The FORT BELKNAP INDIAN COMMUNITY OF the FORT BELKNAP INDIAN
RESERVATION, Plaintiff-Appellee,
v.
Joseph P. MAZUREK, as Attorney General for the State of
Montana; Donald A. Ranstrom, as County Attorney
for Blaine County, Montana, Defendants-Appellants.
No. 93-36086.
United States Court of Appeals,
Ninth Circuit.
Argued and Submitted Nov. 3, 1994.
Decided Dec. 16, 1994.
Deanne L. Sandholm and Harley R. Harris, Asst. Attys. Gen., Helena, MT, for defendants-appellants.
James L. Vogel, Vogel Law Office, Hardin, MT, for plaintiff-appellee.
Appeal from the United States District Court for the District of Montana.
Before: BEEZER and FERNANDEZ, Circuit Judges, and ORRICK,* Senior District Judge.
BEEZER, Circuit Judge:
The State of Montana seeks enforcement of its liquor laws on Indian reservations. Joseph Mazurek, in his capacity as Attorney General for the State of Montana ("Montana"), appeals the district court's grant of summary judgment in favor of the Fort Belknap Indian Community of the Fort Belknap Indian Reservation ("Community") in a declaratory judgment action. Montana argues that the district court should have abstained from exercising its jurisdiction. Younger v. Harris,
* Although the declaratory judgment action brought by the Community was filed in December of 1989, the underlying dispute began almost two years earlier. Caroline and Harley Brown operated a grocery store in Hays, Montana, within the confines of the Fort Belknap Indian Reservation. Caroline Brown was a Community member. Although Harley Brown was an Indian, the record does not indicate whether he also was a Community member. The Browns sold, among other sundries, beer and wine. In January of 1988, the Blaine County Attorney filed charges against the Browns for possessing and selling liquor without a license.1 Mont.Code Ann. Sec. 16-6-301(1) (1989).
The Browns moved to dismiss the prosecution, arguing that Montana lacked criminal jurisdiction over Indians for offenses committed on Indian reservations. The Blaine County District Court disagreed. The Browns sought immediate review in the Montana Supreme Court, which accepted supervisory control jurisdiction. That court decided that Montana could bring a criminal proceeding in state court against an Indian for violations of the state's liquor laws. Brown v. District Ct.,
The Community then filed a declaratory judgment action against the State of Montana in federal district court. See 28 U.S.C. Sec. 2201. It accused the state of frustrating "th[e] exercise of tribal sovereignty," the tribe's ability to "exercise reasonable forms of self government," and the ability of the Community "to govern itself." The Community sought a declaration that Montana could not criminally prosecute Indians for liquor law violations on Indian reservations. It also sought permanent injunctive relief to prevent any attempt at enforcing Montana's criminal laws on the Fort Belknap Indian Reservation. Montana moved for summary judgment, arguing that the action was barred by the Eleventh Amendment, and that, in any case, 18 U.S.C. Sec. 1161 permitted it to prosecute Indians for criminal violations of state liquor laws.
The district court granted Montana's motion on Eleventh Amendment grounds, see Fort Belknap Indian Community v. State of Montana,
Montana then moved pursuant to Federal Rule of Civil Procedure 60(b) for relief from judgment on grounds that the district court should have refrained from exercising jurisdiction over the controversy under the Younger abstention doctrine. The district court denied the motion. Montana appealed.
II
Montana argues that the district court should have dismissed the declaratory judgment action pursuant to Younger abstention principles. Younger v. Harris,
We review de novo whether abstention was required under the Younger doctrine. Wiener v. County of San Diego,
In applying the Younger test, we adhere to the basic principle that abstention is an "extraordinary and narrow exception" to a district court's role as adjudicator of a ripe controversy. Barbosa,
The district court offered two grounds for its decision to exercise its jurisdiction and refuse to abstain under Younger. First, the court held that the state did not have a vital state interest in asserting criminal jurisdiction over Indians for crimes committed on Indian reservations. Second, the district court determined that abstention was not appropriate because there were different parties in the federal and state action--the Browns in state court and the Community in federal court. Thus, the Community had no opportunity to raise its federal claim in state court. On appeal, Montana contests both of these grounds. We need address only the first.
The Community correctly argues that Montana cannot demonstrate an important state interest. Although there is no question that Montana has a legitimate interest in the enforcement of its liquor laws through criminal prosecution, the primary issue here is whether the state has jurisdiction to prosecute Indians who violate Montana liquor law on an Indian reservation. That question is one of federal jurisdiction.
