’s Captain Wheaton and inmate counsel Dennis Coleman told him that he could not file an administrative grievance at Allen for abuse suffered at Jena. Nevertheless, Dillon claims to have submitted several grievances at Allen, requesting medical treatment for injuries sustained at Jena and inquiring whether he was actually barred from filing a grievance at Allen for abuse at Jena. Even if these grievances filed at Allen could qualify as “first step” grievances applicable to the claims advanced in this suit, Dillon never pursued them to the “second step” of the ARP process under section 325(G)(4)(a).
B.
Dillon argues this suit may proceed because there were no administrative remedies “available” to exhaust at Jena and Allen. When “the relevant administrative procedure lacks authority to provide any relief or to take any action whatsoever in response to a complaint,” exhaustion is not required under the PLRA because there is no “available” remedy. Booth v. Chumer,
The district court did not address whether any administrative remedies were available to Dillon at Jena, instead focusing its analysis on whether remedies were available at Allen. We agree with the district court that the focus should be on availability at Allen — if remedies were available to Dillon at Allen, their unavailability at Jena would not suffice to excuse his failure to exhaust. Dillon was allegedly beaten at Jena in late September 2005 and was transferred in early October 2005. When he arrived at Allen, he could have filed a timely grievance for mistreatment at Jena anytime before late December 2005. See La. Admin. Code tit. 22, § 325(G)(1)(a) (establishing 90-day deadline for filing grievance following incident). If impediments to filing grievances render remedies unavailable at one facility, remedies may become available again once a prisoner has been transferred, unless there are other problems at the new facili
Consequently, we turn to assessing the availability of remedies at Allen. Dillon raises two arguments concerning availability at Allen. First, he contends that the closure of Jena resulted in the unavailability of administrative remedies at Allen. Section 325(G)(8) provides that “if [an inmate] files a request after transfer on an action taken by the sending institution, the sending institution will complete the processing through the first step.” La. Admin. Code tit. 22, § 325(G)(8). Since Jena closed after Dillon’s transfer, he asserts Jena could not “complete the processing” of his grievance, and therefore there was no administrative remedy available to him at Allen for the abuse he suffered at Jena.
Second, Dillon argues that his failure to exhaust should be excused because Captain Wheaton and inmate counsel Dennis Coleman allegedly told him that he could not file a grievance at Allen for abuse suffered at Jena. While Dillon styles this as an estoppel argument, these statements by Wheaton and Coleman could conceivably impact whether any remedies were “available” to Dillon under 42 U.S.C. § 1997e(a). See Brown v. Croak,
Unfortunately, we are unable to determine whether the district court’s grant of summary judgment was appropriate, as no
Second, during oral argument, we questioned Appellees’ counsel about the applicability in this situation of section 325(G)(8)’s directive that a “first step” grievance concerning Jena should be processed at Jena. In response, counsel stated that the DPSC was operating under “emergency procedures” while Dillon was incarcerated at Jena and Allen, and that consequently the DPSC “could suspend any rules as necessary” during this period, such as the rule that Jena process all “first step” grievances from transferred inmates. Since the record does not clearly establish whether this provision was in force while Dillon was at Allen, we find it inappropriate at this time to rule on its meaning. Cf. Carpenters Local Union No. 1816 v. PratC-Famsworth, Inc.,
These problems notwithstanding, Appellees assert that there is sufficient evidence in the record to demonstrate that administrative remedies were available at Allen. Specifically, they point to DPSC records showing that from the date of Dillon’s transfer to Allen in early October 2005 until the date this suit was filed in July 2006, 53 evacuee-inmates at Allen filed grievances. During the same period, DPSC headquarters directly received five grievances from evacuee-inmates. While this evidence demonstrates that Katrina and Rita evacuees did file grievances while at Allen, and that they also sent grievances directly to DPSC headquarters, there is no indication that any of these grievances concerned events that took place at Jena and, even if they did, that any remedy was available in light of the facility’s closure. Due to the fragmentary nature of the record, we direct the district court to permit Dillon to conduct discovery concerning exhaustion and the availability of administrative remedies.
