Lead Opinion
After a Spirit Lake Nation Reservation tribal court convicted him of assaulting a police officer, Billy Jo Lara was indicted by the federal government for assault on a federal officer in violation of 18 U.S.C. § 111(a)(1). Lara moved to dismiss the indictment on double jeopardy and selective prosecution grounds. Following the district court’s denial of the motion, Lara entered a conditional plea of guilty to the indictment, reserving his right to appeal the denial of his motion to dismiss. A panel of this court affirmed, holding that because the power of the Spirit Lake Nation derives from its retained sovereignty and not from Congressionally delegated authority, Lara’s conviction on the federal charge did not run afoul of the Double Jeopardy Clause. We granted Lara’s petition for rehearing en banc, vacating the panel’s opinion and judgment. We now reverse.
I.
While on the Spirit Lake Nation Reservation on June 13, 2001, Lara was arrested for public intoxication by Bureau of Indian Affairs police officers. The officers informed Lara, who is not a member of the Spirit Lake Nation, of an exclusion order prohibiting him from entering the reservation. Upon hearing of the exclusion order, Lara struck one of the officers with his fist. Lara was charged with five violations of Spirit Lake Tribal Code: violence to a policeman, resisting lawful arrest, public intoxication, disobedience to a lawful order of the tribal court, and trespassing. On June 15, Lara pled guilty to the first three charged offenses and was sentenced to a jail term of 155 days. On August 29, a federal grand jury returned an indictment charging Lara with assault on a federal officer in violation of 18 U.S.C. § 111(a)(1). After consenting to proceed before a United States Magistrate Judge, Lara moved to dismiss the indictment on double jeopardy and selective prosecution grounds or, in the alternative, that discovery be allowed on the claim of selective prosecution. As
II.
We review de novo the denial of a motion to dismiss on double jeopardy grounds. United States v. Alverez,
The application of the dual sovereignty doctrine “turns on whether the two entities draw their authority to punish the offender from distinct sources of power.” Id. The Double Jeopardy Clause does not permit successive prosecutions under the dual sovereignty doctrine where the authority for the prosecution derives from the same sovereign source. See, e.g., Waller v. Florida,
In Oliphant v. Suquamish Indian Tribe,
In Montana v. United States,
The question of what power a tribe has over nonmember Indians was addressed in Duro v. Reina,
In response to the decision in Duro, Congress amended the Indian Civil Rights Act (ICRA), 25 U.S.C. § 1301, by revising the definition of “powers of self-government” to include “the inherent power of Indian tribes, hereby recognized and affirmed, to exercise criminal jurisdiction over all Indians.” 25 U.S.C. § 1301(2). The amendment also defined “Indian” to include all Indians subject to federal jurisdiction under the Indian Major Crimes Act, 18 U.S.C. § 1153. 25 U.S.C. § 1301(4). Thus, under the ICRA amendments, Indians who are enrolled members of a federally recognized tribe are subject to the jurisdiction of all tribes.
Although the Supreme Court has not yet construed the post -Duro ICRA amendments, it has repeatedly reaffirmed its holdings limiting tribal sovereign authority to tribe members. Atkinson Trading Co. v. Shirley,
Although Indian tribes retain inherent authority to punish members who violate tribal law, to regulate tribal membership, and to conduct internal tribal relations, United States v. Wheeler,435 U.S. 313 , 326,98 S.Ct. 1079 ,55 L.Ed.2d 303 (1978), the “exercise of tribal power beyond what is necessary to protect tribal self-government or to control internal relations is inconsistent with the dependent status of the tribes, and so cannot survive without express congressional delegation.” Montana,450 U.S. at 564 ,101 S.Ct. 1245 .
