MEMORANDUM OPINION
Indian tribes generally operate within a different legal framework than other political entities within the United States. Under federal law, tribes are entitled to certain benefits, including access to federal funding for healthcare, education, and other social programs, 25 U.S.C. § 13, and are also subject to certain restrictions, including a limited right to sell tribal land, 25 U.S.C. § 177. Moreover, because a tribe retains some “inherent sovereign authority” independent of the United States and the state in which it is located, Okla. Tax Comm’n v. Citizen Band Potawatomi Tribe of Okla.,
Plaintiff Mackinac Tribe aspires to attain the legal status of a recognized Indian tribe. Plaintiff maintains that, although it has not sought formal recognition and reorganization through the administrative process that the Department of Interior prescribes, the United States government recognized the Mackinac Tribe in an 1855 treaty, and thus the Mackinac Tribe is entitled to the benefits that recognized Indian tribes enjoy under federal law. Plaintiff has filed the instant lawsuit against Interior Secretary Sally Jewell, asking this Court for both a declaration that the Mackinac Tribe is a federally recognized Indian tribe for the purpose of the Indian Reorganization Act (“IRA”), 25 U.S.C. §'476, and an order directing the Secretary to aid Plaintiff in organizing a tribal government pursuant to that statute.
Before this Court at present is Defendant’s motion to dismiss Plaintiffs compliant on various grounds, including sovereign immunity and the failure to exhaust administrative remedies. Plaintiff responds that Congress has waived sovereign immunity for actions of this nature, and also that the Mackinac Tribe need not follow the agency’s formal administrative recognition process, which, according to Plaintiff, is not the exclusive path to reorganization under'the IRA. As explained fully below, this Court concludes that Congress has waived the immunity of the United States with respect to Plaintiffs claims; however, the Court also holds that Plaintiff must exhaust its administrative remedies by undergoing the administrative process for 'formal recognition before it may file a lawsuit seeking the benefits of the IRA. And because there is no genuine issue of material fact regarding the Mackinac Tribe’s failure to exhaust its adminis
I. BACKGROUND
A. Federal Recognition And Its Statutory Benefits
Federal “recognition” of an Indian tribe is a term of art that conveys a tribe’s legal status vis-a-vis the United State-it is not an anthropological determination of the authenticity of a Native American Indian group. See Mark D. Myers, Federal Recognition of Indian Tribes in the United States, 12 Stan. L. & Pol’y Rev. 271, 271 (2001) (“Presently, the recognition process is widely misunderstood ... as conferring legitimacy. Recognition is a certification and documentation process, not a transfor-mative one; it is analogous to a citizen’s obtaining a passport, not an alien’s naturalization.” (internal quotation marks and citation omitted)). Federal recognition specifically denotes “the federal government’s decision to establish a government-to-government relationship by recognizing a group of Indians as a dependent tribe under its guardianship!,]” id. at 272, and such recognition “is a prerequisite to the protection, services, and benefits from the Federal Government available to Indian tribes by virtue of their status as tribes,” 25 C.F.R. § 83.2.
Notably, for hundreds of years, there was no uniform procedure for recognizing Indian tribes, and tribes were often recognized through treaties, legislation, and judicial decisions. See Felix Cohen, Handbook of Federal Indian Law § 3.02[4]~ 3.02[5] at 139-41. Consequently, tribal recognition law developed through centuries of disjointed theories, conflicting policies, and shifting attitudes of various branches of the United States government towards tribés. See William W. Quinn, Jr., Federal Acknowledgment of American Indian Tribes: Authority, Judicial Interposition, and 25• C.F.R. § 83, 17 Am. Indian L.Rev. 37, 39-44 (1992). This system created “anomalies ... in which Indian tribes could be [recognized] for some purposes {e.g., depredations or takings claims) but not for others {e.g., the provision of services and benefits to tribes by the United States).” Id. at 43. Fortunately, “Congress, the administration, the national Indian organization, and many tribal groups” worked together to resolve this “longstanding and very difficult problem,” and in 1978, the Department of the Interior promulgated uniform procedures by which Indian tribes may obtain recognition and thereby establish a government-to-government relationship with the United States. 43 Fed.Reg. 39,361 (Sept. 5, 1978); see also 25 C.F.R. pt. 83, Procedures for Establishing That an American Indian Group Exists as an Indian Tribe.
