Concurrence Opinion
with whom Judge TASHIMA joins, concurring:
Courts make mistakes too. Given the volume of the judicial workload these days, the Ninth Circuit makes remarkably few— indeed, fewer than some in even the judiciary may think. I believe it important to state, however, that in this case, we made an error in granting an initial en banc hearing, a procedure in which we engage 'infrequently. There was no justification for taking so unusual an action here.
The en banc court took this case directly from the district court, thus bypassing our regular three-judge panel hearing process. We ordinarily do this only when there is a direct conflict between two Ninth Circuit opinions and a panel would not be free to follow either. See Atonio v. Wards Cove Packing Co.,
Our mistake in deciding to accept this ♦ appeal for initial en banc consideration caused eleven judges an inordinate amount of work, including reading 13 briefs totaling 454 pages, ruling before the hearing on various motions, and preparing, reviewing and voting on five separate opinions. All of this produced (understandably) a con-clusory per curiam opinion. Under these circumstances, it would be helpful to acknowledge our error and commit ourselves to examine more carefully any future suggestion by a judge (or anyone else) that we hear a case initially en banc.
Having said all that, I concur in the per curiam opinion.
Notes
. The law of the case would not be dispositive because it does not bind this court sitting en banc. Jeffries v. Wood,
. Judge Tashima also joins in Judge Tallman’s concurring opinion.
Concurrence Opinion
with whom Circuit Judges TASHIMA and W. FLETCHER join, concurring in the judgment:
The Court today affirms the district court’s judgment effectuating the opinion of the majority in Alaska v. Babbitt,
We write separately because we do not believe Congress intended the reserved water rights doctrine to limit the scope of ANILCA’s subsistence priority. The reserved water rights doctrine is mentioned nowhere in the statute, and it is inadequate to achieve the express congressional purpose of protecting and preserving traditional subsistence fishing. We believe that Congress invoked its powers under the Commerce Clause to extend federal protection of traditional subsistence fishing to all navigable waters within the State of Alaska, not just to waters in which the United States has a reserved water right.
When it passed ANILCA, Congress expressly invoked its power under the Commerce Clause to protect traditional subsistence fishing by rural Alaskans. See 16 U.S.C. § 3111(4). The Commerce Clause confers upon Congress the “power ... to regulate commerce ... among the several states.... ” U.S. Const, art. I, § 8, cl. 3. The power extends to any activity that “exerts a substantial economic effect on interstate commerce.” Wickard v. Filburn,
It is beyond dispute that taking fish from waters within the State of Alaska substantially affects interstate commerce. The activity supports a $1.2 billion annual industry that comprises nearly 55% of United States seafood production and accounts for approximately 40% of Alaska’s international exports.
Congress did not relinquish its constitutional authority and confer upon states title to, or exclusive regulatory authority over, fish in navigable waters within state boundaries by enacting the Submerged Lands Act (SLA), 43 U.S.C. §§ 130Í-1315. Rather, Congress expressly “retain[ed] all its ... rights in and powers of regulation and control of ... navigable waters for the constitutional purposes of commerce.... ” Id. § 1314(a); see also United States v. Rands,
B. ANILCA’s Protection of Subsistence Fishing.
In ANILCA, Congress invoked its “constitutional authority under the property clause and the commerce clause to protect and provide the opportunity for continued subsistence uses on the public lands.... ” 16 U.S.C. § 3111(4). The Property Clause alone is sufficient justification for federal regulation of federal waters. See U.S. Const, art. IV, § 3, cl. 2; Utah Div. of State Lands v. United States,
ANILCA, read as a whole, clearly expresses Congress’s intent to create a federal regulatory scheme “to protect the resources related to subsistence needs” and “to provide the opportunity for rural residents engaged in a subsistence way of life to continue to do so.” 16 U.S.C. § 3101(b)-(c); see also id. §§ 3111-3114. To that end, Congress mandated that “the taking on public lands of fish and wildlife for nonwasteful subsistence uses shall be accorded priority over the taking on such lands of fish and wildlife for other purposes.” Id. § 3114. Congress expressly protected as subsistence uses “the customary and traditional uses by Alaska residents ... for direct personal or family consumption as food” and for barter in exchange for other subsistence commodities. Id. § 3113 (emphasis added).