South Dakota v. Bourland,
In United States v. Weaselhead,
The Ninth Circuit has held Duro to be a common law decision that Congress had the power to override via the ICRA amendments. United States v. Enas,
With all due respect to the holding in Enas, we conclude that the distinction between a tribe’s inherent and delegated powers is of constitutional magnitude and therefore is a matter ultimately entrusted to the Supreme Court. Absent a delegation from Congress, a tribe’s powers are those “inherent powers of a limited sovereignty which has never been extinguished.” Wheeler,
Congress’s broad authority over Indian affairs derives from and is limited by the Constitution. Some decisions root this power in the Indian Commerce Clause. Alaska v. Native Village of Venetie Tribal Government,
The ICRA amendments are “a legislative enactment purporting to recast history in a manner that alters the Supreme Court’s stated understanding of the organizing principles by which the Indian tribes were incorporated into our constitutional system of government.” Weasel-head,
The dissent’s complaint that we give “barely a nod” to the Tribe’s inherent sovereignty argument is simply another manifestation of its disagreement with Montana, which announced “the general proposition that the inherent sovereign powers of an Indian tribe do not extend to the activities of nonmembers of the tribe[.]”450 U.S. at 565 ,101 S.Ct. 1245 . While the dissent refers to our “myopic focus” on the Tribe’s prior treaty right to “absolute and undisturbed use and occupation” of the taken area, it shuts both eyes to the reality that after Montana, tribal sovereignty over nonmembers “cannot survive without express congressional delegation,”450 U.S. at 564 ,101 S.Ct. 1245 , and is therefore not inherent.
Bourland,
The Spirit Lake Nation exercises authority over external relations only to the extent that such a power has been delegated to it by Congress. As a nonmember, Lara was necessarily prosecuted pursuant to that delegated power. Because the dual sovereignty doctrine does not apply where the ultimate source of power is the same, the Double Jeopardy Clause bars the government from maintaining a second prosecution for the same act. Accordingly, the motion to dismiss the indictment should have been granted.
Dissenting Opinion
The essential difficulty that I see with the result that the court reaches today is that the Supreme Court in Duro v. Reina,
I.
According to current legal thought, Indian tribes possessed criminal jurisdiction over nonmember Indians as part of their full territorial sovereignty prior to colonization by us or our European predecessors. See Duro,
The court opines in the present case that “[o]nce the federal sovereign divests a tribe of a particular power, it is no longer an inherent power and it may only be restored by delegation of Congress’s power.” This holding draws on statements in Supreme Court opinions that a tribe’s inherent sovereignty consists of those aspects of sovereignty that the tribes “retained” despite the federal government’s overriding sovereignty. See, e.g., Duro,
This premise, however, fails both as a matter of history and of logic. Historically, it misapprehends the materials that the Supreme Court has used over the years to fashion the relationship between the United States and Indian tribes; logically, it improperly assumes that there is only one way that a power can be retained. In my view, the ICRA amendments did not create a new tribal power out of whole cloth, it merely relaxed a common-law restriction on a power previously possessed. Regardless of the fact that the ICRA amendments are a “but-for” cause of the Spirit Lake Nation’s ability to try Mr. Lara here (which of course they necessarily are), the origin of that power was not the ICRA amendments themselves but the full territorial sovereignty that the tribes possessed in the past. Cf. Prudential Ins. Co. v. Benjamin,
A.
Three cases from the early nineteenth century, all of which Chief Justice Mar
In M’Intosh,
Eight years later in Cherokee Nation,
[t]he very fact of repeated treaties with them recognizes it; and the settled doctrine of the law of nations is, that a weaker power does not surrender its independence — its right to self-government, by associating with a stronger, and taking its protection. A weak state, in order to provide for its own safety, may place itself under the protection of . one more powerful, without stripping itself of the right of government, and ceasing to be a state.
Id. at 560-61.
