Hoeffner v. University of Minnesota

• Decision Date: 29 July 1996
• Docket Number: Civil No. 3-95-958.
• Citation: 948 F.Supp. 1380
• Parties: June E. HOEFFNER and Paul J. Hoeffner, Plaintiffs, v. UNIVERSITY OF MINNESOTA and John S. Najarian, M.D., Defendants.
• Court: U.S. District Court — District of Minnesota

948 F.Supp. 1380

June E. HOEFFNER and Paul J. Hoeffner, Plaintiffs, v. UNIVERSITY OF MINNESOTA and John S. Najarian, M.D., Defendants.

Civil No. 3-95-958.

United States District Court, D. Minnesota, Third Division.

July 29, 1996.

COPYRIGHT MATERIAL OMITTED

Leslie A. Gelhar, for plaintiffs.

Mark A. Bohnhorst, Minneapolis, MN, for University of Minnesota.

Trudi Noel Trysla, for defendant John S. Najarian, M.D.

ORDER

DAVIS, District Judge.

The above-entitled matter comes before the Court upon Plaintiff's objections to the Report and Recommendation of the United States Magistrate Judge Raymond L. Erickson dated July 29, 1996. Plaintiff objects to the Report and Recommendation dismissing the Complaint against the University of Minnesota with prejudice on the basis of Eleventh Amendment immunity.

Pursuant to statute, the Court has conducted a de novo review of the record. 28 U.S.C. § 636(b)(1); Local Rule 72.1(c). Based on that review the Court ADOPTS the Report and Recommendation dated July 29, 1996.

Accordingly, IT IS HEREBY ORDERED that the University of Minnesota's Motion to Dismiss [Clerk Docket Nos. 4 and 14] is GRANTED and all claims against the University of Minnesota are dismissed with prejudice.

REPORT AND RECOMMENDATION

ERICKSON, United States Magistrate Judge.

I. Introduction

This matter came before the undersigned United States Magistrate Judge pursuant to a general assignment, made in accordance with the provisions of Title 28 U.S.C. § 636(b)(1)(B), upon the Motion of the Defendant University of Minnesota (the "University") to dismiss the Plaintiffs' claims against it for lack of subject matter jurisdiction.

For reasons which follow we recommend that the Motion to Dismiss be granted.

II. Factual and Procedural History

The Plaintiffs are a married couple, who are residents and citizens of the State of New York. On October 14, 1986, June Hoeffner gave birth to a son, Andrew Hoeffner ("Andrew"). In February of 1988, while hospitalized at the University of Minnesota Hospital and Clinic in Minneapolis, Minnesota Andrew underwent a kidney transplant, with his mother serving as the kidney's donor. Following that surgery, a biologic drug product known as Antilymphocyte Globulin, or "ALG",¹ was administered to Andrew. Andrew's system soon rejected his donated kidney, purportedly as a result of an adverse reaction to ALG. In July of 1988, Andrew underwent a second kidney transplant, which was, again, performed at the University's Hospital and Clinic but, on this occasion, the kidney was provided by a deceased donor. Following this second transplant, Andrew was, again, treated with ALG. Sadly, Andrew's second transplant also failed because of organ rejection — again, assertedly precipitated by an adverse reaction to ALG — and, on December 28, 1988, Andrew passed away.

On October 17, 1995, the Plaintiffs commenced this action by the filing of a Complaint which, on November 24, 1995, they amended. In their Amended Complaint, the Plaintiffs, in their capacities as the parents of Andrew, seek damages from the Defendants for his medical expenses, for his alleged wrongful death, and for a loss of consortium. In addition, Andrew's mother seeks damages for the injuries that arose as the donor of Andrew's first rejected kidney. In seeking these damages, the Plaintiffs rely on a variety of State law causes of action.²

In responding to the Plaintiffs' Amended Complaint, on November 8, 1995, the University filed a Motion to Dismiss the Plaintiffs' claims against it, in accordance with Rule 12(b)(1), Federal Rules of Civil Procedure, for an asserted lack of subject matter jurisdiction. The University contends that the Eleventh Amendment of the United States Constitution prohibits the Plaintiffs from bringing their claims against it in this Court.

III. Discussion

A. Standard of Review. Rule 12(b)(1), Federal Rules of Civil Procedure, allows a party to interpose the defense of a "lack of jurisdiction over the subject matter" of the Plaintiff's claim. Moreover, Rule 12(h)(3), Federal Rules of Civil Procedure, directs us to dismiss an action "[w]henever it appears by suggestion of the parties or otherwise that the court lacks jurisdiction over the subject matter * * *." These provisions are consistent with the core truth that "federal courts are not courts of general jurisdiction and have only the power that is authorized by Article III of the Constitution and the statutes enacted by Congress pursuant thereto." Marine Equipment Management Co. v. United States, 4 F.3d 643, 646 (8th Cir.1993), citing Bender v. Williamsport Area School District, 475 U.S. 534, 541, 106 S.Ct. 1326, 1331, 89 L.Ed.2d 501 (1986), citing in turn Marbury v. Madison, 1 Cranch 137 2 L.Ed. 60 (1803). A Federal Court, therefore, has a primordial duty, in every case before it, to inquire whether the vital prerequisite of subject matter jurisdiction has been satisfied. Bradley v. American Postal Workers Union, AFL-CIO, 962 F.2d 800, 802 n. 3 (8th Cir.1992); Thomas v. Basham, 931 F.2d 521, 523 (8th Cir.1991); Woodke v. Dahm, 873 F.Supp. 179, 185 (N.D.Iowa 1995), aff'd, 70 F.3d 983 (8th Cir. 1995).

