R.H. NERO; Carrie Brown; Mamie Ross Nivens; Caroline
Green; William Nave; John Brown; Carolyn Vann Sams;
Florence Ross; Edgar Curtis Vann; Roberta Drayton; Carl
Ball; Audrey B. Gilliard; Susie Trent; Idella Ball;
Arthell Edith Ball, an incompetent, by and through her legal
guardian, Florence Ross; Lorraine Ball, an incompetent, by
and through her legal guardian, Florence Ross; and other
persons similarly situated, Plaintiffs-Appellants,
v.
The CHEROKEE NATION OF OKLAHOMA; Ross O. Swimmer; Dora
Waite; Gary Chapman; Dorothy Worsham; Maude Davis;
Elizabeth Sullivan; Marie Wadley; Ray McSpadden,
individually and in their official capacity; United States
of America; Office of the President; United States
Department of the Interior; Office of the Secretary; the
Bureau of Indian Affairs; Dennis Springwater; Frank
Ferrell; Joe Parker, individually and in their official
capacity, Defendants-Appellees.
No. 86-1271.
United States Court of Appeals,
Tenth Circuit.
Dec. 22, 1989.
James O. Goodwin of Goodwin & Goodwin, Tulsa, Oklahoma, for plaintiffs-appellants.
Myles E. Flint, Acting Asst. Atty. Gen., Washington, D.C., Layn R. Phillips, U.S. Atty., Peter Bernhardt, Asst. U.S. Atty., Tulsa, Okl., Robert L. Klarquist and William B. Lazarus, Dept. of Justice Land and Natural Resources Div., Washington, D.C., (Scott Keep and David Etherridge, U.S. Dept. of the Interior, Washington, D.C., of counsel) for defendants-appellees officers and employees of the U.S.
James G. Wilcoxen of Wilcoxen & Cate, Muskogee, Okl., for defendants-appellees, except officers and employees of the U.S. of America.
Before McKAY, SEYMOUR, and HIGGINBOTHAM*, Circuit Judges.
SEYMOUR, Circuit Judge.
Plaintiffs, who are descendants of slaves owned by Cherokees and freed by the Treaty of 1866 between the United States and the Cherokee Nation, brought suit against the Cherokee Nation, certain tribal officials, the United States, and various federal officials. According to the complaint, the 1866 Treaty and the Cherokee Constitution confer on plaintiffs the rights and privileges of Cherokee citizenship, although they are not of Cherokee blood. Defendants allegedly have violated a broad array of constitutional and statutory provisions by denying plaintiffs the right to vote in tribal elections and the right to participate in federal Indian benefits programs. Specifically, plaintiffs assert claims under the First, Fifth, Ninth, Thirteenth, and Fifteenth Amendments of the United States Constitution; the Indian Civil Rights Act; the Treaty of July 19, 1866; 42 U.S.C. §§ 1981, 1985(3), 1986, and 2000d; and the Bivens doctrine.
The district court dismissed plaintiffs' claims against the Tribe, its officials, and the United States on the basis of sovereign immunity. The court also granted summary judgment in favor of the federal officials, relying on the doctrine of qualified immunity. Plaintiffs appeal.1 We affirm, although in some respects on grounds different from those relied on by the trial court.
I.