At the end of the century, the Court reaffirmed these sentiments in United States v. Kagama,
Unlike Kagama, which addressed the question of whether a grant of federal criminal jurisdiction in Indian country was consistent with the federal government’s role as “guardian,” Oliphant, United States v. Wheeler,
In Wheeler,
Although neither Oliphant nor Duro ever explicitly stated that it was a common-law decision, or referred to the law of nations, these decisions too were founded on federal common law. See, e.g., Canby, supra, at 127; Philip P. Friekey, A Common Law for our Age of Colonialism: The Judicial Divestiture of Indian Tribal Authority over Nonmembers, 109 Yale L.J. 1, 65 (1999); L. Scott Gould, The Consent Paradigm: Tribal Sovereignty at the Millennium, 96 Colum. L.Rev. 809, 853 (1996). In both cases, the Court analyzed history and governmental custom and devised from them the principle that, as a result of the dependent status of Indian tribes, tribal criminal enforcement power did not extend beyond internal relations among its members. See Duro,
In Duro, as in all cases, the Court had the obligation and the power under Article III to decide the case before it and “to say what the law is.” Marbury v. Madison,
B.
The court holds that Duro’s distinction between inherent and delegated powers is of “constitutional magnitude.” I take that to be a claim that Duro was based on the Constitution and, therefore, that the Court’s determination in Duro of what constitutes inherent tribal sovereignty is final and binding on Congress. The court, however, never says precisely where in the Constitution principles of Indian sovereignty might actually reside. Cf. United States v. Weaselhead,
The court does provide two possibilities. First, it refers to “structural principles that are both implicit and explicit in the Constitution,” citing Duro and Seminole Tribe. The court, however, does not describe what these structural principles are, nor does it explain why they derived from the Constitution. In fact, “no court has [ever] found a constitutionally protectible interest in tribal sovereignty itself,” Can-by, supra, at 85; and, “[t]o the extent that Indian tribes are discussed in the Constitution, they seem to be recognized as having a status outside its” perimeters, Judith Resnik, Dependent Sovereigns: Indian Tribes, States, and the Federal Courts, 56 U. Chi. L.Rev. 671, 691 (1989).
Perhaps the proposition that the court is urging is that since certain attributes of state sovereignty derive from the structure of the Constitution, see, e.g., Alden v. Maine,
The source of Congress’s plenary power is in any case beside the point: Regardless of its source, it is well settled that Congress’s power is plenary. It is a non se-quitur to intimate that because the source of the plenary power may have changed from a “non-constitutional” to a constitutional source, Congress’s ability to legislate is somehow circumscribed. If that were true, then Congress’s authority would no longer be plenary. Cf. Lone Wolf v. Hitchcock,
Even if the mere existence of the Indian commerce clause somehow restricted the powers that tribes inherently possess, moreover, inherent tribal sovereignty would still be a matter of federal common law. Consider, as an analogy, dormant commerce clause restrictions on state legislation that unduly burdens interstate commerce. A court can invalidate a state law on dormant commerce clause grounds, but Congress can reverse the court’s decision and authorize the state to re-enact the legislation: Dormant commerce clause prohibitions are thus considered federal common law. See, e.g., Adrian Vermeule, Three Commerce Clauses? No Problem, 55 Ark. L.Rev. 1175, 1175 (2003); cf. Frickey, A Common Law, supra, at 71-72. Thus, no matter how one views the matter, Congress retains legislative authority to determine prospectively what power tribes inherently possess.
C.
The court also relies on South Dakota v. Bourland,
Although Bourland and some other cases that were decided after the ICRA amendments, e.g., Nevada v. Hicks,
II.
In reaching its conclusion, the court rejects a contrary result by a unanimous eleven-judge court in Enas,
The basic question in this case is whether providing tribes with the inherent power to try nonmember Indians for crimes falls within Congress’s plenary authority over Indian affairs (which the court agrees that Congress has). In light of the Supreme Court pronouncement that all “aspect[s] of tribal sovereignty ... [are] subject to plenary federal control and definition,” see Three Affiliated Tribes of Fort Berthold Reservation v. Wold Eng’g,
I therefore respectfully dissent.