Once the Interior Department establishes that a tribe is a recognized political entity through the Part 83 Process, the tribe may seek to reorganize itself pursuant to the Indian Reorganization Act. See 25 U.S.C. § 476; see also 25 C.F.R. § 81, Tribal Reorganization Under a Federal Statute. In adopting the IRA’s reorganization procedures, Congress “specifically intended to encourage Indian tribes to revitalize their self-government,” Fisher v. Dist. Court,
The IRA states that “[a]ny Indian tribe shall have the right to organize for its common welfare, and may adopt an appropriate constitution and bylaws, and any amendments thereto[.]” 25 U.S.C. § 476(a). The statute further provides that the constitution a tribe- so adopts “shall become effective” if it is
(1) ratified by a majority vote of the adult members of the tribe or tribes at a special election authorized and called by the Secretary under such rules and regulations as the Secretary may prescribe; and
(2) approved by the Secretary [of the Interior Department] pursuant to subsection (d) of this section.
Id. Moreover, the IRA also specifically addresses the content of a tribal constitution, requiring the document to “vest in such tribe or tribal council” various “rights and powers[,]” including the right to “employ legal counsel; to prevent the sale, disposition, lease, or encumbrance of tribal lands ...; and to negotiate with the Federal, State, and local governments.” 25 U.S.C. § 476(e).
B. The Instant Claims And Defenses
Plaintiff is the “modern historical successor” of the Mackinac Tribe, an Algonquin Indian people who lived in what is now the state of Michigan prior to European settlement of North America. '(CompUHt 1, 5, 15.)
Approximately three years later, on March 2, 2014, Plaintiff filed a two-count complaint in this Court seeking a declaration that the Mackinac Tribe is a federally recognized Indian tribe for IRA purposes and requesting an order directing the Interior Secretary to hold a constitutional election so that the Mackinac can organize a tribal government pursuant to the IRA. {See Compl. ¶¶ 36-45.) Although the complaint does not state that the Mackinac have undertaken the formal Part 83 recognition process, Plaintiff maintains that the federal government recognized the Mackinac Tribe in a treaty between the United States and several different groups of Michigan Indians in 1855, and as such, the tribe asserts that it is entitled to the bene
Instead of answering Plaintiffs complaint, Defendant has moved to dismiss it. (See Def.’s Mot. to Dismiss, ECF No. 7.) The primary thrust of Defendant’s motion is the argument that this Court lacks subject matter jurisdiction over Plaintiffs claims because “Plaintiff has failed to set forth any waiver of the United States’ sovereign immunity.” (Def.’s Mem. of Points and Authorities in Supp. of its Mot. to Dismiss (“Def.’s Mem.”), ECF No. 7-1, at 21; see also Def.’s Reply Mem. in Supp. of its Mot. to Dismiss (“Def.’s Reply”), ECF No. 12, at 21.) On this basis, Defendant maintains that Plaintiffs case should be dismissed pursuant to Federal Rule of Civil Procedure 12(b)(1). (See Def.’s Mem. at 22.) Defendant also contends that, even if the Court moves beyond the threshold issue of sovereign immunity, the Court should dismiss Plaintiffs case pursuant to Rule 12(b)(6) because Plaintiff failed to exhaust the established administrative process for federal recognition-namely, the Part 83 Process. (See id. at 11 (citing Compl. ¶¶ 26, 29).) Moreover, according to Defendant, “Plaintiffs failure to exhaust the administrative acknowledgment process is also fatal to Plaintiffs claim that it is entitled to an election conducted by the Secretary of the Interior” because recognition through the Part 83 Process is a mandatory prerequisite to having the Secretary call a constitutional election under the IRA. (Def.’s Mem. at 35-36.)
