MEMORANDUM OPINION AND ORDER
On September 12, 1994, the above-captioned matter came on before this Court for a hearing on the merits. Robert S. Thompson, III, Esq., appeared on behalf of the plaintiff, the Ute Indian Tribe. John W. Andrews, Esq., and Michael M. Quealy, Esq., appeared on behalf of the State of Utah. Herbert Wm. Gillespie, Esq., Duchesne County Attorney, and Joann B. Stringham, Esq., Uintah County Attorney, accompanied by Tom Tobin, Esq., appeared on behalf of defendants Duchesne and Uintah Counties. Roland Uresk, Esq., appeared on behalf of defendant Duchesne City. Clark Allred, Esq., appeared on behalf of defendant Roosevelt City. Lauren N. Soli, Esq., United States Department of Justice, and Joseph Anderson, Esq., Assistant United States Attorney, appeared on behalf of the United States of America as amicus curiae, accompanied by William MeConkie, Esq., United States Department of the Interior.
The pending motions revisit a subject explored in depth in this same litigation some time ago: the territorial extent of the Ute Indian Tribe’s jurisdiction, at least as it may be delimited by the legal boundaries of the Uintah and Ouray Indian Reservation. That question was resolved among these parties by
Ute Indian Tribe v. State of Utah,
*1480 Background and Procedural Histoiy
As the Ute Indian Tribe explains in its brief, the promulgation in 1975 of the Ute Law and Order Code “raised immediate protests from the State of Utah and from the political subdivisions located within the original boundaries” of the Ute Reservation. Brief of Plaintiff Ute Indian Tribe in Opposition to Defendants’ Motion to Dissolve Preliminary Injunction, filed July 15, 1994, at 2-3. “In the hope of establishing, once and for all, the exterior boundaries of the Reservation, and the geographic scope of the Tribe’s jurisdiction, the Tribe filed [this] action for declaratory relief in this Court in 1975,” joining Duchesne County, Duchesne City and Roosevelt City as defendants.
Id.
at 3. The State of Utah intervened as a defendant and Uintah County was joined as a defendant by stipulation of the parties in the Pretrial Order. After conducting a trial on the merits and examining the pertinent legislation and historical materials in some detail, this court made an initial ruling defining the boundaries of the Uintah Valley Reservation and holding that the Uneompahgre Reservation had been disestablished.
See Ute Indian Tribe v. State of Utah,
In its
en banc
ruling, the Tenth Circuit held that the Uintah Valley Reservation, created by Executive Order in 1861
2
and confirmed by Act of Congress in 1864,
3
had not been diminished by congressional legislation enacted
from
1902 through 1905 opening un-allotted and unreserved lands on the Reservation to entry under the homestead and townsite laws,
4
or by the inclusion of portions of the Reservation among lands withdrawn as national forest lands by Act of Congress and Presidential Proclamation in 1905.
5
The Tenth Circuit’s
en banc
ruling closely followed the Supreme Court’s decision in
So-lem v. Bartlett,
Relying explicitly on Solem, the Tenth Circuit in Ute Indian Tribe reasoned:
The 1902 Act would have returned all surplus Uintah Reservation lands to the public domain if the Ute Tribe’s consent could be obtained. That consent was never forthcoming. The Tribe refused all requests to give up their lands. As a result of the impasse, Congress passed additional legislation in 1903 and 1904 extending the time set for opening of the Reservation. ... Finally, Congress passed the 1905 Act, opening the Reservation for non-Indian settlement under the homestead and townsite laws. This measure, which actually effected the opening of the Reservation, did not contain the public domain language used in the 1902 Act.
It is not possible to find that the series of congressional enactments summarized above revealed a “baseline purpose of disestablishment,” ... that carried through into the 1905 Act. To do so is inconsistent with the Supreme Court’s longstanding directive, reiterated in Solem, that in the absence of “substantial and compelling evidence of a congressional intention to diminish Indian lands,” the courts’ “traditional solicitude for the Indian tribes” must compel a finding that “the old reservation boundaries survived the opening.” [465 U.S. at 472 ,]104 S.Ct. at 1167 . It is impossible to draw disestablishment conclusions or inferences from these congressional statements.
An examination of the 1902-1905 series of congressional enactments with the proper “solicitude for the Indian tribes,” Solem, [465 U.S. at 472 ,]104 S.Ct. at 1167 , provides inferences against diminishment.... The strongest inference that is to be drawn from Congress’ actions is that Congress wished surplus Uintah Reservation lands to be put to productive use....
After requesting and receiving a brief from the Solicitor General of the United States concerning the issues presented (
The State of Utah, not content simply to abide by the Tenth Circuit’s judgment in this action (in which it plainly had participated as a party), found opportunity to relitigate the boundary issue in three criminal actions commenced and prosecuted in its name in the Utah state courts. These cases, State of Utah v. Perank, 9 State of Utah v. *1482 Coando, 10 and State of Utah v. Hagen, 11 arose in the Uintah Basin communities of Myton and Roosevelt and involved neither the Ute Indian Tribe nor any of its enrolled tribal members. In one of the three eases, State v. Perank, the Utah Supreme Court invited both the Ute Indian Tribe and the United States to file amicus curiae briefs, which both'did. 12 In none of these cases was the Ute Tribe joined as a party.
On July 17,1992, the Utah Supreme Court issued opinions in
Perank, Coando
and
Ha-gen.
Justice Stewart’s opinion for the majority in
Perank
announced that court’s conclusion that the boundaries of the Uintah Valley Reservation had been diminished, such that the town of Myton was no longer within “Indian country,” and elaborated at some length on the majority’s reasoning in reaching that result.