To prevail upon a Motion to Dismiss for want of subject matter jurisdiction, the challenging party must successfully attack the Complaint, either on its face or on the factual truthfulness of its averments. Titus v. Sullivan, 4 F.3d 590, 593 (8th Cir.1993); Osborn v. United States, 918 F.2d 724, 729 n. 6 (1990). In a facial challenge to jurisdiction all of the factual allegations, as contained in the non-moving party's pleadings, which concern the jurisdictional issue, are presumed to be true and, therefore, the non-moving party receives the same protections that it would receive if it were defending against a Motion to Dismiss under Rule 12(b)(6), Federal Rules of Civil Procedure. Nevertheless, a Rule 12(b)(1) Motion will prove to be successful if the plaintiff should fail to allege an element necessary for a finding of subject matter jurisdiction. Titus v. Sullivan, supra; Wittmann v. United States, 869 F.Supp. 726, 729 (E.D.Mo.1994).

In a factual challenge to subject matter jurisdiction, the Court considers matters outside of the pleadings, the non-moving parties do not have the benefit of the safeguards of Rule 12(b)(6), and no presumption of truthfulness attaches to the factual allegations. Indeed, the non-moving party bears the burden of proving that jurisdiction does exist. Osborn v. United States, supra at 729-30. Furthermore, as the issue of subject matter jurisdiction concerns the pivotal issue of the Court's ability to hear a case, the Court has authority — denied to it in a Rule 56 Motion for Summary Judgment — to weigh the evidence in deciding whether it has the power to entertain the action. Id.

B. Legal Analysis.³ In seeking a dismissal from this action, the University maintains that it is an instrumentality of the State of Minnesota and, therefore, is immune from suit by these Plaintiffs in a Federal Court.⁴ As a result, the disposition of this Motion necessarily hinges upon the resolution of three issues:

1. Is the University an "instrumentality" of the State for purposes of the Eleventh Amendment?

2. If the University is a State instrumentality, has it waived its Eleventh Amendment immunity?

3. If the University is a State instrumentality, has Congress abrogated its Eleventh Amendment immunity?

We address each of these issues in turn.

1. Is the University an Instrumentality of the State of Minnesota?

a. Standard of Review. The Eleventh Amendment, by its express terms, prevents the exercise of the "Judicial power of the United States" against a State by citizens of another State. See, U.S. CONST. Amend. XI; see also, In re New York, 256 U.S. 490, 41 S.Ct. 588, 65 L.Ed. 1057 (1921); Fitts v. McGhee, 172 U.S. 516, 19 S.Ct. 269, 43 L.Ed. 535 (1899).⁵ The Amendment is founded upon "[a] recognition that the States, although a union, maintain certain attributes of sovereignty, including sovereign immunity[;] [and] [i]t thus accords the States the respect owed them as members of the federation." Puerto Rico Aqueduct and Sewer Authority v. Metcalf & Eddy, Inc., 506 U.S. 139, 146, 113 S.Ct. 684, 689, 121 L.Ed.2d 605 (1993).

Moreover, "[a] state agency or a state official may invoke the State's Eleventh Amendment immunity if immunity will `protect the state treasury from liability that would have had essentially the same practical consequences as a judgment against the State itself.'" Hadley v. North Arkansas Community Technical College, 76 F.3d 1437, 1438 (8th Cir.1996), quoting Pennhurst State School & Hospital v. Halderman, 465 U.S. 89, 123 n. 34, 104 S.Ct. 900, 920 n. 34, 79 L.Ed.2d 67 (1984). Accordingly, Eleventh Amendment immunity extends to instrumentalities of the State which act as "arm[s] of the State." Mount Healthy City School District Board of Education v. Doyle, 429 U.S. 274, 280, 97 S.Ct. 568, 572-73, 50 L.Ed.2d 471 (1977). On the other hand, Eleventh Amendment immunity does not embrace independent political subdivisions created by the State, such as Counties and Cities. See, e.g., Mount Healthy City School District Board of Education v. Doyle, supra; Lincoln County v. Luning, 133 U.S. 529, 10 S.Ct. 363, 33 L.Ed. 766 (1890).

Therefore, our inquiry must focus upon two factors. First, and foremost, we must determine whether the State treasury would be exposed to liability in damages and, second, we must decide whether the State controls the entity in question. Hess v. Port Authority Trans-Hudson Corp., 513 U.S. 30, ___, 115 S.Ct. 394, 400, 130 L.Ed.2d 245 (1994); Hadley v. North Arkansas Community Technical College, supra at 1439; Thomas v. FAG Bearings Corp., 50 F.3d 502, 506 (8th Cir.1995). In keeping with this framework, "[s]tate universities and colleges almost always enjoy Eleventh Amendment immunity." Hadley v. North Arkansas Community Technical College, supra at 1438; see also, Dover Elevator Co. v....