“Customary and traditional” subsistence fishing occurs primarily on navigable waters. Native Village of Quinhagak v. United States,
As non-native populations have settled in Alaska’s rural expanses, subsistence fishing has also become a mainstay of Alaska’s non-native rural residents. Cf. Hoonah Indian Ass’n v. Morrison,
Given the crucial role that navigable waters play in traditional subsistence fishing, it defies common sense to conclude that, when Congress indicated an intent to protect traditional subsistence fishing, it meant only the limited subsistence fishing that occurs in non-navigable waters. Reading the statute to exclude navigable waters frustrates Congress’s express purpose of protecting traditional subsistence fishing for all rural Alaskans by establishing subsistence fishing as a priority use of Alaska’s natural resources. We must not
Exercises of the commerce power frequently impose federal regulations in fields previously occupied by the states. Such is the case here. Regulation of hunting and fishing is a traditional attribute of state sovereignty. See Foster-Fountain Packing Co. v. Haydel,
Although protection of rural subsistence fishing was ANILCA’s ascendant objective, Congress was not unconcerned with state sovereignty. The statute provides that, if the State enforces a rural subsistence priority through the exercise of its own sovereignty, Congress will return primary regulatory authority over fishing to state stewardship. See id. § 3115(d). Only when the State failed adequately to protect subsistence fishing did the federal government assume authority over navigable waters in Alaska.
To summarize, Congress was clear in ANILCA’s text that enforcement of the subsistence priority would entail altering the traditional balance of power between the State of Alaska and the federal government. Congress was willing to give the State primary enforcement responsibility so long as the State effectively implemented a rural subsistence priority. But Congress was also clear that, if the State failed in this endeavor, the federal government would step in to protect subsistence fishing as traditionally practiced by rural Alaskans, ie., not just in ponds and landlocked lakes in Alaska’s interior, but also in Alaska’s navigable rivers where the vast majority of subsistence fishing has always occurred. We are charged with effectuating the congressional purpose to protect and preserve traditional
C. Katie John I.
By affirming without discussion the district court’s judgment, the Court today implicitly adopts the analysis of the Katie John I majority. That decision found reasonable a federal agency interpretation of ANILCA extending the rural substance priority only to those waters in which the United States has a reserved right. We do not agree either that deference to the agency’s interpretation is appropriate or that the agency’s interpretation is reasonable.
Judicial deference to agency interpretations is normally justified by the agency’s expertise in the regulated subject matter. See Pension Benefit Guar. Corp. v. LTV Corp.,
Moreover, since ANILCA’s enactment the agency has advocated two inconsistent interpretations of the statute. Initially, the agency insisted that the subsistence priority did not apply to any navigable waters. In Katie John I, however, the agency argued that the subsistence priority applied to navigable waters in which the United States has a reserved water right. The agency offered no explanation for this sudden interpretive change of heart. “An agency interpretation of a relevant provision which conflicts with the agency’s earlier interpretation is ‘entitled to considerably less deference’ than a consistently held agency view.” Cardoza-Fonseca,
Interpreting ANILCA is our responsibility. As Chief Justice Marshall observed: “It is .emphatically the province and the duty of the judicial department to say what the law is.” Marburg v. Madison,
Even if deference to the agency’s interpretation of ANILCA were appropriate, we could not endorse as reasonable an interpretation that ignores congressional purpose and focuses myopically on the term “title.” The agency’s interpretation, which the Court today adopts as its own, forsakes a clear congressional purpose that runs consistently throughout the statute in favor of a single, undefined word. Fixation on this single word in the several-
First, as the Supreme Court has observed, statutory terms must not be interpreted in isolation but, rather, must be interpreted in the context of the whole statute in the manner “most harmonious with its scheme and with the general purposes that Congress manifested.” Commissioner v. Engle,
Second, the Supreme Court has specifically rejected the argument that one may determine the lands and waters to which ANILCA applies by focusing inflexibly on the term “title”:
Petitioners also assert that the [Outer Continental Shelf] plainly is not “Federal land” because the United States does not claim “title” to the OCS.... The United States may not hold “title” to the submerged lands of the OCS, but we hesitate to conclude that the United States does not have “title” to any “interests therein.” Certainly, it is not clear that Congress intended to exclude the OCS by defining public lands as “lands, waters, and interests therein” “the title to which is in the United States.”