See Perank,
Almost immediately, the Ute Indian Tribe filed a renewed motion before this court seeking preliminary injunctive relief against any assertion of jurisdiction by the defendants in reliance on the
Perank
decision. Though the motion was fully briefed by the parties and calendared for hearing on August 3, 1992, it was not ruled upon at that time. By stipulation signed by all of the parties to this action, it was agreed that the State and Local Defendants would “refrain from enforcing the Utah Supreme Court’s decision in
State v. Perank,
[
The hearing on the Tribe’s renewed motion was reset for December 22, 1992, then rescheduled for April 14, 1993, in light of the filing of a petition for certiorari in the Hagen *1483 case, (see Order, dated December 17, 1992), and again reset to June 18, 1993, after the Solicitor General of the United States filed a brief regarding the certiorari petition. See Order, dated March 26, 1993. Upon the grant of certiorari by the Supreme Court in the Hagen case, this court stayed further proceedings in this action pending the outcome of that appeal. See Order, dated April 29,1993. 13
On February 23, 1994, the United States Supreme Court announced its decision in
Ha-gen,
holding that the Uintah Valley Reservation had been diminished by Congress when its unallotted and unreserved lands were “opened” to non-Indian settlers pursuant to the 1902 Act, and therefore, that Myton, Utah was not within “Indian country” within the meaning of 18 U.S.C. § 1151 (1988 ed.).
Hagen v. Utah,
The announcement of the Hagen decision provoked a flurry of motion practice in this proceeding. The State and Local Defendants filed a motion to dissolve the September 2,1992 Order of this court preserving the jurisdictional status quo, and then on April 27, 1994, a “Motion for Emergency Relief’ concerning the exercise of criminal jurisdietion, which was calendared for hearing on May 2, 1994. 14 Following that hearing, this court entered an Order modifying the September 2,1992 Order “to allow the State and Local Defendants to prosecute felony crimes occurring on lands within the original boundaries of the Uintah Valley Reservation which are not “Indian country” as defined by 18 U.S.C. § 1151, et seq.” Order, dated May 2, 1994. At the May 2,1994 hearing, this court scheduled a hearing on all pending motions for June 7, 1994, which was continued at the request of the parties until August 2, 1994, with briefs to be filed during July. 15 On July 15, 1994, the Tribe filed its Brief of Plaintiff Ute Indian Tribe in Opposition to Defendants’ Motion to Dissolve Preliminary Injunction (“Brief of Ute Indian Tribe”); 16 on July 26, 1994, the defendants filed the State and Local Defendants’ Memorandum in Opposition to the Ute Tribe’s Motion for Injunc-tive Relief (“Defendants’ Memorandum”); 17 and on July 29, 1994, the Government filed the United States’ Memorandum as Amicus Curiae in Response to the State of Utah’s Motion to Vacate and Set Aside the Preliminary Injunction (“United States’ Memorandum”). 18
*1484 At the request of counsel, the August 2, 1994 hearing was conducted as a status or pretrial conference, at which time this court set a hearing on the merits for September 12, 1994, with the proposed pretrial order to be prepared and submitted by counsel on or before August 12, 1994. See Minute Entry, dated August 2, 1994. 19 By stipulation of counsel, the time for filing the proposed pretrial order was extended to August 19, 1994. See Order, dated August 22, 1994. The proposed Pretrial Order Concerning “Indian Country” Issues was received on August 19, 1994, signed by the court on September 9, and entered on September 12, 1994, prior to the hearing on the merits.
At the September 12, 1994 hearing, arguments of counsel on the legal issues outlined in the Pretrial Order were heard at length. See Transcript of Hearing, dated September 12, 1994, passim. Noting that “with the added gloss on what was done early on, the effort to mesh those into something that makes sense, is obviously something that will require some effort,” this court took the matter under advisement. Id. at 72:19-22. 20
Issues Now Before This Court
At the outset, it seems worthwhile to define the particular issue or issues now in dispute, and to do so with some care. In approaching the questions raised by the parties’ motions, this court has read and reread
Hagen
with some care.
Hagen
determined “that the Uintah Indian Reservation has been diminished by Congress,”
i.e.,
that the original boundary of the Uintah Valley Reservation does
not
currently define the present territorial extent of federal, state and tribal jurisdiction in the Uintah' Basin. .
The Pretrial Order Concerning “Indian Country” Issues (“Pretrial Order”), prepared by counsel and entered by the court on September 12, 1994, identifies, inter alia, the following issues as currently being in dispute:
A. In spite of Hagen, are the State and Local Defendants precluded as a matter of law or equity under the doctrine of collateral estoppel or otherwise, from asserting jurisdiction over the Tribe or its members within the exterior boundaries of the Uin-tah and Ouray Reservation, as those boundaries were defined in Ute Indian Tribe v. State of Utah,773 F.2d 1087 (10th Cir.1985), cert. den.479 U.S. 994 ,107 S.Ct. 596 ,93 L.Ed.2d 596 (1986)?
B. Although the U.S. Supreme Court denied the Tribe leave to intervene as a party in Hagen, is the Supreme Court’s decision binding on the Tribe and its members in this action under the doctrine of stare decisis or otherwise?
C. In light of Hagen, do any or all of the following categories of fee land constitute “Indian Country” under 18 U.S.C. § 1151: (a) land that was apportioned to the “Mixed-Blood” Utes under the Ute Partition Act; (b) lands allotted to individual Indians that have passed into fee status after 1905; and (c) lands that were held in trust after the Reservation was opened in 1905 but that since have been exchanged into fee status by the Tribe for then-fee (now trust) lands in an effort to consolidate its land holdings[?]