With respect to the sovereign immunity issue, Plaintiff argues that subsection (d)(2) of the IRA specifically provides that actions to enforce provisions of the IRA may be brought in federal court, and insofar as Count II of the complaint seeks an order directing the Secretary to conduct an election pursuant to the IRA, Congress has clearly waived the United States’ sovereign immunity with respect to this suit. (See Pl.’s Opp. at 19-20.) Responding to Defendant’s argument that Plaintiff must nevertheless first seek formal recognition through the Part 83 process, Plaintiff asserts that “there is no requirement that a tribe need go through a Part 83 recognition process prior to applying for reorganization under the IRA.” (Id. at 36.) Instead, Plaintiff contends that the Mackinac Tribe was previously recognized by the federal government in a treaty between the United States and various Michigan Indian groups (see id. at 28-31), and thus, the Mackinac Tribe has already satisfied the IRA’s recognition requirement, so there is no need for it to undertake the administrative process for recognition (see id. at 31).
This Court held a hearing on Defendant’s motion to dismiss Plaintiffs complaint on January 29, 2015.
II. ANALYSIS
As explained above, the Mackinac Tribe has filed suit against the Secretary of the Interior Department in her official capacity, asking this Court to (1) declare that it is a federally recognized Indian tribe for the purpose of the IRA, and (2) order the Secretary to conduct a constitutional election for the Mackinac Tribe as part of its reorganization effort, pursuant to 25 U.S.C. § 476(a). (See Compl. ¶¶ 38, 41-43, 45.) The Interior Department insists that the Mackinac Tribe is not entitled to a constitutional election or any other reorganization bene
A. Applicable Legal Standards
1. The Sovereign Immunity Doctrine
“It is an established principle of jurisprudence in all civilized nations that the sovereign cannot be sued in its own courts, or in any other, without its consent and permission.” Beers v. State,
It is by now well established that “[a] waiver of sovereign immunity cannot be implied but must be unequivocally ex
A plaintiff who files an action against the United States must demonstrate that there has been a waiver of sovereign immunity that is applicable to the claims plaintiff has brought in order to satisfy the plaintiffs burden of establishing that the court has jurisdiction over the complaint. See Kelley v. Fed. Bureau of Investigation, No. CV 130825(ABJ),
“In ruling upon a motion to dismiss brought under Rule 12(b)(1), a court must construe the allegations in the complaint in the light most favorable to the plaintiff.” Scolaro v. Dist. of Columbia Bd. of Elections & Ethics,
2. The Exhaustion Doctrine
Another “long-settled rule of judicial administration^]” Myers v. Bethlehem Shipbuilding Corp.,
Exhaustion has three main purposes: “ ‘giving agencies the opportunity to correct their own errors, affording parties and courts the benefits of agencies’ expertise, [and] compiling a record adequate for judicial review[.]’ ” Avocados Plus Inc. v. Veneman,
a. Motions To Dismiss A Complaint On Exhaustion Grounds
“[T]he ' failure to exhaust administrative remedies is an affirmative defense that the defendant bears the burden of pleading and proving.” Howard v. Gutierrez,
b. Conversion To A Motion For Summary Judgment
If the complaint does not contain an allegation that the plaintiff has failed to exhaust available administrative remedies, “the appropriate procedural mechanism for bringing a case to closure when there is no evidence in the record that the plaintiff exhausted the administrative remedies available to him is a motion for summary judgment under Federal Rule of Civil Procedure 56, not a motion to dismiss under Rule 12[.]” Shane,
“The decision to convert a motion to dismiss into a motion for summary judgment ... is committed to the sound discretion of the trial court.” Flynn v. Tiede-Zoeller, Inc.,
c. Motions For Summary Judgment On Exhaustion Grounds
Once a court has converted a motion to dismiss into a motion for summary 'judgment, summary judgment is appropriate “if the movant shows that there is no genuine dispute as to any material fact and [thus] the movant is entitled to judgment as a matter of law.” Fed.R.Civ.P. 56(a); accord Talavera v. Shah,
B. The United States Has Waived Its Immunity To Plaintiffs Lawsuit
