Ford v. Johnson, 01-3709.

• Decision Date: 24 March 2004
• Docket Number: No. 01-3709.,01-3709.
• Parties: Bobby FORD, Plaintiff-Appellant, v. Donald JOHNSON, et al., Defendants-Appellees.
• Court: U.S. Court of Appeals — Seventh Circuit

362 F.3d 395

Bobby FORD, Plaintiff-Appellant, v. Donald JOHNSON, et al., Defendants-Appellees.

No. 01-3709.

United States Court of Appeals, Seventh Circuit.

Argued January 12, 2004.

Decided March 24, 2004.

COPYRIGHT MATERIAL OMITTED

Douglas M. Ramsey, argued, Shefsky & Froelich, Chicago, IL, for Plaintiff-Appellant.

Bobby Ford, Pontiac, IL, Pro Se.

Laura Wunder, argued, Office of the Attorney General, Chicago, IL, for Defendants-Appellees.

Douglas M. Ramsey, Shefsky & Froelich, Chicago, IL, Amicus Curiae.

Before POSNER, EASTERBROOK, and KANNE, Circuit Judges.

EASTERBROOK, Circuit Judge.

Bobby Ford contends in this suit under 42 U.S.C. § 1983 that guards at Stateville Correctional Center in Illinois violated his constitutional rights by beating him without provocation and then refusing to provide medical care for the injuries they inflicted. Ford filed a grievance and appealed from its denial. His appeal was referred to the prison's Administrative Review Board, which called him in for an interview to get his side of the story. Ford refused to cooperate, telling the Board that, because he had a federal suit under way, it was no longer necessary to participate in the grievance process. The Board then resolved the grievance against Ford — not because he had balked, but on the merits. The district judge nonetheless dismissed Ford's suit under 42 U.S.C. § 1997e(a), which provides:

No action shall be brought with respect to prison conditions under [42 U.S.C. § 1983], or any other Federal law, by a prisoner confined in any jail, prison, or other correctional facility until such administrative remedies as are available are exhausted.

This statute applies to isolated instances of misconduct as well as to official practices, and some remedy may be "available" whether or not the prisoner prefers a balm (such as money damages) that the grievance process does not provide. See Porter v. Nussle, 534 U.S. 516, 122 S.Ct. 983, 152 L.Ed.2d 12 (2002); Booth v. Churner, 532 U.S. 731, 121 S.Ct. 1819, 149 L.Ed.2d 958 (2001). The district judge wrote that, by refusing to participate in the appellate process before the Board, Ford had neglected to exhaust available remedies. (The district judge also had a second ground, which we discuss below.)

In order to exhaust administrative remedies, a prisoner must take all steps prescribed by the prison's grievance system. See Pozo v. McCaughtry, 286 F.3d 1022 (7th Cir.2002); Strong v. David, 297 F.3d 646 (7th Cir.2002). The district judge invoked this principle when dismissing Ford's suit: the Board required him to explain what had happened, Ford refused and by doing so abandoned the grievance, the judge believed. Similar reasoning supports dismissal of a civil suit for failure to prosecute. No rule of law requires a plaintiff to testify (or give a deposition) in his own suit, but failure to do so may justify a termination on procedural grounds without reaching the merits. See Newman v. Metropolitan Pier & Exposition Authority, 962 F.2d 589 (7th Cir. 1992). Just as courts may dismiss suits for failure to cooperate, so administrative bodies may dismiss grievances for lack of cooperation; in either case this procedural default blocks later attempts to litigate the merits.

Yet by analogizing exhaustion under § 1997e(a) to exhaustion under 28 U.S.C. § 2254, decisions such as Pozo and Strong imply a corollary that is established in collateral-attack jurisprudence: A procedural default in state proceedings is fatal to the litigation in federal court only if the state tribunal explicitly relies on that default. See, e.g., Harris v. Reed, 489 U.S 255, 109 S.Ct. 1038, 103 L.Ed.2d 308 (1989); Brooks v. Walls, 279 F.3d 518 (7th Cir.), rehearing denied, 301 F.3d 839 (2002). If the tribunal decides the merits, without treating procedural default as an independent ground of decision, then the federal court infers that the parties must have done whatever the tribunal deemed necessary to permit a reliable decision on the merits. By deciding Ford's appeal without invoking a forfeiture doctrine, the Administrative Review Board established that Ford had exhausted his state remedies. Neither a court nor an agency is required to dismiss a proceeding when the complainant fails to testify; if the proceeding reaches a decision on the merits, it is fully reviewable later (here by an independent suit under § 1983).

