NAVAJO NATION, Plaintiff-Appellant, v. UNITED STATES, Defendant-Appellee.
No. 00-5086
United States Court of Appeals, Federal Circuit.
Oct. 24, 2003.
1327
C. Cross-appeal
Finally, on cross-appeal Vector argues that the district court committed clear error when it declined to consider the case exceptional for the purpose of awarding attorney fees under
IV. COSTS
Each party to bear its own costs.
III. CONCLUSION
For the foregoing reasons, we hold that Vector was properly granted summary judgment of no literal infringement of the ‘428 patent. We vacate the district court‘s grant of summary judgment of no infringement under the doctrine of equivalents and remand for further proceedings in light of the Supreme Court‘s decision in Festo II and this court‘s decision in Festo III. Lastly, we affirm the district court‘s denial of attorney fees.
AFFIRMED-IN-PART, VACATED-IN-PART, AND REMANDED.
Todd S. Aagaard, Attorney, Environment & Natural Resources Division, Department of Justice, of Washington, DC, for defendant-appellee. With him on the brief were R. Anthony Rogers, of Washington, DC, and Kristine S. Tardiff, of Concord, New Hampshire, Attorneys. Of counsel was Elizabeth Ann Peterson, Attorney, of Washington, DC.
V. Thomas Lankford, Lankford & Coffield, P.L.L.C., of Alexandria, VA, for amici curiae Peabоdy Holding Company, Inc., et al. Of counsel were William F. Coffield and Terrance G. Reed.
Before NEWMAN, SCHALL, and LINN Circuit Judges.
Opinion of the court filed by Circuit Judge SCHALL, in which Circuit Judge LINN joins.
Opinion dissenting in part filed by Circuit Judge PAULINE NEWMAN.
SCHALL, Circuit Judge.
In Navajo Nation v. United States, 263 F.3d 1325 (Fed. Cir. 2001), this court held that the Indian Mineral Leasing Act of 1938, codified at
BACKGROUND
I.
The controversy in this case grows out of the 1987 amendments to a coal lease between the predecessor of Peabody Coal Company (“Peabody“) and the Navajo Nation (“Tribe“), a federally recognized Indian tribe. After the Secretary of the Interior (“Secretary“) approved the amendments to the lease, the Tribe brought suit against the United States (“government“) in the Court of Federal Claims under the Indian Tucker Act,
The Court of Federal Claims granted summary judgment in favor of the government. Navajo Nation v. United States, 46 Fed. Cl. 217, 236 (2000). The court determined that the government owed general fiduciary duties to the Tribe, which, in its view, the Secretary had dishonored by acting in the best interests of Peabody rather than the Tribe. Id. Nevertheless, the court concluded that the Tribe had failed to link that breach of duty to any statutory or regulatory obligation which could “be fairly interpreted as mandating compensation for the government‘s fiduciary wrongs.” Id. Accordingly, the court held that the government was entitled to judgment as a matter of law. Id.
The Supreme Court noted that its decisions in United States v. Mitchell, 445 U.S. 535, 100 S.Ct. 1349, 63 L.Ed.2d 607 (1980) (“Mitchell I“), and United States v. Mitchell, 463 U.S. 206, 103 S.Ct. 2961, 77 L.Ed.2d 580 (1983) (“Mitchell II“), controlled the case. 123 S.Ct. at 1084. It stated that “Mitchell I and Mitchell II are the pаth-marking precedents on the question of whether a statute or regulation (or combination thereof) ‘can fairly be interpreted as mandating compensation by the Federal Government.‘” Id. at 1089-90 (quoting Mitchell II, 463 U.S. at 218, 103 S.Ct. 2961).
In Mitchell I, the Court held that the Indian General Allotment Act (“GAA“) established insufficient government control and supervision of timber resources to impose upon the government a fiduciary duty, the breach of which could result in money damages. 445 U.S. at 540-44. However, in Mitchell II, the Court considered statutes and regulations other than the GAA; the court held that the statutes and regulations at issue placed a sufficient fiduciary obligation upon the government to warrant money damages for breach of that duty with respect to timber resources. 463 U.S. at 228, 103 S.Ct. 2961. The Court observed that “[i]n contrast to the bare trust created by the [GAA], the statutes and regulations now before us clearly give the Federal Government full responsibility to manage Indian resources and land for the benefit of the Indians.” Id. at 224, 103 S.Ct. 2961. Hаving determined that the statutes and regulations “establish[ed] fiduciary obligations of the Government in the management and operation of Indian lands and resources,” the Court concluded that the relevant legislative and executive prescriptions could “fairly be interpreted as mandating compensation by the Federal Government for damages sustained.” Id. at 226, 103 S.Ct. 2961. A damages remedy, the Court explained, would “furthe[r] the purposes of the statutes and regulatiоns, which clearly require that the Secretary manage Indian resources so as to generate proceeds for the Indians.” Id. at 226-27, 103 S.Ct. 2961. In Navajo Nation, the Court described what it did in Mitchell II: “In Mitchell II, we held that a network of other statutes and regulations did impose judicially enforceable fiduciary duties upon the United States in its management of forested allotted lands.” 123 S.Ct. at 1090. When the Court referred to “other statutes and regulations,” it was, of course, referring to statutes and regulations other than the GAA.