The applicable legal standards require this Court to determine at the outset whether the United States has waived the defense of sovereign immunity in this context, thereby consenting to suit, and if so, whether the Mackinac Tribe’s claims fit within the scope of any such waiver. See United States v. White Mountain Apache Tribe,
1. The Indian Reorganization Act Does Not Contain An Express Waiver Of Sovereign Immunity
Plaintiff points to section 476(d)(2) of the IRA — which specifically states that “[a]etions to enforce the provisions of this section may be brought in the appropriate Federal district eourt[,]” 25 U.S.C. § 476(d)(2) — and based on that statutory
Significantly, courts have long held that the mere fact that Congress expressly permits a certain claim to be brought in federal court does not suffice to show that Congress has abrogated the defense of sovereign immunity to that claim. See Munaco v. United States,
For example, the Administrative Procedure Act (“APA”) specifically states that certain actions brought against the United States “shall not be dismissed nor relief therein be denied on the ground that it is against the United States” and that “the United States may be named as a defendant in any such action.” 5 U.S.C. § 702; see Match-E-Be-Nash-She-Wish Band of Pottawatomi Indians v. Patchak, — U.S. -,
By contrast, a statute that says nothing about whether the United States can be sued under its provisions and instead generally authorizes the filing in federal court of an action to enforce provisions of the statute merely connotes a grant of federal jurisdiction that does not rise to the level of an express sovereign immunity waiver. See, e.g., Al-Haramain Islamic Found., Inc. v. Obama,
So it is here. Again, subsection (d)(2) of the IRA says only that “[ajctions to enforce the provisions of this section may be brought in the appropriate Federal district court.” 25 U.S.C. § 476(d)(2). Unlike the language that Congress used in the APA, the FTCA, or the Tucker Act, subsection (d)(2) does not state that the United States can be made a defendant in any such action; in fact, subsection (d)(2) makes no mention of the United States at all. And without such a clear statement abrogating the sovereign immunity of the United States, this Court cannot conclude that a waiver of sovereign immunity is “unequivocally expressed in the statutory text” of subsection (d)(2). Lane,
2. The Administrative Procedure Act Waives Defendant’s Sovereign Immunity And Applies To Plaintiff’s Action
The absence of an express sovereign immunity waiver in subsection (d)(2) of the IRA means that the Mackinac Tribe “must look beyond the jurisdictional statute for a waiver of sovereign immunity with respect to [its] claim.” United States v. Mitchell,
First, because the APA’s waiver of sovereign immunity is available to all who satisfy the applicable statutory criteria, even when a plaintiff has not brought its claim against the United States under, or pursuant to, the APA. See Z Street, Inc. v. Koskinen,
Second, although Defendant argues that Plaintiff needs to fulfill an additional requirement in order to be able to rely on the APA’s sovereign immunity waiver— namely, that the agency action that Plaintiff seeks to challenge must be a “final” agency action (see Def.’s Mem. at 22 n.5 (“The APA provides a limited waiver of the United States’ sovereign immunity by providing ‘a right to judicial review of all ‘final agency action for which there is no other adequate remedy in a court.’” (quoting Bennett v. Spear,
To the extent that Plaintiff Mackinac Tribe is here seeking to proceed under the IRA, it is sufficient that its complaint alleges that the agency has failed to act where the law provides it must, and Plaintiff need not identify a final agency action in order to avail itself of APA’s sovereign immunity waiver, despite Defendant’s assertions to the contrary. The Court is mindful, however, that “other limitations on judicial review or the power or duty of the court to dismiss any action or deny any relief on any other appropriate legal or equitable ground” may nevertheless preclude this action. 5 U.S.C. § 702. The Court therefore must proceed to consider Defendant’s alternative assertion that the complaint must be dismissed because Plaintiff has not exhausted its administrative remedies. (See Def.’s Mem. at 30 (“Plaintiffs complaint should be dismissed because Plaintiff has not exhausted its administrative remedies by obtaining a final determination regarding its recognition.”).)
