ITSI TV Productions, Inc. v. Agricultural Associations

3 F.3d 1289, 1993 WL 327132
CourtCourt of Appeals for the Ninth Circuit
DecidedAugust 31, 1993
DocketNos. 92-15541, 92-15860
StatusPublished
Cited by43 cases

This text of 3 F.3d 1289 (ITSI TV Productions, Inc. v. Agricultural Associations) is published on Counsel Stack Legal Research, covering Court of Appeals for the Ninth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
ITSI TV Productions, Inc. v. Agricultural Associations, 3 F.3d 1289, 1993 WL 327132 (9th Cir. 1993).

Opinion

O’SCANNLAIN, Circuit Judge:

We must decide a question of apparent first impression: who bears the burden of persuasion when a putative state entity claims immunity from suit in federal court under the Eleventh Amendment?

I

ITSI T.V. Productions, Inc. (“ITSI”) sued California State Fail’ and Exposition (“Cal Expo”) and various District Agricultural Associations (“the DAAs”) for copyright infringement. At issue were broadcasts of horse races created by ITSI and used by Cal Expo and the DAAs in connection with state and local fairs they had organized. Both Cal Expo and the DAAs moved to dismiss on the ground that they are “arms of the state” of California, and, as such, immune from suit under the Eleventh Amendment. The district court ruled that this motion presented a jurisdictional issue separate from the merits of the case, and thus permitted limited discovery and held an evidentiary hearing to determine the facts relevant to that issue. The court thereafter issued an order in which it granted the motion to dismiss as to Cal Expo, and denied the motion as to the DAAs. 785 F.Supp. 854. The disappointed parties appeal.

II

The district court assigned Cal Expo and the DAAs the burden of proving their entitlement to Eleventh Amendment' immunity. On appeal, the DAAs say that the court erred because their motion went to the district court’s jurisdiction, and it is established that the party asserting jurisdiction has a continuing burden to establish that jurisdiction is proper. See, e.g., McNutt v. General Motors Acceptance Corp., 298 U.S. 178, 189, 56 S.Ct. 780, 785, 80 L.Ed. 1135 (1936) (the party “seeking relief ... must carry throughout the litigation the burden of showing that he is properly in court”).

The Supreme Court has held that “the Eleventh Amendment defense ... partakes of the nature of a jurisdictional bar” insofar as it may be raised for the first time on appeal. Edelman v. Jordan, 415 U.S. 651, 678, 94 S.Ct. 1347, 1363, 39 L.Ed.2d 662 (1974). The Court has emphasized, however, that it has “never held that [the defense] is jurisdictional in the sense that it must be raised and decided by [the court] on its own motion.” Patsy v. Board of Regents of the State of Florida, 457 U.S. 496, 516 n. 19, 102 S.Ct. 2557, 2567 n. 19, 73 L.Ed.2d 172 (1982). The Court has accordingly recognized that Eleventh Amendment immunity, unlike a true jurisdictional bar, may be expressly waived, Atascadero State Hosp. v. Scanlon, 473 U.S. 234, 238, 105 S.Ct. 3142, 3145, 87 L.Ed.2d 171 (1985), Pennkurst State School and Hosp. v. Halderman, 465 U.S. 89, 99, 104 S.Ct. 900, 907, 79 L.Ed.2d 67 (1984), and may even be forfeited by the State’s failure to assert it. See Blatchford v. Native Village of Noatak, — U.S. -, - n. 3, 111 S.Ct. 2578, 2584 n. 3, 115 L.Ed.2d 686 (1991) (noting that, in Moe v. Confederated Salish and Kootenai Tribes, 425 U.S. 463, 96 S.Ct. 1634, 48 L.Ed.2d 96 (1976), “[s]ince Montana had not objected in this Court on sovereign immunity grounds, its immunity had been waived and was not at issue.”).

Eleventh Amendment immunity thus does not implicate a federal court’s subject matter jurisdiction in any ordinary sense. It therefore cannot be said that the general principle that the plaintiff must establish the facts supporting “jurisdiction” means that ITSI should have been required to prove that Cal Expo and the DAAs were not entitled to such immunity. Rather, we believe that Eleventh Amendment immunity, whatever its jurisdictional attributes, should be treated as an affirmative defense. See Blatchford, — U.S. at - n. 4, 111 S.Ct. at 2585 n. 4 (explaining that general jurisdictional statutes do not abrogate Eleventh Amendment immunity: “The fact that Congress grants jurisdiction to hear a claim does not suffice to show that Congress has abrogated all defenses to that claim.”). Like any other such defense, that which is promised by the Eleventh Amendment must be proved by the party that asserts it and would benefit from its acceptance.

Our conclusion is bolstered by consideration of the procedures employed in assess[1292]*1292ing other sovereign immunity claims. For example, under the Foreign Sovereign Immunities Act, 28 U.S.C. §§ 1330, 1602-11, through which Congress has declared that the sovereign acts of foreign states may not be sued upon in our courts, it is ultimately “the defendant [that] must prove its entitlement to immunity by a preponderance of the evidence.” Meadows v. Dominican Republic, 817 F.2d 517, 523 (9th Cir.), cert. denied, 484 U.S. 976, 108 S.Ct. 486, 98 L.Ed.2d 485 (1987). Similarly, under the Federal Tort Claims Act, 28 U.S.C. § 1346, although the “plaintiff bears the burden of persuading the court that it has subject matter jurisdiction under the FTCA’s general waiver of immunity,” Prescott v. United States, 973 F.2d 696, 701 (9th Cir.1992), “the government bears the ultimate burden of proving the applicability of an exception” to this general waiver, because the claim of exception “is analogous to an affirmative defense,” and the burden of proof is “correctly placed ... on the United States as the party which benefits from the defense.” Id. at 702.

Finally, we note the familiar principle that, “when the true facts relating to [a] disputed issue lie peculiarly within the knowledge of’ one party, the burden of proof may properly be assigned to that party “in the interest of fairness.” United States v. Hayes, 369 F.2d 671, 676 (9th Cir.1966). See United States v. New York, N.H. & H.R.R. Co., 355 U.S. 253, 256 n. 5, 78 S.Ct. 212, 214-15 n. 5, 2 L.Ed.2d 247 (1957) (“The ordinary rule, based upon considerations of fairness, does not place the burden upon a litigant of establishing facts peculiarly within the knowledge of his adversary.”). In general, a claim of Eleventh Amendment immunity will occasion serious dispute only where a relatively complex institutional arrangement makes it unclear whether a given entity ought to be treated as an arm of the state. In such cases, the “true facts” as to the particulars of this arrangement will presumably “lie peculiarly within the knowledge of’ the party claiming immunity.

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3 F.3d 1289, 1993 WL 327132, Counsel Stack Legal Research, https://law.counselstack.com/opinion/itsi-tv-productions-inc-v-agricultural-associations-ca9-1993.