*1485
Id.
at 14 — 15. Before reaching the issues addressed in Paragraphs 5.A and 5.B of the Pretrial Order, it makes sense to examine to what extent the decision of the United States Supreme Court in
Hagen v. Utah,
The Uintah Reservation Boundaries After Hagen
Let us begin with those questions as to which
Ute Indian Tribe
and
Hagen
are in accord — those issues which are
not
in dispute. First, there is no question that the jurisdiction of the Ute Indian Tribe encompasses all of the lands now held in trust by the United States for the benefit of the Tribe and its members, or where Indian allotments are concerned, lands now held in trust for the benefit of individual Ute allottees.
See
Pretrial Order Concerning “Indian Country” Issues, dated September 12, 1994, at 13 ¶ 3.M. Altogether, this represents approximately 1.2 million acres of land. Nor did
Hagen
address the Tenth Circuit’s determination in
Ute Indian Tribe
that the 1905 national forest withdrawals of approximately 1,010,000 acres of reservation land did not diminish the Uintah Reservation boundaries.
Hagen
also makes no ruling concerning the boundaries of the Uncompahgre Reservation, the original extent of which was reaffirmed by the Tenth Circuit. The Ute Indian Tribe suggests that “the legal status of the non-opened lands on the Uintah Valley Reservation and all of the lands on the Uncompahgre Reservation remain[s] as established by the Tenth Circuit in
Ute Indian Tribe v. Utah,
The present controversy thus “centers on whether the State or the Tribe and federal government have jurisdiction over the various categories of non-trust, i.e., fee, lands within the Uintah Valley Reservation,” (Brief of Ute Indian Tribe at 15 (emphasis added & footnote omitted)), and therefore concerns the extent to which Hagen supplants Ute Indian Tribe's reaffirmation of continuing federal and tribal jurisdiction within the Reservation’s original exterior boundaries.
The United States, appearing in this proceeding as an amicus curiae, attempts to minimize the practical impact of Hagen on the jurisdictional landscape mapped in Ute Indian Tribe: because the 1905 Act expressly provided that the “unallotted lands ... shall be disposed of under the general provisions of the homestead and townsite laws of the United States,” the reservation was diminished only to the extent of the lands “actually entered by non-Indians under the 1905 Act and not subsequently reacquired by the Tribe and taken into trust status.” United States’ Memorandum, dated July 29,1994, at 9. Moreover, “any parcels of land, though currently held in fee, that were never opened to non-Indian settlement under the 1905 Act remain ‘Indian country’.” Id. at 13. 21
The Tribe joins the Government in asserting that Hagen’s “only effect is to separate from ‘Indian country5 those lands that were actually settled pursuant to the 1905 Presidential Proclamation,” noting that “the present disagreement centers on whether the State or the Tribe and federal government have jurisdiction over the various categories of non-trust, i.e., fee, lands within the Uintah Valley Reservation.” Brief of Ute Indian Tribe at 13,15 (emphasis added). The Tribe *1486 identifies four categories of non-trust land within the Reservation:
(1) lands that passed from trust to fee status under the 1905 Presidential Proclamation; (2) lands that were initially allotted to tribal members under the Act of May 27, 1902, ch. 888, 32 Stat. 245, which have since passed into fee status (whether owned by an Indian or non-Indian); (3) 211,430 acres of land ... that were distributed to former members of the Tribe under the Ute Partition Act ...; and (4) former trust lands that passed into fee when they were exchanged by the Tribe for fee lands under the Indian Reorganization Act ... and [the] Indian Land Consolidation Act....
Id.
at 16 (citations omitted). According to the Tribe, only the first category of non-trust lands are no longer “Indian country” within the meaning of 18 U.S.C.A § 1151 (1984). The Tribe even points to language in the Utah Supreme Court’s opinion in
Perank
as support for this view: “‘The only issue in this case ... is whether the unallotted and unreserved lands that
were opened to entry in 1905
and not later restored to tribal ownership and jurisdiction ... are within the present boundaries of the Reservation.’ ”
Id.
at 18 (quoting
Perank,
Setting aside for a moment the semantic distinction between lands that “were opened to entry” under the 1905 Act (Perank) and lands that were “actually settled” (Tribe), the Tribe correctly points out that on their facts, both
Perank
and
Hagen
addressed conduct occurring in Myton, Utah, “which was established within the original boundaries of the Uintah Indian Reservation when the Reservation was opened to non-Indian settlement in 1905.”
Hagen,
“Indian country” within the meaning of 18 U.S.C.A § 1151(a) (1984) encompasses “all land within the limits of any Indian reservation under the jurisdiction of the United States Government, notwithstanding the issuance of any patent, and including rights-of-way running through the reservation.” Thus, non-trust, or fee lands may be found within “Indian country” so long as there are identifiable “limits of any Indian reservation” embracing those lands. 23 Neither Hagen nor Perank determined the “Indian country” status of non-trust lands falling into any of the other three categories listed by the Tribe, or in Paragraph 5.C of the Pretrial Order because neither case involved conduct occurring on those lands. The Tribe and the United States suggest that the three remaining categories of non-trust lands not before the Court in Hagen remain “Indian country” because they are within the Uintah Reservation’s “limits” for purposes of § 1151(a).
