Lead Opinion
Opinion for the Court filed by Circuit Judge GAJARSA.
Concurring Opinion filed by Circuit Judge SCHALL.
Pennington Seed, Inc. and AgResearch Limited (collectively “Pennington”), the patentees, originally filed suit against the University of Arkansas (“the University”)
I. BACKGROUND
The ’170 patent claims a type of nontoxic fescue grass that does not adversely affect livestock that graze upon it. AgRe-search developed the grass and received the T70 patent on August 29, 2000. It then licensed the patent to Pennington, which markets it as MAXQ.
As alleged in the First Amended Complaint, all the University Officials reside in Arkansas. Pennington alleged in the Original Complaint and First Amended Complaint that the University and all four of the University Officials “are actively growing, marketing, offering for sale, promoting and selling a product containing” Pennington’s patented product. It further alleged that the University and University Officials “infringed and continue to infringe ... the claims of the ’170 patent.” In addition to the infringement allegations, the First Amended Complaint alleged a deprivation of federal patent rights against the University Officials in their “capacity as employees of the University of Arkansas.”
On September 17, 2004, the University filed a motion to dismiss the Original Complaint pursuant to Federal Rules of Civil Procedure 12(b)(1), (b)(2), (b)(3) and (b)(6). The November Order granted the University’s motion and dismissed the complaint for failure to state a claim upon which relief can be granted because the Eleventh Amendment barred the action against the University in federal court.
On February 4, 2005, the University Officials filed another motion to dismiss the First Amended Complaint pursuant to Federal Rule of Civil Procedure 12(b)(1), (b)(2), (b)(3) and (b)(6). The June Order granted the motion and dismissed George, Sugg, and White because Pennington’s First Amended Complaint failed to allege a causal connection between those “officials] and the enforcement or threatened enforcement of an act,” under Ex parte Young,
Pennington filed a timely appeal in this court, and we have jurisdiction pursuant to 28 U.S.C. § 1295(a)(1).
II. DISCUSSION
A. Standard of Review
We review personal jurisdiction issues in a patent infringement case under Federal Circuit law. See Silent Drive, Inc. v. Strong Indus.,
A district court’s grant of a motion to dismiss for lack of subject matter jurisdiction and personal jurisdiction is a question of law that we review de novo. See Xechem Int'l, Inc. v. Univ. of Tex. M.D. Anderson Cancer Ctr.,
B. Eleventh Amendment Immunity
1. Abrogation of State Immunity
The Eleventh Amendment to the United States Constitution limits the judicial authority of the federal courts and prevents citizens from bringing suit against a state in a federal court without its consent. Idaho v. Coeur d’Alene Tribe of Idaho,
In Florida Prepaid, the Supreme Court held that Congress did not have the authority under Article I, Section 8 of the Constitution to abrogate state sovereign immunity. The amendment to the Patent Act that abrogated state sovereign immunity, 35 U.S.C. §§ 271(h), 296(a) (“Act”), did not reflect any Congressional findings upon which Congress could base the abrogation of the Eleventh Amendment sovereign immunity of the states pursuant to the Fourteenth Amendment. The Act merely served as a uniform remedy for patent holders against states instead of a remedy for constitutional violations, such as where a state provides inadequate or no state court remedies. Fla. Prepaid, 527 U.S. at 646-47,
Pennington submits that the University and the University Officials are
In Xechem, we noted that Florida Prepaid requires a showing “that the state action ‘left [the patentee] without a remedy under state law,’ ”
Here, Pennington alleged in its complaint that the Arkansas Claims Commission is the only body allowed to hear claims against the state, but that it could not issue injunctions, conduct discovery, or issue a monetary award over $10,000. Pennington, however, fails to allege or explain how Congress made the specific finding that these state procedures are so inadequate that it abrogated state sovereign immunity to allow a patent infringement claim to be filed in federal court. Without such a finding, abrogation would be suspect under Florida Prepaid.
Although the district court found that there was no state forum in which to contest patent infringement claims, it did not find that other available remedies pursuant to state law were so insufficient that they violated the Fourteenth Amendment. In fact, Pennington’s First Amended Complaint inherently recognizes the sufficient state remedies acknowledged in Florida Prepaid. Namely, the complaint notes that the State legislature may consider claims and appropriate monetary awards greater than $10,000 (a legislative remedy), and it alleges that the state remedy for conversion (a judicial remedy) may be available. See Fla. Prepaid,
2. Ex parte Young Action Against the University Officials
Next, Pennington argues that the district court improperly dismissed its claims against George, Sugg, and White, which had been alleged on the basis of the Ex parte Young doctrine.
The Supreme Court held that if a state official was seeking to enforce an unconstitutional act, he came into conflict with the supreme authority of the Constitution and was thereby stripped of his official capacity; consequently, the state’s mantle of sovereign immunity would not be available to insulate his actions. Id. at 159-60,
Thus, continuing prospective violations of a federal patent right by state officials may be enjoined by federal courts under the Ex parte Young doctrine; however, the Eleventh Amendment precludes the plaintiff from obtaining monetary damages from individual defendants in their official capacities. See Graham,
Here, the district court found that Pennington failed to allege any causal connection between George, Sugg, or White and the alleged patent infringement. In the First Amended Complaint, Pennington made allegations that the University Officials were engaged in marketing the patented product. Pennington, however, failed to sufficiently allege how George, White and Sugg were causally connected to the infringement.