C. Plaintiff Needed To Exhaust Its Administrative Remedies Prior To Bringing This Lawsuit And Has Indisputably Failed To Do So
The administrative path to receiving the recognition and reorganization assistance that Plaintiff Mackinac Tribe asks this Court to order is clear: the Interior Department requires Indian groups to apply for these benefits pursuant to the Part 83 Process. See 25 C.F.R. pt. 83, Procedures for Establishing That an American Indian Group Exists as an Indian Tribe ; see also 25 C.F.R. pt. 81, Tribal Reorganization Under a Federal Statute. Plaintiffs do not dispute that the Part 83 Process is the mechanism by which Secretary now recognizes tribes and consequently determines whether Indian groups are eligible for federal benefits such as reorganization, yet Plaintiff concedes that it has not pursued those regulatory procedures. (See Hr’g Tr. at 49:8). Instead, Plaintiff appears to assert that it has exhausted its administrative remedies because the complaint specifies that the tribe approached the Secretary to request an election pursuant to the IRA and “the Secretary did nothing.” (See Pl.’s Opp. at 35 (noting that “[t]he Secretary didn’t even make a formal decision that the tribe was ineligible to reorganize under the statute, nor informally respond to the tribe”); but see Hr’g Tr. At 36:2-4 (noting that “when we asked the status of that petition, the department sent a letter saying that the group is inactive now primarily because the guy [who sent the letter] died”).)
To the- extent that Plaintiff maintains that its election request was sufficient exhaustion and that it need not have undertaken the Part 83 Process under the circumstances presented here (i.e., because it believes that the tribe already has been federally recognized pursuant to a treaty or otherwise), no less an authority than the D.C. Circuit has strongly suggested otherwise. In James v. U.S. Dep’t of Health & Human Servs.,
The Circuit’s reasoning in James clearly applies to the circumstances presented in this case. Although Plaintiff Mackinac Tribe may have approached the Secretary to ask for an election pursuant to the IRA, and thereby invoked the administrative process to some extent, it did not ask the agency the relevant question for the purpose of the administrative process — i.e., whether the Mackinac Tribe satisfies the Part 83 requirements for federal recognition — which according to the agency, is a precursor to any request that the Secretary call an election for reorganization of the tribe.
III. CONCLUSION
Although sovereign immunity poses no bar to the instant action, the Mackinac Tribe has admittedly failed to request recognition through the Department of Interior’s Part 83 Process. Exhaustion of existing administrative remedies must be accomplished prior to filing a suit of this nature. See James,
Notes
. These regulations were revised in 1994, but the criteria for tribal recognition — sometimes referred to as "acknowledgment” of tribal status' — remained the same. See 59 Fed.Reg. 9,280 (Feb. 25, 1994); Miami Nation of Indians of Ind., Inc. v. Babbitt,
. Under the Part 83 Process, a tribe that seeks recognition must establish that: (a) the tribe “has been identified as an American Indian entity on a substantially continuous basis[;]” (b) the tribe comprises a "distinct community” at present; (c) the tribe "has maintained political influence or authority over its members as an autonomous entity from historical times until the present[;]” (d) the tribe has submitted a "governing document including its membership criteria[;]” (e) the tribe’s members "descend from a historical Indian tribe or from historical Indian tribes which combined and functioned as a single autonomous political entity[;]” (f) the tribe's membership "is composed principally of persons who are not members of any acknowledged North American Indian tribe[;]” and (g) that Congress has not "expressly terminated or forbidden” a federal relationship with the group. 25 C.F.R. § 83.7.