In Sycuan Band of Mission Indians v. Roache,
Our analysis is similar here. The threshold question in this case is whether Montana has jurisdiction to prosecute Indians in state court for violations of state liquor laws. Although the Supreme Court has already determined that states may regulate liquor transactions on Indian reservations, see Rice v. Rehner,
III
Montana next argues that the district court erred in holding that the state had no jurisdiction to criminally prosecute Indians for violations of state liquor laws occurring on Indian reservations. Montana relies on Rice v. Rehner,
We review de novo the district court's decision granting summary judgment. Jones v. Union Pac. R.R.,
Two fundamental policy interests clash in this dispute. The state of Montana has an interest in enforcing its liquor laws, if necessary, through criminal prosecutions. The Community has an interest in self-government and tribal sovereignty; matters that are especially jeopardized when an enrolled Tribal member must appear in state court to face criminal prosecution. Today, we must determine which interest should prevail. Because we believe both federal statutes and case law have struck the balance in favor of the state in the narrow context of liquor laws, we reverse the district court and hold that Montana may maintain criminal prosecutions of Indians in state court for on-reservation liquor law violations.
State law generally is not applicable to Indian affairs within the territory of an Indian tribe, absent congressional consent. Felix S. Cohen's Handbook of Federal Indian Law 259-60 (1982 ed.) ("Cohen's Handbook"); see, e.g., United States v. John,
The provisions of sections 1154, 1156, 3113, 3488, and 3669, of this title, shall not apply within any area that is not Indian country, nor to any act or transaction within any area of Indian country provided such act or transaction is in conformity both with the laws of the State in which such act or transaction occurs and with an ordinance duly adopted by the tribe having jurisdiction over such area of Indian country, certified by the Secretary of the Interior, and published in the Federal Register.
In Rice, the Court indicated that Congress, through this statute, intended to permit lifting the federal prohibition against the sale and use of liquor on Indian reservations that had existed since 1832. Rice,
The Court's holding that states had the authority to regulate liquor on Indian reservations was guided primarily by its analysis of "the role of tribal sovereignty." Id. at 719,
The Court concluded, however, that Indians had been divested of any inherent power to regulate in this area, and did not possess "the usual accoutrements of tribal self-government." Rice,
The Court recognized that although states generally had little or no power to regulate the affairs of Indians on a reservation, "that assumption would be unwarranted in the narrow context of the regulation of liquor." Id. at 723,
Although the Court did not address the question before us today, it did make several references to criminal prosecution in the area of liquor regulation. The Court noted that Congress had historically permitted concurrent state regulation "through the imposition of criminal penalties on those who supply Indians with liquor, or who introduce liquor into Indian country." Id. at 726,
The parties have not provided, nor have we found, case law addressing the question of whether Rice should be extended to permit state criminal prosecution for violations of state liquor laws on Indian reservations. The Montana Supreme Court found that such an extension was warranted, indeed necessary, in order to enforce a state regulatory scheme. Brown,
The district court reached the opposite conclusion, limiting Rice 's holding to the proposition that states may regulate liquor, but stopping short of allowing states to exercise criminal jurisdiction. The district court read Sec. 1161 as lifting the previously imposed federal penalties for liquor transactions on Indian reservations only so long as those transactions complied with state liquor laws. The district court found that an act in violation of state liquor laws "necessarily invokes the federal penalties conditionally set aside by section 1161." Thus, the interaction of the federal statutes would never permit state criminal prosecution of an Indian for a violation of state liquor laws on an Indian reservation. Either Indians would be complying with state law under Sec. 1161, or Indians would be violating state law, thus dropping out of Sec. 1161 and reverting back to the federal criminal prohibitions contained in 18 U.S.C. Sec. 1154.
In our judgment, the Montana Supreme Court correctly resolved the issue. All of the reasoning of Rice indicates that states should have concurrent jurisdiction to bring criminal prosecutions in this narrow context. It is true that notions of tribal self-government usually preclude either criminal or civil jurisdiction of state courts over Indians.5 Cohen's Handbook at 349. Giving states criminal jurisdiction would concededly be an even more significant infringement on tribal self-government than mere regulation of liquor transactions. The Rice court, however, concluded that tribes had no tradition of self-government in the area of liquor due to pervasive federal control. See William C. Canby, Jr., The Status of Indian Tribes in American Law Today, 62 Wash.L.Rev. 1, 18-19 (1987) (noting that strength of federal regulation operated to deprive tribe of power and "indirectly increases the power of the state to fill the vacuum"). Because of this conclusion, the Rice Court found that it was not necessary that Congress expressly indicate that the State had jurisdiction to regulate liquor. Id. at 731-33,
Section 1161 provides for tribal and state regulation of liquor. The Community contends that the tribe can, and should, prosecute Indians for violations of state law. It follows logically, however, that states should have jurisdiction to prosecute Indians for violations of state law. Montana has the primary interest in the enforcement of its own liquor laws. The power to regulate is a broad power. See, e.g., Chickasaw Nation v. State of Oklahoma,
We find the district court's attempt to limit Rice unpersuasive because its opinion gave Sec. 1161 an unjustifiably narrow reading. The Rice Court broadly found that Indian Tribes have no sovereignty interest and no self-government interest in liquor regulation. The Court further found that Congress affirmatively authorized state regulation. The district court's reading of Rice would give the states no power at all, but merely allow the federal government to enforce state law. This interpretation of Sec. 1161 was rejected in Rice.