The State and Local Defendants emphatically dispute the theory advanced by the Tribe and by the United States: “If the boundaries were diminished, then it was recognized by all involved that tribal jurisdiction necessarily was limited to trust lands.... Once this diminishment of the exterior boundaries occurred, lands leaving trust status for any reason lost their status as ‘Indian country’ under 18 U.S.C. § 1151(a).” Defendants’ Memorandum at 12 (emphasis in original). 24 In essence, the *1487 State and Local Defendants now argue that the Uintah Reservation was wholly terminated or extinguished by the 1902 Act and that thereafter no discrete, definable reservation boundaries exist. For purposes of § 1151(a), then, the only existing “limits” of the Uintah Reservation after 1905 are those that distinguish Indian lands held in trust from Indian and non-Indian lands held in fee. Indeed, this ‘“Indian country’ equals trust lands” equation represents the central thrust of the Defendants’ arguments in this proceeding.
The Uintah Reservation: “Diminished” or “Terminated”?
As is so often the ease, the problem confounding court and counsel proves to be largely one of semantics. When
Hagen
speaks of the “question whether the Uintah Reservation has been
diminished,
” that is, “made smaller; lessened; reduced ...”
(Webster’s New World Dictionary
386 (3d coll. ed. 1991)), the terminology itself implies a continued existence, albeit reduced in size, according to commonly understood usage. In essence, the Tribe and the United States argue that the limits of the Uintah Reservation have been “diminished” by being reduced only to the extent of issuance of fee patents resulting from non-Indian settlement under the 1905 Act. Conversely, the State and Local Defendants argue that the limits of the Uintah Reservation have been “diminished,” that is,
extinguished,
rendering § 1151(a) inapplicable to all four disputed categories of non-trust lands. The concept urged by the State and Local Defendants may more accurately be termed the
disestablishment
of a reservation,
ie.,
“to deprive of the status of being established,”
(id.
at 393), or its
termination, ie.,
“the end of something in space and time,”
(id.
at 1381), rather than a genuine diminishment.
See also Ute Indian Tribe,
Yet when winnowed down to its precise holding, Hagen says this:
[W]e hold that the restoration of unallotted reservation lands to the public domain evidences a congressional intent with respect to those lands inconsistent with the continuation of reservation status. Thus, the existence of such language in the operative section of a surplus land Act indicates that the Act diminished the reservation....
Justice O’Connor’s phrasing of the holding in
Hagen
parallels Justice Stewart’s framing of the statutory construction issue in
Perank:
“whether the language of the Act of May 27, 1902, which provided that the unallotted lands were to be ‘restored to the public domain,’ if used as operative statutory language opening a reservation would effect a dimin-ishment of that reservation os
to the lands so restored.”
As this court noted when first addressing the boundary issue in 1981, there exists a canon of statutory construction in reservation boundary cases “forbidding any assumption ‘that Congress would intend to change the reservation to an area without defined boundaries and, in addition, create a confusing checkerboard pattern of jurisdiction.’”
Ute Indian Tribe,
Nothing in the legislation pertaining to the Uintah Reservation expresses a congressional purpose to extinguish or terminate the Uintah Reservation in its entirety. Rather, Congress expressly provided that the Utes would retain more reservation land than merely their individual allotments. As
Hagen
explains, “A month after the passage of the 1902 Act, Congress directed the Secretary of the Interior to set apart sufficient land to serve the grazing needs of the Indians remaining on the Reservation. J.Res. 31, 57th Cong., 1st Sess. (1902), 32 Stat. 744.”
[INSPECTOR McLAUGHLIN]: You say that [reservation boundary] line is very heavy and that the reservation is nailed down upon the border. That is very true as applying to the past many years and up to now, but [C]ongress has provided legislation which will pull up the nails which hold down that line and after next year there will be no outside boundary line to this reservation. Each of you will have a boundary to your individual holdings and there will also be a border to that 250,000 acre tract set apart for pasturage. You *1489 fear that you are going to be confined to the tract of land allotted. That is not so, ... [W]hen you take your allotments you can travel like white men and you will not need a pass. Your Agency will be continued just the same as now; the Agent will have fall jurisdiction just the same as now, to protect your interests, and as citizens you will have the protection of the laws of the state to redress injuries against you.
JX 162 at 42-45 (emphasis added) (quoted in Brief for the Respondent,
Hagen v. Utah,
Nowhere in
Hagen
or
Perank
does either court find that the Uintah Reservation was “disestablished” or “terminated” altogether, or conclude, as the Supreme Court did twenty years earlier in
DeCoteau,
that “the tribe and the Government were satisfied that retention of allotments would provide an adequate fulcrum for tribal affairs” and that the reservation itself was terminated.
Judge Monroe McKay, writing for the court of appeals in
Chickasaw Nation v. State ex rel. Oklahoma Tax Comm’n,
In Hagen, the Court concluded that the Uintah reservation had been “diminished” by various acts of Congress, and that therefore a town originally within the reservation was now outside the reservation and subject to state criminal jurisdiction. Notwithstanding the diminishment of the Uintah reservation in Hagen, there was no question but that the land within the diminished reservation retained its status as Indian country.
In this respect,
Rosebud Sioux Tribe v. Kneip
also proves instructive. In
Rosebud,
the Court speaks of a reservation
diminished
(
Rosebud
concluded that the language of the Act of April 23, 1904, ch. 1484, 33 Stat. 254, the Act of March 2, 1907, ch. 2536, 34 Stat. 1230, and the Act of May 30,1910, ch. 260, 36 Stat. 448, affecting the Rosebud Reservation “not only opened the land for settlement, but diminished the boundaries of the Reservation
pro tanto:’
Rosebud
illustrates the fact that reservation diminishment is not necessarily the either-or, all-or-nothing, win-or-lose proposition asserted in this proceeding by the State and Local Defendants. In referring to the Uintah Reservation as being
diminished
“with respect to those [unallotted and unreserved] lands,”
Hagen
uses the term in the commonly understood sense of being “made smaller, lessened or reduced,” as the Court did in
Rosebud. See also White Earth Band of Chippewa Indians v. Alexander,
Hagen
also contrasts with
Pittsburg & Midway Coal Mining Co. v. Yazzie,
The 1902-1905 Acts were not the first time that the Uintah Valley Reservation had been diminished by a restoration of particular lands to the public domain. Section 1 of the Act of May 24, 1888, ch. 310, 25 Stat. 157, declared a 7,040-acre parcel known as the Gilsonite Strip “to be public lands of the United States and restored to the public domain.” It was clearly understood at that time that the restoration of the Gilsonite Strip to the public domain represented a diminishment of the Reservation.