C.
In addition to arguing that administrative remedies were unavailable, Dillon contends that Appellees should be estopped from raising the defense of exhaustion. Specifically, he points to his treatment at Jena, where Appellee Brad Rogers allegedly ordered Dillon to kneel in Rogers’
“Estoppel is an equitable doctrine invoked to avoid injustice in particular cases,” and “a hallmark of the doctrine is its flexible application.” Heckler v. Cmty. Health Servs. of Crawford County, Inc.,
D.
Finally, Dillon asserts that his failure to exhaust should be excused because of this case’s “special circumstances,” namely Hurricane Katrina, his evacuation to Jena, the ad-hoc arrangements surrounding his detention at the temporary facility, and the alleged abuse of prisoners there. While Dillon’s allegations, if true, indicate that conditions at Jena were reprehensible, we do not believe this grants us license to carve out new exceptions to the PLRA’s exhaustion requirement, an area where our authority is constrained. Cf. Clifford v. Gibbs,
TV.
Since we remand this case, we must also address the procedure by which the district court should resolve disputes pertaining to exhaustion of administrative remedies. When Appellees filed their motion to dismiss for failure to exhaust administrative remedies, they attached affidavits and records in support of the factual claims in their motion. Dillon responded in kind, providing several affidavits and copies of
Appellees argue, however, that the district court should not have converted their motion. Instead, they assert that the court should have ruled on their motion to dismiss and, if necessary, resolved any factual disputes concerning exhaustion on the basis of the evidence before it. In support of this position, Appellees point to the decisions of three of our sister circuits in Pavey v. Conley,
We agree with our sister circuits that factual disputes concerning exhaustion may be resolved by judges. However, we also conclude that when courts rule on exhaustion on the basis of evidence beyond the pleadings, the nonmoving party should be granted the protections of Rule 56. Consequently, we find that the district court did not err in converting Appellees’ motion into a motion for summary judgment under Rule. 12(d).
A.
There is a right to a jury trial under the Seventh Amendment for actions brought under section 1983 seeking legal relief. See City of Monterey v. Del Monte Dunes at Monterey, Ltd.,
Exhaustion resembles personal jurisdiction and venue in that it is an affirmative defense that allows defendants to assert that plaintiffs have not invoked the proper forum for resolving a dispute. Pavey,
B.
Having determined that disputed facts about exhaustion may be decided by judges, we now address whether the district court’s conversion of Appellees’ motion to dismiss into a motion for summary judgment was appropriate. The Ninth and Eleventh Circuits have both concluded that questions concerning exhaustion should be resolved on an unenumerated 12(b) motion to dismiss, and not via summary judgment. Bryant,
C.
As a final matter, we now provide a brief summary of how district courts
V.
For the foregoing reasons, we VACATE the district court’s grant of summary judgment for Appellees and REMAND this case for discovery and further development of the record.
Notes
. Of course, an administrative remedy does not become unavailable simply because a prisoner has not timely or properly filed a grievance and is consequently later barred from seeking further administrative relief. See Woodford,
. We do not determine today who should serve as factfinder when facts concerning exhaustion also go to the merits of a prisoner's claim. See Pavey,
. In a number of cases, we have held that exhaustion under the PLRA is considered “on pleadings without proof,” and that as “long as the plaintiff has alleged exhaustion with sufficient specificity, lack of admissible evidence in the record does not form the basis for dismissal.” Underwood v. Wilson,
. In many cases, the judge will be able to rule on exhaustion without allowing any discovery. However, in some cases, unique circumstances may arise that necessitate allowing some discovery prior to ruling, such as where the availability of administrative remedies is contested.
Concurrence Opinion
concurring in part and concurring in the judgment:
I CONCUR in the judgment in this case and CONCUR in the opinion except for Parts IIIC & HID. In my view since the factual record in this case is insufficiently developed this court cannot yet know whether the doctrines of estoppel or “special circumstances” have any applicability. I therefore believe reaching these questions is premature at this stage in the proceedings.