A. Suit Against the Tribe
The district court ruled that plaintiffs' suit against the Tribe is barred by sovereign immunity. This doctrine, "which recognizes the sovereignty of Indian tribes and seeks to preserve their autonomy, protects tribes from suits in federal and state courts." Wichita & Affiliated Tribes of Oklahoma v. Hodel,
Plaintiffs make three arguments in an attempt to overcome the jurisdictional bar of sovereign immunity.2 First, plaintiffs assert that their claims under Title I of the Indian Civil Rights Act (ICRA), 25 U.S.C. §§ 1301-1303 (1982 & Supp. IV 1986), should not have been dismissed because the ICRA, as interpreted by this court in Dry Creek Lodge, Inc. v. Arapahoe & Shoshone Tribes,
Santa Clara Pueblo and our decision in Wheeler v. Swimmer,
In Swimmer,
Plaintiffs contend that their suit is not barred because it falls within an exception to tribal sovereign immunity outlined by this court in Dry Creek Lodge,
Nor are we persuaded by plaintiffs' argument that the Cherokee Constitution waives the Tribe's immunity from suit under the ICRA. A waiver, as we noted at the outset, " 'cannot be implied but must be unequivocally expressed.' " Santa Clara Pueblo,
Plaintiffs primarily rely on two Ninth Circuit cases in arguing that the Treaty of 1866 limits the Cherokee Nation's sovereignty and, concomitantly, the Tribe's immunity from suit. See Hardin v. White Mountain Apache Tribe,
We believe that Snow and the initial Hardin opinion are contary to the reasoning and holding of the Supreme Court in Santa Clara Pueblo. See Merrion,
The 1866 Treaty provides in relevant part "that all freedmen who have been liberated by voluntary act of their former owners or by law, ... and their descendants, shall have all the rights of native Cherokees." Treaty Between the United States of America and the Cherokee Nation of Indians, July 19, 1866, art. IX, 14 Stat. 799, 801. We are not persuaded that this language constitutes an "unequivocal expression" of waiver by the Cherokee Nation of its sovereign immunity. Like the provisions of the ICRA at issue in Santa Clara Pueblo, this provision only places substantive constraints on the Tribe, it does not waive the Tribe's immunity from a suit alleging non-compliance with these constraints.
B. Suit Against Tribal Officials
Plaintiffs assert the same claims against the tribal officials that they raise against the Tribe.6 Although sovereign immunity analysis differs with respect to tribal officials, we do not reach this issue because plaintiffs have failed to state any claims against these defendants.
As with plaintiffs' ICRA claims against the Tribe, we need look no farther than the Supreme Court's opinion in Santa Clara Pueblo and our decision in Swimmer to conclude that plaintiffs have failed to state a claim against the Cherokee tribal officials under the ICRA. The Supreme Court in Santa Clara Pueblo, expressly invoking concerns about preserving tribal autonomy and self-government, reasoned that the statutory scheme and the legislative history of Title I of the ICRA indicate Congress deliberately decided not to provide federal remedies other than habeas corpus in order to limit the Act's intrusion into tribal sovereignty. Santa Clara Pueblo,
Plaintiffs' civil rights acts claims fare no better. Plaintiffs rely on 42 U.S.C. §§ 1985(3) and 1986, as did the plaintiffs in Swimmer. The analysis in that case controls resolution of those claims here. Plaintiffs must allege violations of independent substantive statutory or constitutional provisions to recover under sections 1985(3) and 1986 because those statutes only provide a remedy for the violation of substantive rights established elsewhere. Swimmer,
As this court observed in Swimmer, the "interest in preserving the inherent right of self-government in Indian tribes is equally strong" when suit is brought against individual officers of the tribal organization as when brought against the tribe itself.
The analysis in Swimmer is inapplicable to plaintiffs' claims under sections 19819 and 2000d10, because those sections do create independent substantive rights. We must therefore determine whether these statutes apply to the tribal officials under the circumstances in the present case.
The Supreme Court has stated in dictum that "a general statute in terms applying to all persons includes Indians and their property interests." Federal Power Comm'n v. Tuscarora Indian Nation,
"A federal statute of general applicability that is silent on the issue of applicability to Indian tribes will not apply to them if: (1) the law touches 'exclusive rights of self-governance in purely intramural-matters'; (2) the application of the law to the tribe would 'abrogate rights guaranteed by Indian treaties'; or (3) there is proof 'by legislative history or some other means that Congress intended [the law] not to apply to Indians on their reservations....' In any of these three situations, Congress must expressly apply a statute to Indians before we will hold that it reaches them."