In Navajo Nation, relying on its decisions in Mitchell I and Mitchell II, the Court observed that to state a claim cognizable under the Indian Tucker Act, “a Tribe must identify a substantive source of law that establishes specific fiduciary or other duties, and allege that the Government has failed faithfully to perform those duties.” Id. at 1091 (citing Mitchell II, 463 U.S. at 216-17, 103 S.Ct. 2961). If
The Court also rejected the Tribe‘s argument that the actions of the Secretary violated certain other discrete statutory and regulatory provisions. Id. Specifically, the Court rejected the Tribe‘s arguments that relied on
II.
The Tribe has submitted a “suggestion for proceedings on remand.” In its submission, the Tribe states that the Court‘s decision in Navajo Nation was based on IMLA, and that the decision left open consideration of the effect of the “network” of relevant statutes, treaties, and regulations. The Tribe urges us to remand to the Court of Federal Claims so that it can consider the effect of the “network” of relevant statutes, treaties, and regulations.
The government opposes the requested remand. It argues that the Supreme Court‘s decision was not limited to IMLA. It also argues that the Tribe has waived any argument that “a network of other statutes and regulations” independently provides the basis for a viable breach of trust claim.
ANALYSIS
The parties’ arguments present two issues. First, we must determine if the Supreme Court decided the question of whether, apart from IMLA, “a network of other statutes and regulations,” Navajo Nation, 123 S.Ct. at 1090, imposеs fiduciary duties upon the government, the breach of which could result in money damages. If we conclude that the Supreme Court has not decided that question, we must consider the government‘s contention that the Tribe has waived any argument that its breach of trust claim is viable independent of IMLA.
I. Scope of the Supreme Court‘s decision
The Tribe argues that the Court‘s decision in Navajo Nation was based on
We agree with the Tribe that the Court directed primary, if not exclusive, attention to IMLA. In its opening statement, the Court stated: “This case concerns the Indian Mineral Leasing Act of 1938 (IMLA), 52 Stat. 347,
The government states that dispositive weight should be placed on the Court‘s closing statement that “[h]owever one might appraise the Secretary‘s intervention in this case, we have no warrant from any relevant statute or regulation to conclude that his conduct implicated a duty enforceable in an actiоn for damages under the Indian Tucker Act.” Id. at 1095. The government argues that this shows that the Court considered all statutes and regulations that might contribute to the asserted “network,” and thus rejected a “network” argument. We do not agree. While it is true that the Court did give some attention to several statutes besides IMLA, it was IMLA that was extensively discussed and was the focus of the Court‘s holding: “we hold that the Tribe‘s claim for compensation from the Federal Government fails, for it does not derive from any liability-imposing provision of the IMLA or its implementing regulations.” Id. at 1084. The statement to which the government refers should be read in that context.
II. The question of waiver
As noted above, the government argues that the Tribe has waived any argument that its breach-of-trust claim is viable independent of IMLA. The government con-
CONCLUSION
The decision of the Supreme Court in this case was limited to the question of whether IMLA imposes judicially enforceable duties upon the United States in connection with the Peabody lease. However, in deciding that issue, the Court stated that
REMANDED.
PAULINE NEWMAN, Circuit Judge, dissenting in part.
In United States v. Navajo Nation, 537 U.S. 488, 123 S.Ct. 1079, 155 L.Ed.2d 60 (2003), the Supreme Court reversed this court‘s ruling that the Indian Mineral Leasing Act of 1938,
I agree that such remand is the next step. However, the panel majority also holds that the Indian Mineral Leasing Act and the Indian Mineral Development Aсt are to be excluded from consideration in determination of the “network” on remand. This restriction is neither implicit in the Court‘s decision, nor supportable as a matter of objective analysis. I must, respectfully, dissent from this constraint on the remand criteria.