Amoco Prod. Co. v. Village of Gambell, Alaska,
Third, even if our duty were to determine the meaning of “title” in isolation, we interpret such undefined terms not as technical terms of art but rather in accordance with their ordinary or natural meaning in the context in which they arise. See Asgrow Seed Co. v. Winterboer,
Fourth, we must interpret congressional enactments “to avoid untenable distinctions and unreasonable results whenever possible.” American Tobacco Co. v. Patterson,
Resting as it does on a rigid, technical interpretation of a single word, the agency’s interpretation of ANILCA makes “title” the tail that wags the dog. Rather than interpret that term in the context of the statute as a whole, the agency interprets the statute as a whole in the context of that term, turning traditional interpretive canons on their head. By so doing, the agency frustrates Congress’s purpose of protecting traditional subsistence fishing. We cannot endorse such an interpretation as reasonable.
D. The Dissent.
We agree with much of the dissent’s analysis. We were recently reminded in Solid Waste Agency v. Amy Corps of Engineers,
The dissent asserts that Congress did not clearly state an intent that the rural subsistence priority apply to navigable waters because the United States does not clearly have “title” to navigable waters or to any interest in them. But as we demonstrate above, the clarity of a congressional enactment does not hinge on a single term
The Supreme Court has cautioned repeatedly against interpreting undefined statutory terms in isolation for a reason-doing so may lead to absurd results. Such is the case with the dissent’s interpretation. The dissent insists upon a strict, technical interpretation of the term “title,” ignoring the context in which it is used. It then notes, citing Federal Power Commission v. Niagara Mohawk Power Corporation,
The dissent’s technical interpretation of “title” in isolation thus entangles it in the following syllogism: ANILCA extends only to bodies of water to which the United States, strictly speaking, has title; the United States cannot have title to any body of water; therefore, ANILCA does not extend to any body of water. This is a peculiar result indeed for a statute that expressly applies to waters and has as one of its express purposes protection of subsistence fishing. The dissent’s interpretation is simply untenable.
The dissent also argues that the fact that the agency once interpreted the statute as excluding all navigable waters indicates that such an interpretation is at the very least plausible and that the statute, being susceptible of two plausible interpretations, is therefore ambiguous. The dissent’s analysis suffers from several flaws.
First, statutory ambiguity cannot be determined by referring to the parties’ interpretations of the statute. Of course their interpretations differ. That is why they are in court. See Bank of America NT & SA v. 203 North LaSalle Street P’ship,
Second, it is not unheard of for a court to find that an agency interpretation is not reasonable. See, e.g., Solid Waste,
Third, and perhaps most important, the dissent’s argument reverses the established chronology of Chevron analysis. The dissent looks first to the agency’s interpretation and then to whether the language of the statute is ambiguous. Under Chevron, however, a court must first ask if the language of a statute is ambiguous. See Chevron,
The dissent next argues, citing two prominent commentators and a handful of cases, that Congress may displace state regulation of fishing in Alaska only by way of a “super-strong clear statement.” Read carefully, however, neither the commentators nor the cases support the dissent’s argument that a super-strong clear statement is required in this case.