Instead, Pennington asserted in its opposition to the motion to dismiss that George, White and Sugg were liable for infringement because, due to their positions at the University, they supervised intellectual property activity. It supported this conclusion through documents and argument included in its opposition brief.
Allegations that a state official directs a University’s patent policy are insufficient to causally connect that state official to a violation of federal patent law — i.e., patent infringement. A nexus between the violation of federal law and the individual accused of violating that law requires more than simply a broad general obligation to
Essentially, Pennington asks the federal courts to enjoin the University Officials from neglecting their job duties established by state law. But, a federal court cannot enjoin a state official to perform his or her duty under state law. Pennhurst,
[a] federal court’s grant of relief against state officials on the basis of state law, whether prospective or retroactive, does not vindicate the supreme authority of federal law. On the contrary, it is difficult to think of a greater intrusion on state sovereignty than when a federal court instructs state officials on how to conform their conduct to state law. Such a result conflicts directly with the principles of federalism that underlie the Eleventh Amendment. We conclude that Young and Edelman [v. Jordan,415 U.S. 651 ,94 S.Ct. 1347 ,39 L.Ed.2d 662 (1974)] are inapplicable in a suit against state officials on the basis of state law.
Id. A federal court may only enjoin ongoing activity that violates federal law. To hold otherwise would not only violate the principles of federalism and a state’s sovereign immunity, but it would also be akin to a suit against the state itself. Thus, Pennington’s claims against George, White and Sugg were properly dismissed.
C. Personal Jurisdiction
Additionally, the district court found that regardless of Pennington’s insufficient Ex parte Young claims, the First Amended Complaint lacked allegations that the University Officials had sufficient minimum contacts that subjected them to the reach of the Missouri long-arm statute. Pennington argues that it made sufficient allegations to support a prima facie case of personal jurisdiction that at least entitles it to a jurisdictional hearing. As in its Ex parte Young claims, Pennington relies on the exhibits and allegations made in response to the Motion to Dismiss.
We review personal jurisdiction issues in a patent infringement case under Federal Circuit law. See Silent Drive, Inc. v. Strong Indus.,
The due process analysis requires the nonresident defendant to have “certain minimum contacts with the forum such that the maintenance of the suit does not offend traditional notions of fair play and substantial justice.” Coyle,
In this case, the district court did not hold an evidentiary hearing on the issue of personal jurisdiction. Therefore, Pennington need only make a prima facie case of personal jurisdiction, and we “must accept the uncontroverted allegations in [its] complaint as true.” Coyle,
In Coyle, we held there was a prima facie case of personal jurisdiction against a Nevada patentee in the State of California.
Here, Pennington has made no allegation that the University Officials had minimum contacts with the State of Missouri. Notably, the only place the word “Missouri” is used within the First Amended Complaint is in reference to the Produce Exchange No. 299 corporation that was organized in Missouri and is no longer a party to this action. Furthermore, the complaint only alleges that the University Officials reside in Arkansas, not Missouri. Even if their residence is within 60 miles of the Missouri border, as Pennington states in its brief to this court, such a fact does not demonstrate activities directed at Missouri or claims arising out of activities in Missouri. On its face, the complaint lacks sufficient allegations of minimum contacts to establish personal jurisdiction. Thus, the district court did not err by dismissing the First Amended Complaint for lack of personal jurisdiction.
III. CONCLUSION
Pennington appeals to us for review of the district court’s dismissal of Pennington’s patent infringement and conversion claims against the University and University Officials. For the reasons we have
AFFIRMED.
Notes
. Pennington Seed also filed suit against Produce Exchange No. 299, Allied Seed, and the FFR Cooperative who have since been dismissed from the suit by stipulation.
. Pennington argues that it was error to dismiss the complaint against the University before considering its First Amended Complaint that added an additional count for deprivation of federal patent rights. In Pure Country, Inc. v. Sigma Chi Fraternity, the Eighth Circuit held that it was plainly erroneous for the district court to ignore a motion to amend when it grants a motion to dismiss, then moot the motion to amend citing its own grant of the motion to dismiss.
. Pennington does not address the trial court’s dismissal of any § 1983 claims due to the suit being brought against the University Officials in their official capacity. As such, we will consider any such claim waived.
. The district court refused to recognize the unsupported assertions of counsel and dismissed the actions against George, Sugg, and White. Under Rule 10(c) of the Federal Rules of Civil Procedure, materials attached to a complaint may be considered as exhibits that are part of the complaint for determining the sufficiency of the pleadings. See Meehan v. United Consumers Club Franchising Corp.,
. This is to be distinguished from the factual situation where a state official’s refusal to perform a duty is itself a violation of federal law. See, e.g., Dairy Mart,
Concurrence Opinion
concurring.
I am in full agreement with, and therefore join, Parts II B1 and II C of the court’s opinion. In those parts of the court’s opinion, Judge Gajarsa explains in a well-reasoned fashion (i) why the University’s Eleventh Amendment immunity from suit was not abrogated and (ii) why the district court lacked personal jurisdiction over the four University Officials. I would affirm the judgment of the district court on those grounds and would not reach the question — discussed in Part II B2 of the court’s opinion — of whether the doctrine set forth in Ex parte Young,