31
It was equally plain that the balance of the Reservation not so restored remained intact as a reservation.
See Ute Indian Tribe,
The view expressed in
Perank
that “the Uintah Reservation, as a political entity, continued to exist after 1905 as to the lands allotted to the Indians and the lands reserved for tribal use,” corresponds with subsequent congressional treatment of the matter, including references in legislative materials to “the exterior boundary of the Uintah and Ouray Reservation.”
See Ute Indian Tribe,
In the aftermath of the demise of the Indian allotment policy, Congress and the United States Department of the Interior *1492 have taken steps to restore thousands of acres of vacant “opened” lands to the Reservation. Section 3 of the Wheeler-Howard Act, or Indian Reorganization Act of 1934, 32 25 U.S.C.A § 463 (Supp.1996), reads in part:
[t]he Secretary of the Interior, if he shall find it to be in the public interest, is authorized to restore to tribal ownership the remaining surplus lands of any Indian reservation heretofore opened, or authorized to be opened, to sale, or any other form of disposal by Presidential proclamation, or by any of the public-land laws of the United States,
provided that valid existing claims are not affected. On August 25, 1945, Secretary of the Interior Harold Ickes issued an Order of Restoration directing that the “undisposed-of opened lands of the Uintah and Ouray Reservation ... are hereby restored to tribal ownership for the use and benefit of the Ute Indian Tribe ..., and are added to and made a 'part of the existing reservation, subject to any valid existing rights.” 10 Fed.Reg. 12409 (1945) (emphasis added). 33 Further, the Act of March 11, 1948, ch. 108, 62 Stat. 72, expressly provided that “the exterior boundary of the Uintah and Ouray Reservation ... for the benefit of the Ute Indian Tribe of the Uintah and Ouray Reservation, is hereby extended to include the following area: ...,” followed by a lengthy legal description encompassing an area of grazing lands known as the Hill Creek Extension.
If, as the State and Local Defendants now suggest, the “Uintah and Ouray Reservation” consists merely of an aggregation of parcels of Indian trust lands, why did Congress speak of extending the Reservation’s “exteri- or boundary”? Congress in 1948 was aware of the distinction. Three months after extending the Reservation boundaries to embrace the Hill Creek Extension, “Congress uncouple[d] reservation status from Indian ownership, and statutorily define[d] Indian country to include lands held in fee by non-Indians within reservation boundaries. See Act of June 25, 1948, ch. 645, 62 Stat. 757 (codified at 18 U.S.C. § 1151 (1982 ed.)).”
Solem,
The State and Local Defendants’ contention that
Hagen
leaves the Uintah Valley portion of the Uintah and Ouray Reservation “an area without defined boundaries” cannot survive careful scrutiny of the operative language of the 1902 Act and subsequent legislation, particularly when read in light of the explicit holding of the
Hagen
case, buttressed by the consistent language of the
Perank
opinion. Because “the Uintah Reservation, as a political entity, continued to exist after 1905 as to the lands allotted to the Indians and the lands reserved for tribal use,” and also as to lands later restored to the Reservation by congressional or administrative action
(see Perank,
Extent of the 1905 Diminishment of the Uintah Reservation
In
Perank,
Justice Stewart wrote, “The only issue in this case ... is whether the unallotted and unreserved lands that were opened to entry in 1905 and not later restored to tribal ownership and jurisdiction by the 1945 ‘Order of Restoration’ are within the present boundaries of the Reservation,” (
The narrower reading proffered by the Tribe and the United States as to the effect of
Hagen
— lands “actually settled” under the 1905 Act — harmonizes with this court’s original treatment of the 1905 Act,
viz.,
as legislation having some substantive effect
vis-a-vis
the 1902 Act.
See Ute Indian Tribe,
Through and including
Hagen,
the Supreme Court’s line of reservation boundary cases invoke two rules of statutory construction: that “the statutory language must ‘es-tablis[h] an express congressional purpose to diminish,’ ” (
When contrasted with the Court’s disposition of substantive issues affecting Indians in its more recent cases, however, it remains unclear how much substantive impact these lofty expressions really have.
36
Indeed, the new interpretive “canon” articulated in
Ha-gen, viz.,
that legislation affecting Indian reservations should not be construed in such a fashion as “would seriously disrupt the justifiable expectations of the [non-Indian] people living in the area,”
Putting aside the metaphysics of interpretive canons, Hagen, particularly when read in tandem with Perank, leads to the conclusion that when speaking of “diminishment” under the 1902-1905 Acts, the Court was referring to the restoration of all unallotted and unreserved lands to the public domain. Consequently, it seems doubtful that a majority of the United States Supreme Court would adopt the narrower construction of the 1902 and 1905 Acts now urged by the Government and the Tribe, limiting the 1905 “diminishment” in the first instance to only those fee lands “actually settled” in the manner prescribed in the 1905 Act. 40 See generally, Robert Laurence, su-pro; Ralph W. Johnson & Berne Martinis, Chief Justice Rehnquist and the Indian Cases, 16 Pub.Land L.Rev. 1 (1995); James Grijalva, et al., Diminishment of Indian Reservations: Legislative or Judicial Fiat? (Panel Discussion), 71 N.D.L.Rev. 415 (1995); Alex Tallchief SMbine, Removing Race Sensitive Issues from the Political Forum or Using the Judiciary to Implicitly Take Someone’s Country, 20 J.Contemp.L. 1 (1994).