Ford's real problem, and the district court's second ground, is timing. Section 1997e(a) says that exhaustion must precede litigation. "No action shall be brought" until exhaustion has been completed. See Perez v. Wisconsin Department of Corrections, 182 F.3d 532 (7th Cir.1999). Requirements of this kind are common: no suit under the Federal Tort Claims Act until the agency has had time to rule on a claim for damages, no suit under the employment-discrimination laws until the parties have had time for administrative conciliation. And these rules routinely are enforced, as in Perez, by dismissing a suit that begins too soon, even if the plaintiff exhausts his administrative remedies while the litigation is pending. See, e.g., McNeil v. United States, 508 U.S. 106, 113 S.Ct. 1980, 124 L.Ed.2d 21 (1993); Hallstrom v. Tillamook County, 493 U.S. 20, 110 S.Ct. 304, 107 L.Ed.2d 237 (1989). Rules of the form "negotiate now, litigate later" or "administrative remedies first, litigation second" reflect a belief that postponing suits induces people to concentrate their attention on negotiation or alternative dispute resolution, so that some fraction of the time parties will not need to litigate at all. Once litigation commences, however, that casts a pall over negotiation or the administrative process, because it commits both resources and mental energies to court. Some persons are bound to do exactly what Ford did — to declare that the administrative process is irrelevant once suit begins. To prevent this subversion of efforts to resolve matters out of court, it is essential to keep the courthouse doors closed until those efforts have run their course.

Ford jumped the gun, just as he told the Administrative Review Board. Ford mailed his complaint to the district court in December 1999. It was stamped "received" on December 28. Two days later, the prison system announced its final decision. Now Ford stakes his all on the proposition that he had not "brought" suit (the word used in § 1997e(a)) before December 30, because a suit does not begin until the complaint is "filed", while his had just been "received." Prisoners' complaints are reviewed under 28 U.S.C. § 1915A and not filed (nor are the defendants notified and served with process) until the district judge finds that they pass the statutory screen. Litigants also must pay all required fees, or receive permission under 28 U.S.C. § 1915 to proceed in forma pauperis, before their complaints are "filed." See Williams-Guice v. Chicago Board of Education, 45 F.3d 161 (7th Cir.1995). Ford relies on Fed.R.Civ.P. 3, which says that "[a] civil action is commenced by filing a complaint with the court." If the action is not "commenced" until the complaint has been "filed," Ford maintains, then it has not been "brought" either.

As we discussed at length in Williams-Guice, the reasons for linking commencement to filing concern not only the judiciary's need to collect the prescribed fees but also the defendants' entitlement to notice — for the date of filing affects both the statute of limitations and the time to serve the defendants with process under Fed.R.Civ.P. 4(m). Neither fee collection nor notice to the adversary is at issue when applying § 1997e(a). Postponing litigation while the administrative process continues is a different objective altogether, which may explain why Congress used a different word: "brought" rather than "filed" or "commenced." Only equating "brought" with "got under way" or some similar phrase ensures that the litigation does not start until the administrative process has ended. Ford launched the suit while the administrative process was ongoing and then told the Board to go fly a kite. He thought that mailing the complaint to the court was enough to bring suit; we hold that, for purposes of § 1997e(a), it was. Otherwise the statute cannot work. What sense would it make to allow a prisoner to initiate litigation before exhausting his intra-prison remedies, provided the prisoner takes care not to pay the filing fee until later?

Counsel representing Ford cite several appellate opinions that, they say, define "brought" as "filed." None of these is dispositive, because none actually faced the issue whether § 1997e(a) blocks a suit when the complaint was received by the district clerk while the administrative process was ongoing but "filed" only after it ended. The language counsel has found was uttered in passing rather than the result of a need to resolve this particular question. As far as we know, ours is the first appellate opinion that has had to interpret the word "brought" in § 1997e(a). What's more, the decisions on which counsel rely do not support Ford's position. Consider Miller v. Tanner, 196 F.3d 1190, 1193 (11th Cir.1999), and Harris v. Garner, 216 F.3d 970, 974 (11th Cir.2000), the two decisions on which Ford places principal reliance. Each of these says that a prisoner cannot "file" a suit until after the administrative process ends. That statement is true even if a suit is "brought" when the papers are lodged. Because filing never occurs earlier than the date on which the district clerk receives the complaint, the statements in these two opinions are accurate whether or not the word "brought" is best understood as "tendered to the court for filing." Kerr v. Puckett, 138 F.3d 321 (7th Cir.1998), offers even less help. Counsel tell us that Kerr holds "that `brought' as used in section 1997e(e) refers to the time the lawsuit was commenced". The suggestion is that the court used the magic word from Rule 3 and thus...