. It is clear that Congress sought to promote effective tribal self-governance by emphasizing and authorizing the adoption of a tribal constitution that confers rights and powers-much like the constitutions of the United States and of the individual States are important foundational documents for the establishment and operation of those governments. See 25 C.F.R. § 81.1(g); see also Felix Cohen, Handbook of Federal Indian Law § 4.05 [3] at 271-72 ("Tribal constitutions address basic tribal powers in such important areas as membership, boundaries, jurisdiction, land use, elections, and the allocation of authority within the tribal governing structure.”). In this respect, then, a tribe’s reorganization un
. Because this Court considers Plaintiff’s claims in the context of Defendant’s motion to dismiss, the Court accepts the allegations in Plaintiff's complaint as true and grants Plaintiff the benefit of all inferences that can be derived from the facts alleged. See Am. Nat. Ins. Co. v. F.D.I.C.,
. Citations to documents that the parties have filed refer to the page numbers that the Court's electronic filing system assigns.
. It is true that a claim brought against a federal official for acts performed within her official capacity qualifies as a suit against the sovereign. See Dugan v. Rank,
. "The word 'exhaustion' now describes two distinct legal concepts,” the first concept being "a judicially created doctrine requiring parties who seek to challenge agency action to exhaust available administrative remedies before bringing their case to court,” and the second concept being a statutory requirement of "resort to the administrative process as a predicate to judicial review.” Avocados Plus Inc. v. Veneman,
. The relevant statutory provision states in full:
A person suffering legal wrong because of agency action, or adversely affected or aggrieved by agency action within the meaning of a relevant statute, is entitled to judicial review thereof. An action in a court of the United States seeking relief other than money damages and stating a claim that an agency or an officer or employee thereof acted or failed to act in an official capacity or under color of legal authority shall not be dismissed nor relief therein be denied on the ground that it is against the United States or that the United States is an indispensable party. The United States may be named as a defendant in any such action, and a judgment or decree may be entered against the United States: Provided, That any mandatory or injunctive decree shall specify the Federal officer or officers (by name or by title), and their successors in office, personally responsible for compliance. Nothing herein (1) affects other limitations on judicial review or the power or duty of the court to dismiss any action or deny relief on any other appropriate legal or equitable ground; or (2) confers authority to grant relief if any other statute that grants consent to suit expressly or impliedly forbids the relief which is sought.
5 U.S.C. § 702.
. In referencing “final agency action,” Defendant refers to Section 704 of the APA, which
. This Court need not, and does not, reach the merits of the agency's contention that recognition through the Part 83 process is the only vehicle by which an Indian group is entitled to the benefits of reorganization under the IRA. (See Def.’s Mot. at 25-34.) Instead, the Court here holds only that a group such as the Mackinac Tribe must first proceed through the administrative process for formal recognition before it can bring a lawsuit that requests recognition and reorganization by court order. See infra note 11.
. It bears repeating that this Court is not suggesting that the agency necessarily is correct when it argues that the sole means of recognition that is cognizable under the IRA is the recognition that results from the Part 83 Process. See Federally Recognized Indian Tribe List Act of 1994, Pub.L. No. 103454, 108 Stat. 4791, Section 103 (1994) (codified at 25 U.S.C. § 479a) ("Indian tribes presently may be recognized by Act of Congress; by the administrative procedures set forth in part 83 of the Code of Federal Regulations denominated ‘Procedures for Establishing that an American Indian Group Exists as an Indian Tribe;' or by a decision of a United States court.”). Instead, the Court merely holds that before a plaintiff may file a lawsuit seeking to compel the Secretary to call a constitutional election pursuant to the IRA, the plaintiff must first pursue the Secretary’s recognition process. If the recognition process results in. a decision adverse to Plaintiff’s position, Plaintiff may challenge the Secretary’s decision — as well as the method by which she reached that decision — in federal court, see 5 U.S.C. § 706 (a court shall "compel agency action unlawfully withheld” and "hold unlawful and set aside agency action, findings and conclusions” that the court finds to be “arbitrary, capricious, an abuse of discretion, or otherwise not in accordance with law”), and in such a case, the administrative record will undoubtedly aid the Court’s review of the agency’s decision. Thus, by requiring "exhaustion” this Court refers only to Plaintiff’s obligation to seek recognition through the Part 83 Process, not to any obligation to receive such recognition.