Furthermore, the district court's support for its holding that state law was to be a "standard of measurement" to be applied in federal criminal proceedings is not strong. It relies on language from Justice Blackmun's dissent in Rice and on language from Cohen's Handbook, which was published before the Rice decision. In contrast, the Court in Rice indicated that "state laws would apply of their own force to govern tribal liquor transactions."
The district court's analysis also fails because it would operate to deprive Indian Tribes of jurisdiction to criminally prosecute violations of tribal liquor ordinances. If an Indian did not comply with a tribal liquor ordinance, under the district court's reading of the statutory scheme, Sec. 1161 would not apply and the Indian would be subject only to federal penalties. This system would deprive Indian tribes of their right to enforce their own ordinances, and would amount to a greater loss of tribal self-government and sovereignty than permitting states to criminally prosecute Indians for violations of state law.
We need not address here the scope of federal criminal jurisdiction over Indians for liquor violations.7 It is enough to recognize that federal jurisdiction to prosecute is not exclusive. Indeed, other federal statutes reveal that the federal government is capable of making clear its intention to retain exclusive jurisdiction when state laws or issues are involved. See, e.g., 18 U.S.C. Sec. 1153 (Indians are subject to "exclusive jurisdiction of the United States" for various major crimes committed in Indian country); 18 U.S.C. Sec. 1166(d) ("United States shall have exclusive jurisdiction over criminal prosecutions of violations of state gambling laws that are made applicable under this section to Indian country").
IV
Several additional arguments of the Community require consideration.
The Community argues that Rice did not overrule or limit United States v. Mazurie,
The Community relies on Seymour v. Superintendent of Washington State Penitentiary,
The Community also relies on Oliphant v. Suquamish Indian Tribe,
The Community further argues that Montana had never before exercised its jurisdiction to criminally prosecute Indians for conduct on Indian reservations. It observes that the tribal courts are available as easy and convenient forums for prosecution. It further contends that it did not intend to grant jurisdiction to the state to criminally prosecute Indians. These arguments are unavailing. The only question here is whether Montana has the power to bring criminal prosecutions in the narrow context of liquor violations. Whether it has done so in the past or whether prosecution in a tribal forum would be more convenient is irrelevant. Although Montana presumably could agree, and perhaps should agree, to work with tribal courts in prosecuting Indians for violations of state liquor laws, it is not required to do so. Also irrelevant is whether the Tribe intended to cede jurisdiction to the state. Montana has been granted jurisdiction by Congress, thus the Tribe's approval is not necessary.
AFFIRMED in part, REVERSED in part.
Notes
The Honorable William H. Orrick, Senior United States District Judge for the Northern District of California, sitting by designation
The Browns were initially charged in tribal court with violations of tribal liquor ordinances. That court, however, dismissed the charges without prejudice at the request of a Bureau of Indian Affairs investigator who indicated that prosecution would be sought in either state or federal court
Federal courts have recognized a few limited exceptions to Younger abstention. For instance, a federal court should not abstain if the state court action was initiated in bad faith or if the challenged state law is flagrantly and patently unconstitutional. Lebbos v. Judges of the Super. Ct.,
In support of our holding, we relied on a Tenth Circuit opinion that reached the same conclusion. See Seneca-Cayuga Tribe v. Oklahoma ex rel. Thompson,
Because we agree with the district court that Montana has failed to demonstrate an important state interest, we need not address whether Montana met other Younger elements
Of course, some states have assumed jurisdiction over both criminal and civil matters on Indian reservations pursuant to Public Law 280, 18 U.S.C. Sec. 1162. These states include California, Minnesota (in part), Nebraska, Oregon (in part), Wisconsin (in part), and Alaska. See Cohen's Handbook at 362-72 (reviewing jurisdiction under Public Law 280). Although the Rice case arose in California, the Court explicitly relied on Sec. 1161 and not on Sec. 1162. Our holding today neither relies on nor implicates Sec. 1162
Of course, the federal government also has an interest in enforcing its law, but it has indicated no interest in enforcing individual state's laws. Section 1161 expresses an affirmative grant for states to regulate and no commensurate interest in exclusive federal enforcement
The Rice court also declined to address the scope of federal criminal jurisdiction because the federal government was not a party to that case. Here, the federal government is similarly not a party, and a determination of its power or jurisdiction beyond the determination that it is not exclusive, is unnecessary
Similarly, our recent opinion in Sycuan Band of Mission Indians v. Roache,