Professors Eskridge and Frickey astutely observe that the Supreme Court seems to have held that Congress may waive a state’s immunity from suit in federal court or interfere with a state’s core functions of self-governance only by making a “super-strong clear statement” of its intent to do so. William N. Eskridge, Jr. & Philip P. Frickey, Quasi-Constitutional Law: Clear Statement Rules as Constitutional Lawmaking, 45 Vand. L.Rev. 593, 619-25 (1992). They note that each of these attributes of sovereignty derives directly from the Constitution, immunity from the Eleventh Amendment, and self-governance from the Tenth Amendment and the Guarantee Clause. Id. at 623. Professors Esk-ridge and Frickey do not argue, as the dissent suggests, that any federal statute that establishes federal regulation in an area traditionally controlled by the states requires a super-strong clear statement.
The cases cited by the dissent also reflect the limited application of the super-strong clear statement rule. The cases that require a more rigorous application of the clear statement rule involve Eleventh Amendment immunity, see Atascadero State Hosp. v. Scanlon,
The dissent creates the illusion that the more exacting standard referred to as the
In United States v. Alaska,
In light of the purpose of the Reserve, it is simply not plausible that the Order was intended to exclude submerged lands, and thereby to forfeit ownership of valuable petroleum resources beneath those lands. The importance of submerged lands to the United States’ goal of securing a supply of oil distinguishes this case from Montana and Utah Div. of State Lands, where the disputed submerged lands were unnecessary for achieving the federal objectives.
Id. at 40-41,
Finally, the dissent asserts that Congress did not clearly state an intent to apply the rural subsistence priority to navigable waters because Congress used the general term “waters” rather than the specific terms “non-navigable waters” and “navigable waters.”
The clear statement rule requires clarity, not specificity. Although “waters” is a general term, it is also a clear one. There is no doubt that the major rivers (and other navigable waters) interfusing Alaska’s landscape are waters. There is no doubt that the United States has an interest in these waters. And there is no doubt that Congress’s purpose of protecting traditional subsistence fishing would be frustrated if the subsistence priority did not apply to all such waters. When the statute is read as a whole, in light of this purpose, Congress’s intent that the subsistence priority apply to all navigable waters is clear.
E. Conclusion.
We would affirm the decision of the district court on the broader ground that, in a proper exercise of its Commerce' Clause powers, Congress clearly established a subsistence priority that applies to all navigable waters in the State of Alaska, not just those waters in which the United States has a reserved water right.
. The question before us today is whether the United States may enforce at the Batzulnetas fishing site the rural subsistence priority established by the Alaska National Interest Lands Conservation Act, 16 U.S.C. §§ 3101-3233 (2000) ["ANILCA”]. The district court determined that it could in reliance on Katie John I. Only the State of Alaska appealed that determination. The plaintiffs did not cross-appeal to challenge the reasoning behind the ruling that upheld enforcement of their fishing rights. We concur in the per curiam opinion’s affirmance of the district court's judgment in favor of the plaintiffs, but, as set forth below, we disagree with the reasoning upon which it is based.
. See Alaska Dep't of Fish & Game, Div. of Comm. Fisheries, Year 2000 Budget Overview, available at http://www.cf.adfg.state.ak. uslgeninfolaboutl00overvw.pdf. (last visited April 9, 2001).
. In anticipation of ANILCA's enactment, Alaska implemented a rural subsistence priority on all waters within its boundaries. Regulatory authority under ANILCA thus passed directly to the State under § 3115(d). The Alaska Supreme Court later held that the regulations implementing that priority violated the state constitution, however, and struck them down. See McDowell v. State,
. Katie John I devotes substantial effort to discussing the nature of the federal interests in water. The statute does not require that the United States have an interest of a particular nature, however. It requires only that it have an interest.
. We recognize, however, a factor specific to this case that mitigates the persuasive force of this interpretive canon. The Supreme Court recently declined to apply the presumption that Congress intended not to interfere with state sovereignty "in an area where there has been a history of significant federal presence.” United States v. Locke,
. The dissent says we "waffle” regarding whether the clear statement rule applies to ANILCA. See Op. at 1048 n.6. Our position is simple: the clear statement rule applies; the super-strong clear statement rule does not. As we state above, the Supreme Court has applied the super-strong clear statement rule only to federal legislation impinging on states' Eleventh Amendment immunity and core functions of self-governance. See Eskridge & Frickey, supra, at 619-25 (observing that the Supreme Court has "transformed some of the existing clear statement rules into super-strong clear statement rules”) (emphasis added). ANILCA neither effects a waiver of Alaska's Eleventh Amendment immunity nor imposes restrictions on its core functions of self-governance. Therefore, the clear statement rule, not the super-strong clear statement rule, applies to ANILCA.