DISCUSSION
In February 1964 the Navajo Nation entered into a twenty-year lease with the
As the majority opinion recognizes, the Court directed primary attention to the Indian Mineral Leasing Act. The Court held that “the Secretary‘s involvement in coal leasing under the IMLA more closely resembles the role provided for the Government by the GAA [General Allotment Act] regarding allotted forest lands. Seе Mitchell I, 445 U.S. at 540-544, 100 S.Ct. 1349.” Navajo Nation, 123 S.Ct. at 1092. In Mitchell I the Court held that the General Allotment Act, the only statute there considered, established insufficient government control and supervision of timber resources to impose upon the United States a fiduciary duty whose breach could lead to money damages. See 445 U.S. at 542, 100 S.Ct. 1349 (“We conclude that the [General Allotment] Act created only a limited trust relationship between the United States and the allottee that does not impose any duty upon the Government to manage timber resources.“)
However, in Mitchell II the Court considered several additional statutory and regulatory sources of government supervision and control of timber resources, and held that an “elaborate network” of authority placed a sufficient fiduciary obligation upon the United States to warrant money damages for breach of that duty with respect to the timber resources, citing
Although the Court held in Navajo Nation that the Indian Mineral Leasing Act, standing alone, did not support payment of money damages to compensate for the government‘s breach of trust, the Court did not hold that the Indian Mineral Leasing Act must be excluded from the totality of legislative and executive actions that govеrn the relationship between the Navajo Nation and the United States. Such an exclusion would be untenable in any determination of this relationship, the nature of the statutory and regulatory obligations, and the consequences of the acts here complained of. Unlike the General Allotment Act of Mitchell I, which recognized that the Indian lands were held in trust but was silent as to timber harvesting, the Indian Mineral Leasing Act and its regulations are highly specific as to mineral leasing.
That the Indian Mineral Leasing Act is insufficient standing alone does not bar adding its weight to the totality of statutes, treaties, and regulations governing mineral leasing. For example, the regulations of the Indian Mineral Leasing Act control the size of coal leases by limiting them, with stated exceptions, to 2,560 acres (§ 211.9); they provide that the shape must conform to the system of public land surveys
Under the panel majority‘s holding, none of these examples of government control and supervision can be considered. That is not a reasonable or fair implementation of the Court‘s remand. Mitchell II stated the question as “whether the statutes and regulations ... clearly give the Federal Government full responsibility to manage Indian resources and land for the benefit of the Indians.” 463 U.S. at 224, 103 S.Ct. 2961. Determination of the extent of governmental resрonsibility requires analysis of the totality of the control and supervision provided by the Indian Mineral Leasing Act along with the other statutes, regulations and treaties that govern this relationship.1
In its Respondent‘s brief in the Supreme Court, the Navajo Nation listed the “Statutes and Regulations Involved“:
The following authorities establish comprehensive federal control and supervision over Navajo coal leasing and impose trust duties on the Government: two treaties between the United States of America and the Navajo Tribe of Indians, 9 Stat. 574 (1849) and 15 Stat. 667 (1868); the Indian mineral leasing statutes,
25 U.S.C. §§ 396a-396g , 399, and implementing regulations, 25 C.F.R. pts. 211 and 216 subpart A and 43 C.F.R. pt. 3480; the 1948 Indian right-of-way statute,25 U.S.C. §§ 323-328 , and implementing regulations, 25 C.F.R. pt. 169; the Navajo and Hopi Rehabilitation Act of 1950,25 U.S.C. §§ 631-640 ; the Federal Oil and Gas Royalty Management Act (FOGRMA),30 U.S.C. §§ 1701-1757 , and regulations applying FOGRMA to Indian coal, 30 C.F.R. § 206.450 et al. and 25 C.F.R. § 211.40 (applying 30 C.F.R. Chapter II, Sub-chapters A and C); and the Indian lands section of the Surface Mining Control and Reclamation Act of 1977 (SMCRA), 30 U.S.C. § 1300 , and implementing rеgulations, 25 C.F.R. pt. 216, subpart B, and 30 C.F.R. pts. 750 and 955.
These sources were not explored by the Court, for the “question presented” was limited to the sources on which the Federal Circuit‘s decision had relied. Now on remand, in determining whether there is a “network” that supports a fiduciary status analogous to that found in Mitchell II, all sources must be considered together. From my colleagues’ exclusion of the Indian Mineral Leasing Act and the Indian Mineral Development Act from this network, althоugh these statutes and their regulations are major sources of supervision and control of Indian mineral resources by the United States, I must, respectfully, dissent.
APOTEX, INC., Plaintiff-Appellant, v. Tommy G. THOMPSON, Secretary of Health and Human Services, U.S. Food and Drug Administration, and Lester M. Crawford, Deputy Commissioner, U.S. Food and Drug Administration, Defendants-Appellees, and Smithkline Beecham Corporation, Defendant-Appellee.
No. 02-1295
United States Court of Appeals, Federal Circuit.
Oct. 27, 2003.