Hagen,
though on its facts only deciding the “Indian country” status of Myton, Utah, effectively determined that the Uintah Reservation was diminished to the extent of the unallotted and unreserved lands that were opened to entry in 1905. To the extent that those lands were not later restored to tribal ownership and jurisdiction by subsequent congressional and administrative action, they ceased to have reservation status in 1905 and are no longer found within “Indian country” within the meaning of 18 U.S.C.A § 1151 (1984).
41
To that extent,
Hagen
stands in
*1496
direct conflict with the Tenth Circuit’s
en banc
ruling in
Ute Indian Tube,
which held that all lands within the original exterior boundary of the Uintah Reservation remain within “Indian country” under the statute. At the same time, the Uintah Reservation, as an entity, continued to exist after 1905 as to allotted and reserved lands not “opened” and as to lands later restored to the reservation by Congress or the Department of the Interi- or, the return of which “would enlarge the boundaries of the reservation.”
Perank,
Categories of Non-Trust Lands Now in Dispute
The three categories of non-trust, or fee lands identified in Paragraph 5.C of the Pretrial Order involve tracts that either were never located within the area of “opened lands” diminishment under Hagen or are tracts of “opened lands” which at some point were returned to tribal ownership, trust, and/or reservation status by congressional or administrative action. See Pretrial Order at 5 & n. 1.
(a) Indian Allotments No Longer Held in Trust
“Lands allotted to individual Indians that have passed into fee status after 1905” were never part of the “opened lands” and therefore were not affected by the restoration of unallotted lands to the public domain under the 1902 Act. Had Congress explicitly terminated the Uintah Reservation as a whole, leaving only individual Indian allotments, 18 U.S.C. § 1151(a) would not apply and the result may well be different, as it was in
DeCoteau
or
Yazzie.'
42
,
“Indian country” under § 1151(c) consists of individual Indian allotments, but only those allotments, “the Indian titles to which have not been extinguished.” Were there no existing Uin-tah and Ouray Reservation as such, the State and Local Defendants’ argument that trust status is determinative would be more persuasive. But where “all parties agree that the Uintah Reservation, as a political entity, continued to exist after 1905 as to the lands allotted to the Indians and the lands reserved for tribal use,”
(Perank,
Application of § 1151(a) to areas of the Reservation encompassing former Indian allotments also serves to lessen the burden on governmental and law enforcement agencies of determining “jurisdiction dependent on the tract book.”
DeCoteau,
THE COURT: You tell me that you acknowledge, at this point, that the State of Utah has no jurisdiction over what you characterize as trust lands?
Mr. ANDREWS: With very limited exceptions ....
THE COURT: And you acknowledge, at least [as] to that area, the existence of a peripheral boundary of some kind?
MR. ANDREWS: At this point there is a legal description as to what are trust lands and what are not.
THE COURT: Now, just as a matter of curiosity, and this is strictly hypothetical; say I am a tribal member with an allotment and I am right on the border. And ... I convey out to a non-Tribe member. Do we thus, through private act, diminish the boundaries?
MR. ANDREWS: I believe that the act of conveying out an interior portion—
At this point, the state’s position would be that in fact the conveyance out of some interior portion of some block would in fact be a reduction of the lands.
THE COURT: A diminishment?
MR. ANDREWS: In other words, it would not be Indian country.
THE COURT: And without any legislative action on the part of anybody?
MR. ANDREWS: That would be correct. I would point out that the issue of that circumstance has in fact been dealt with in the Yazzie case.
Transcript of Hearing, dated September 12, 1994, at 56:14^57:24.
Indeed, the
Yazzie
case was remanded “for consideration of whether some or all of P & M’s South McKinley Mine is within Indian country under 18 U.S.C. §§ 1151(b) or (c).”
If we were to accept P & M’s argument, jurisdiction would depend on commercial transactions between the United States, New Mexico, the Navajo Nation, and various private parties. A particular parcel of land, or even an individual stick in the bundle of property rights, could suddenly change jurisdiction as a result of a single commercial transaction. This is an untenable prospect. Such a result would unnecessarily complicate already convoluted jurisdictional questions throughout the West. See generally Paul W. Gates, History of Public Land Law Development (1968).
We hold that the 48 trust allotments comprising 47% of the surface area of the South McKinley mine site are Indian country by definition under 18 U.S.C. § 1151(c)....
Recognizing that the Uintah Reservation continued-to exist as a reservation after 1905, as was ácknowledged in Perank, and that Hagen “redefined the Reservation boundaries resulting from our earlier decision” in Ute Indian Tribe, as most recently observed by the Tenth Circuit in Cuch, the Reserva *1498 tion continues to embrace those lands never “opened” as well as lands once opened but later “restored to tribal jurisdiction” (Per-ank), and thus embraced within its “limits” under 18 U.S.C. § 1151(a), regardless of transitory shifts in ownership.
More analogous to this case than
De-Coteau
or
Yazzie,
the diminishment of the Rosebud Reservation again proves instructive. In
Beardslee v. United States,
The Indian conduct in DeCoteau did occur on non-Indian, unallotted land within the 1867 reservation boundaries.... However, the Supreme Court also concluded that as to this particular land, reservation status had been terminated by the Congressional Act of March 3, 1891, ... Appellant cites no statute similarly disestablishing the reservation status of Todd County in the Rosebud Reservation.