. We rejected a similar argument 30 years ago. In United States v. Alaska,
Dissenting Opinion
with whom Circuit Judges O’SCANNLAIN and RYMER join, dissenting:
The Supreme Court has held time and again that states control fishing in their navigable waters, unless Congress has dearly stated a contrary intention. See United States v. Oregon,
This “super-strong clear statement rule” reflects important structural considerations in the relationship between the states and the federal government.
Just this term, the Supreme Court reminded us that the clear statement rule applies whenever an interpretation of a statute “would result in a significant impingement of the States’ traditional and primary power over land and water use.” Solid Waste Agency v. United States Army Corps of Eng’rs,
As the Supreme Court has thus made plain, in determining whether Congress has made the kind of clear statement required in these circumstances, we must ask whether an interpretation that infringes on a state’s sovereignty would be “plain to anyone reading the [statute].” Gregory,
Chevron deference has never been very persuasive in this context. An agency’s interpretation is entitled to deference only where the statute is ambiguous; in such cases, the agency may resolve the ambiguity in accordance with its best judgment. But Chevron deference carries the day only where the statute is not clear. See INS v. Cardoza-Fonseca,
In any event, Babbitt’s deference to the agency’s interpretation of ANILCA is now foreclosed by Solid Waste. See
In fact, as Babbitt recognized, its interpretation of the statute is far from plain.
The majority adopts an interpretation of “public lands” that includes those navigable waters where the United States retains reserved water rights. See Maj. Op. at 1033; Babbitt,
While this seems the most plausible interpretation of ANILCA, it doesn’t matter whether the majority agrees. It suffices that it is a plausible interpretation. As the Supreme Court made clear in Solid Waste, the existence of two plausible interpretations, one of which removes an incident of state sovereignty and the other of which does not, requires us to adopt the interpretation that preserves the state’s sovereignty.
Judge Tallman reads “public lands” to include all navigable waters by virtue of the federal government’s navigational servitude
What is plain is that Congress limited the definition of “public lands” to those
There is no doubt that Congress meant to create a subsistence priority for rural Alaskans on “public lands.” But it is far from clear that Congress intended to take away the state’s traditional authority to control fishing in half of the state’s navigable waters, as the majority implicitly holds, or in all of the state’s navigable waters, as the concurrence would have it. Just as it was “at least ambiguous whether a state judge is an ‘appointee on the policymaking level,’ ” it is “at least ambiguous” whether navigable waters are lands, waters or interests to which the United States holds title. Gregory,
I write separately because Alaska has had two bites at the same apple, and this troubles me. In 1994 the district court certified two controlling questions of law for interlocutory review under 28 U.S.C. § 1292(b), one of which was “Does the term ‘public lands’ as defined in Title VIII of ANILCA, 16 U.S.C. § 3101(3) include navigable waters within the State of Alaska?” Alaska filed an interlocutory appeal and we entertained it. We resolved the certified question affirmatively in 1995, although we disagreed with the theory upon which the district court proposed to decide which navigable waters constitute public lands (navigational servitude) and held instead that public lands extend to navigable waters on which the United States reserved a water right. We declined to take the panel decision en banc, and the Supreme Court denied certiorari. Our prior decision was, in every sense that matters, a final judgment. Although a new regulatory structure was put in place to implement our decision, see 64 Fed.Reg. 1276 (Jan. 8, 1999), nothing substantive hap
This bothers me, for the only reason to take a § 1292(b) interlocutory appeal is to facilitate disposition of the action by getting a final decision on a controlling legal issue sooner rather than later. The point is to save the courts and the litigants unnecessary trouble and expense. Neither will have happened in this case. Parties normally do not get two bites at the apple. However, no one has argued that Alaska should be precluded from doing so here. As preclusion principles are not jurisdictional, I will, reluctantly, reach the merits.