Donovan v. Coeur d'Alene Tribal Farm,
We conclude that allowing plaintiffs to assert claims under sections 1981 and 2000d would affect the Tribe's right to self-governance in a purely internal matter. Under the first exception set forth above, therefore, the statutes do not apply. Plaintiffs in essence assert that defendants have discriminated on the basis of race by refusing to accord them tribal membership and its privileges and benefits. Plaintiffs argue that they state a claim for relief under both section 1981 and section 2000d because these provisions prohibit race discrimination. However, no right is more integral to a tribe's self-goverance than its ability to establish its membership. "A tribe's right to define its own membership for tribal purposes has long been recognized as central to its existence as an independent political community." Santa Clara Pueblo,
II.
A. Suit Against the United States and its Agencies
As the Supreme Court observed in United States v. Mitchell,
First, plaintiffs assert that they are entitled to proceed under the Federal Tort Claims Act (FTCA), 28 U.S.C. §§ 2671-2680 (1982), to recover compensatory damages. Congress waived the United States' immunity from suit in a certain class of cases when it enacted the FTCA, but Congress imposed certain conditions on this waiver. Section 2675 of the FTCA requires that administrative remedies be exhausted before suit is filed in district court. Plaintiffs contend that they did not pursue their administrative remedies because they believed doing so would be futile. However, bringing an administrative claim is a jurisdictional prerequisite to suit, imposed by Congress, which the courts have no power to waive. See Lurch v. United States,
Plaintiffs next argue that they may pursue their claim against the United States on the basis of a trust relationship between the United States and the Cherokee freedmen arising from their status as Cherokees. Relying on Mitchell,
Even assuming that plaintiffs' claims here fall within the Tucker Act, that Act would provide a waiver of sovereign immunity in the Claims Court, but not in district court.
"The Tucker Act (codified at 28 U.S.C. §§ 1346, 1491) grants concurrent jurisdiction to the district court and the Claims Court (formerly the Court of Claims) over money claims against the United States not exceeding $10,000. For claims against the United States involving amounts greater than $10,000 founded upon the Constitution, Acts of Congress, executive regulations, or contracts, the Act vests exclusive jurisdiction with the Claims Court."
State of New Mexico v. Regan,
In this case, plaintiffs seek both monetary damages in the amount of $250,000,000, and injunctive and declaratory relief. "[W]hen the 'prime objective' or 'essential purpose' of the complaining party is to obtain money from the federal government (in an amount in excess of $10,000), the Claims Court's exclusive jurisdiction is triggered." Regan,
"It is even more compelling to allow monetary relief in the instant case than it was in the case of United States v. Mitchell, supra. Here, appellants are not concerned with mismanagement of timber and natural resources (i.e., property rights), but rather with their right to vote (i.e., liberty interests). To limit the freedmen to merely prospective equitable remedies would be totally inadequate.
"First, the freedmen are in no position to monitor the federal government's actions in administering the government-to-government relations between it and the Indian tribes and in carrying out its trust responsibility.
"Second, a prospective equitable remedy does little to compensate the freedmen for the embarrassment, humiliation, anxiety and shame which accompanied their disenfranchisement from the Cherokee Nation and little to deter the federal government from breaching their trust responsibility and allowing such unlawful tribal actions in the future. For these reasons, appellants contend that the reasoning of United States v. Mitchell, supra., should be applied to the case at bar and that this court permit plaintiffs to bring suit against the United States for monetary relief."
Brief of Appellants at 35-36. We therefore conclude that under the Tucker Act the district court was without subject matter jurisdiction over plaintiffs' claims against the federal government based on Mitchell.
B. Suit Against Federal Officials
Plaintiffs assert claims against the federal officials individually for breach of the government's trust relationship with its Indian citizens. Plaintiffs also allege claims under Bivens v. Six Unknown Named Agents,
In Wheeler v. United States Dept. of the Interior,
"has a duty to protect the Cherokee Indians' right to self-government and that to do so, it must step in under authority of its general trust responsibilities, as it did in United States v. Mitchell,
Id. at 552. We distinguished Mitchell as a case involving federal statutes and regulations requiring government action with respect to a specific trust corpus. Id. at 553. In contrast, in Wheeler and the instant case there is "no corpus, and no statute or regulation requires Department involvement in Cherokee election disputes; rather, as noted previously, federal law precludes Department action." Id. We distinguished Milam as involving a tribe which, contrary to the Cherokee Nation, had no tribal forum for interpreting tribal law, thus requiring the Department to interpret the tribal constitution "in order to determine which government it should recognize in its interactions." Id.