Ownership of the land alone by a non-Indian is not sufficient to change reservation status....
Id.
at 707 (emphasis in original; citations omitted). In the context of a
diminished
reservation, ‘“Disestablishment thus is not effected by an allotment to an Indian or by conveyance of the Indian title to a non-Indian.’ ”
Id.
(quoting
Beardslee v. United States,
(b) Lands Distributed to Mixed-Blood Utes Under the Ute Partition Act
Tribally owned lands divided and distributed under the Ute Partition Act, Act of August 27, 1954, eh. 1009, 68 Stat. 868, codified at 25 U.S.C.A. §§ 677-677aa (1983), likewise do not appear to fall within the 1905 “opened lands” diminishment under Hagen. The State and Local Defendants contend that because “fee lands distributed to former tribal members under the Ute Partition Act” are “not “within the limits’ of a reservation, the exterior boundaries having been diminished, they do not fit within any subdivision of 18 U.S.C. § 1151, and cannot be considered ‘Indian country’ for jurisdictional purposes.” Defendants’ Memorandum at 22. Yet it appears those lands were considered “Indian country” before they were distributed under the Act, and as tribal lands held in trust, even the defendants would concede that point. These were not Indian allotments, “the Indian titles to which have not been extinguished” (§ 1151(c)); absent a finding of “dependent Indian community” status under § 1151(b), the lands must have fallen within § 1151(a)—lands which are in Indian country because they are “land within the limits of any Indian reservation.” 18 U.S.C.A. § 1151 (1984) (emphasis added).
For purposes of § 1151(a), “Indian tribal trust lands” are not a category of Indian country distinct from “land within the limits of any Indian reservation.” In
Oklahoma Tax Commission v. Citizen Band Potawatomi Indian Tribe of Oklahoma,
Oklahoma argues that the tribal convenience store should be held subject to state tax laws because it does not operate on a formally designated “reservation,” but on land held in trust for the Potawatomis. Neither Mescalero [Apache Tribe v. Jones,411 U.S. 145 ,93 S.Ct. 1267 ,36 L.Ed.2d 114 (1973)] nor any other precedent of this *1499 Court has ever drawn the distinction between tribal trust lands and reservations that Oklahoma urges. In United States v. John,437 U.S. 634 [,98 S.Ct. 2541 ,57 L.Ed.2d 489 ] (1978), we stated that the test for determining whether land is Indian country does not turn on whether that land is denominated “trust land” or “reservation.” Rather, we ask whether the area has been “ Validly set apart for the use of the Indians as such, under the superintendence of the Government.’” Id. at 648-649, [98 S.Ct. at 2548-49 ]; see also United States v. McGowan,302 U.S. 535 , 539[,58 S.Ct. 286 , 288,82 L.Ed. 410 ] (1938).
... Here, ... the property in question is held by the Federal Government in trust for the benefit of the Potawatomis. As in John, we find that this trust land is “validly set apart” and thus qualifies as a reservation for tribal immunity purposes.437 U.S. at 649 [,98 S.Ct. at 2549 ].
The Commission ... contends that the relevant boundary for taxing jurisdiction is the perimeter of a formal reservation, not merely land set aside for a tribe or its members_ Here, ... some of the Tribe’s members may not live within a reservation; indeed, if the Commission’s interpretation of the 1891 Treaty is correct and the Reservation was disestablished, none do.
... We noted [in Potawatomi ] that we have never drawn the distinction Oklahoma urged. Instead, we ask only whether the land is Indian country.... Accord, F. Cohen, Handbook of Federal Indian Law 34 (1982 ed.) (“[T]he intent of Congress, as elucidated by [Supreme Court] decisions, was to designate as Indian country all lands set aside by whatever means for the residence of tribal Indians under federal protection, together with trust and restricted Indian allotments.”); Ahboah v. Housing Authority of Kiowa Tribe of Indians,660 P.2d 625 , 629 (Okla.1983) (same).
Absent explicit congressional direction to the contrary, we presume against a State’s having the jurisdiction to tax within Indian country, whether the particular territory consists of a formal or informal reservation, allotted lands, or dependent Indian communities....
As Justice Marshall noted in
Solem,
“Congress uneouple[d] reservation status from Indian ownership, and statutorily define[d] Indian country to include lands held in fee by non-Indians within reservation boundaries” in § 1151(a).
Solem,
All of the case law cited in support of the defendants’ “trust lands only” theory of Indian country concerns the status of Indian allotments remaining in disestablished areas of a reservation.
See United States v. Pelican,
At one time, “Indian country” status was held to be dependent upon Indian title, and that land ceased to be Indian country “[as] soon as they parted with the title ... without any further act of Congress, ...”
Bates v. Clark,
“Congress has defined Indian country broadly to include formal and informal reservations, dependent Indian communities, and Indian allotments, whether restricted or held in trust by the United States.