. William N. Eskridge, Jr. & Philip P. Frickey, Quasi-Constitutional Law: Clear Statement Rules as Constitutional Lawmaking, 45 Vand. L.Rev. 593, 619-25 (1992) (describing the Court's "super-strong clear statement rules”). As described by Professors Eskridge and Frickey, the Supreme Court has strengthened the clear statement rule in part because of its constrained review of federal legislation that intrudes on states' regulatory authority: "[I]nasmuch as ... Garcia [v. San Antonio Metro. Trans. Auth.,
. Rather than expressing a desire to allow the Army Corps to assert jurisdiction over ponds and mudflats, Congress had "recognize[d], preserve[d], and protected] the primary responsibilities and rights of States ... to plan the development and use ... of land and water resources....” Solid Waste,
. Judge Tallman suggests that we must ignore the term “title" as used in the definition of public lands, as did Babbitt, or otherwise become “entangle[d]” in a syllogism where AN-ILCA does not apply to waters at all. See Tallman Concurrence at 5642. It’s true that neither Alaska nor the United States holds title to navigable waters. See Niagara Mohawk,
. The navigational servitude permits the federal government to regulate navigable waters in the interests of commerce without compensating interference with private water rights. See United States v. Virginia Elec. & Power Co.,
. The concurrence suggests that ANILCA must include navigable waters because Congress clearly intended to create a federal subsistence priority. See Tallman Concurrence at 5645-46. And, according to the concurrence, under United States v. Alaska,
United States v. Alaska does not stand for the proposition that we may focus entirely on a statute's purpose and ignore its language, as the concurrence would have it. See Tallman Concurrence at 1042-43. In Alaska, the Supreme Court determined exactly which lands were included within a federal land reservation by relying on the language of an executive order, which it held had been ratified by Congress in the Alaska Statehood Act.
. The concurrence waffles as to the applicability of the clear statement rule, asserting that the clear statement rule applies, but the “super-strong clear statement rule” does not. See Tallman Concurrence at 1037 n.6. But there is no such distinction, nor has the Supreme Court even hinted as much. Compare Solid Waste, 121 S.Ct at 683-84 (requiring a “clear statement” where Congress intends to “aller[ ] the federal-state framework by permitting federal encroachment upon a traditional state power” (citing Bass,
The concurrence also suggests that the clear statement rule applies here only in a watered-down fashion. See Tallman Concurrence at 1040 n.5 (the clear statement rule
The clear statement rule either applies or doesn't apply; it doesn't apply "less” or "more.” Congress must say so clearly when it intends to impinge on a state’s primary authority over traditional state functions, because we presume that Congress does not ordinarily intend to alter the balance of power between the federal and state governments. See Solid Waste,
. The concurrence argues that we rely on “a strict, technical interpretation” of the term "title," rather than the “natural” meaning that it gives to the term. See Tallman Concurrence at 1040, 1041. But the concurrence relies on the same source that we do in defining title, namely Black's Law Dictionary. The only difference is that the concurrence leaves out part of the definition. According to the concurrence, title consists of "exclusive possession and control.” But this is only part of how Black's Law Dictionary defines "title”: "The union of all elements (as ownership, possession, and custody) constituting the legal right to control and dispose of property; the legal link between a person who owns property and the property itself.” Black’s Law Dictionary 1493 (7th ed.1999). Omitting the inconvenient parts of the definition, such as ownership, doesn’t seem the most ordinary method of interpretation, and it's far from a plain reading of the term.
Lead Opinion
PER CURIAM Opinion; Concurrence by Judge REINHARDT; Concurrence by Judge TALLMAN; Dissent by Judge KOZINSKI; Special Statement by Judge RYMER.
Before this en banc court are the district court’s opinion and judgment entered pursuant to our court’s mandate in Alaska v. Babbitt,
AFFIRMED.