Our conclusion in Wheeler that the plaintiffs had no cause of action based on the government's non-intervention in the tribal election process is equally applicable to plaintiffs' claims against the federal officials here.
"Indian tribes have a right to self-government, and the Federal Government encourages tribes to exercise that right. Consequently, while the Department may be required by statute or tribal law to act in intratribal matters, it should act so as to avoid any unnecessary interference with a tribe's right to self-government. Plaintiffs have not cited, and we have not found, any federal statute or any provision of Cherokee law that requires the Department to intervene in a Cherokee election dispute. Rather, the Cherokee Nation provides a tribal forum for resolving such disputes. Consequently, the Department has no authority to take action contrary to the tribal resolution of such disputes. In the present case, the Department does not have authority to invalidate the Cherokee election, and the courts have no authority to order the Department to grant such relief."
Id.13
Plaintiffs' remaining claims, to the extent they are pursued on appeal, are implicitly resolved adversely to plaintiffs by the holdings we articulate in this opinion.
AFFIRMED.
Notes
The Honorable Patrick E. Higginbotham, Circuit Judge, United States Court of Appeals for the Fifth Circuit, sitting by designation
After examining the briefs and appellate record, this panel has determined unanimously that oral argument would not materially assist the determination of this appeal. See Fed.R.App.P. 34(a); 10th Cir.R. 34.1.8. The cause is therefore ordered submitted without oral argument
See Ramey Const. Co. v. Apache Tribe of Mescalero Reservation,
The ICRA provides that federal habeas corpus relief is "available to any person, in a court of the United States, to test the legality of his detention by order of an Indian Tribe." 25 U.S.C. § 1303 (1982)
Dry Creek Lodge involved non-Indian plaintiffs who owned land in fee simple within the boundaries of the Shoshone and Arapahoe Indians' Wind River Reservation. The superintendent of the Reservation promised the plaintiffs that access to a lodge they proposed to build would not be a problem, but after it was built the tribes blocked the sole road from the lodge to the highway. The tribes subsequently refused the plaintiffs access to the tribal court
In White v. Pueblo of San Juan,
Indeed, plaintiffs have failed to distinguish the two classes of Indian defendants, the Tribe and tribal officials
We need not address plaintiffs' argument that the Cherokee Constitution waives the tribal officials' immunity from suits brought pursuant to the ICRA because there is no federal cause of action against them under the ICRA
Plaintiffs argue that pursuing tribal remedies would be futile. As the district court observed, however, alleging futility of tribal remedies does not eliminate the barrier of tribal sovereign immunity. See White v. Pueblo of San Juan,
Section 1981 provides:
"All persons within the jurisdiction of the United States shall have the same right in every State and Territory to make and enforce contracts, to sue, be parties, give evidence, and to the full and equal benefit of all laws and proceedings for the security of persons and property as is enjoyed by white citizens, and shall be subject to like punishment, pains, penalties, taxes, licenses, and exactions of every kind, and to no other.
42 U.S.C. § 1981 (1982).
Section 2000d provides:
"No person in the United States shall, on the ground of race, color, or national origin, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving Federal financial assistance."
42 U.S.C. § 2000d (1982).
Section 1505 provides tribal plaintiffs access to the Court of Claims equivalent to that provided individual plaintiffs by section 1491
Because the Tucker Act only provides a remedy, "[a] substantive right must be found in some other source of law, such as "the Constitution, or any Act of Congress, or any regulation of an executive department." United States v. Mitchell,
We believe that the above holding is dispositive of plaintiffs' alleged constitutional claims under Bivens. In any event, as discussed above at 13-14, federal constitutional protections extend to individual Indians only to the extent incorporated by the ICRA, which does not provide a cause of action for its violation under the circumstances here