See
18 U.S.C. § 1151.”
Sac and Fox,
It therefore seems that the more pertinent question in this case is whether the Ute Partition Act worked its own separate diminishment of the Reservation as to those lands conveyed to the Mixed-Blood Utes. The Tribe represents that approximately 211,430 acres of tribal land were distributed to the Mixed-Blood Utes pursuant to the Ute Partition Act, and that since 1954, the Tribe has reacquired and placed into trust status approximately 179,000 acres of lands distributed under the Act. Brief of Ute Indian Tribe at 16 & n. 21. As to the latter acreage, of course, it remains uncontroverted that it comprises part of the Reservation and is located within “Indian country” under 18 U.S.C. § 1151. Thus, based upon the Tribe’s figures, approximately 32,430 acres of land distributed under the Ute Partition Act remain in non-trust, or fee status. 45
In
Hackford v. Babbitt,
The court has reviewed the Ute Partition Act and finds nothing dealing with the question of reservation boundaries, at least in express terms. However, the Act does contain language that bears upon some jurisdictional questions: Section 16 of the Act, 25 U.S.C.A. § 677o, provides that “[w]hen any mixed-blood member of the tribe has received his distributive share of the tribal assets distributed to the mixed-blood group under the provisions of section 677i,” the Secretary of the Interior “is authorized and directed to immediately transfer to him unrestricted control of all other property held in trust for such mixed-blood member by the United States,” as well as “remov[ing] all restrictions on the sale or encumbrance of trust or restricted property owned by such member of the tribe, and Federal supervision of such member and his property shall thereby be terminated,” with the exception of any interest in unadjudicated or unliquidated tribal claims, rights or assets which remain in trust under the Act. See generally 25 C.F.R. § 217.1 et seq. (1995). Section 17 of the Act, 25 U.S.C.A. § 677p, provides that “[a]fter seven years from August 27,1954, all property distributed to the mixed-blood members of the tribe ... and all income derived therefrom ... shall be subject to the same taxes, State and Federal, as in the case of non-Indians; ...excepting income of corporations organized to jointly manage un-liquidated and undistributed tribal assets. Section 18 of the Act, 25 U.S.C.A. § 677q, similarly provides that after federal supervision of Mixed-Blood Ute property is terminated, “the laws [with respect to the probate of wills, determination of heirship, and the administration of estates] of the several States, Territories, possessions and the District of Columbia within which such mixed-blood members reside at the time of their death shall apply.” Section 23 of the Act, 25 U.S.C. § 677v, provides that following removal of trust restrictions on the property of Mixed-Blood Ute members, “All statutes of the United States which affect Indians because of their status as Indians shall no longer be applicable to such member over which supervision has been terminated, and the laws of the several States shall apply to such member in the same manner as they apply to other citizens within their jurisdiction.”
The jurisdictional provisions of the Ute Partition Act operate to render those tribal members over whom federal supervision was terminated virtually indistinguishable from their non-Indian neighbors. The individual property of the Mixed-Blood Utes, together with land distributed to them under the Act, was removed from trust status and federal supervision, and in essence, conveyed to them in fee. With few qualifications, their lands became subject to taxation, probate administration, and alienation under State law just as if they were fee lands owned by non-Indians. Individual Mixed-Blood Utes became subject to state laws “in the same manner as they apply to other citizens within their jurisdiction,” i.e., as though the Mixed-Blood Utes were non-Indians.
Yet the effects of the Ute Partition Act, though drastic, were not absolute. For example, Section 21 of the Act, 25 U.S.C.A. § 677t, expressly states that “[n]othing in this subchapter shall abrogate any water rights of the tribe or its members.” As explained in
Hackford,
“water rights were treated as appurtenant to the lands that were divided between the groups” under the Act; irrigable lands such as those owned by Mr. Hackford retained a right of user to water reserved for the Ute Indian Tribe under the
Winters
doctrine when the Reservation was created in 1861.
When the United States set aside and reserved land for the Indians, it also impliedly reserved sufficient water to accomplish the purposes for which the reserva *1502 tion was established. Winters,207 U.S. at 577 ,28 S.Ct. at 212_ When the reservation land was allotted, and the Project developed, the allottees acquired the right to use a portion of the tribe’s reserved water right with a priority date no later than the creation of the reservation. United States v. Powers,305 U.S. 527 , 532-33,59 S.Ct. 344 , 346,83 L.Ed. 330 (1939). Therefore, Hackford’s right of user, whether derived from the Uintah Band or the Ute tribe, has the same priority date as that delivered through the Project to allotted lands.
Similarly, this court previously held that the Ute Partition Act did not divest individual Mixed-Blood Utes of their personal rights of user in hunting and fishing rights belonging to the Ute Indian Tribe, or limit the exercise of those rights to the lands distributed to Mixed-Blood Utes under that Act.
United States v. Felter,
Citing to
Felter
and to § 23 of the Ute Partition Act, 25 U.S.C. § 677v, the State and Local Defendants argue that “[tjhere is another compelling reason for not considering former UPA lands as ‘Indian Country’ for jurisdictional purposes.... § 23 of the UPA provided that ... all statutes affecting Indians because of their status as Indians would no longer be applicable to mixed-bloods, and state law would henceforth be applied.” State and Local Defendants’ Memorandum at 22 n. 16. “In short,” defendants assert, “state law applies to mixed-bloods and their lands as with any other citizen of the State.”
Id.
47
Rejecting a similar argument that § 6 of the General Allotment Act, which provided that upon issuance of patents in fee to Indian allottees, “each and every allottee shall have the benefit of and be subject to the laws, both civil and criminal, of the State or Territory in which they may reside ...,”
48
extended state jurisdiction over fee-patented allotments, the Supreme Court in
Moe v. Confederated Salish and Kootenai Tribes,
If the General Allotment Act itself establishes Montana’s jurisdiction as to those Indians living on “fee patented” lands, then for all jurisdictional purposes — civil and criminal — the Flathead Reservation has been substantially diminished in size....
... The State has referred us to no decisional authority — and we know of *1503 none — giving the meaning for which it contends to § 6 of the Allotment Act in the face of the many and complex intervening jurisdictional statutes directed at the reach of state law within reservation lands — statutes discussed, for example, in McClana-han,411 U.S., at 173-79 [,93 S.Ct., at 1262-66 ]_ Congress by its more modem legislation has evinced a clear intent to eschew any such “checkerboard” approach within an existing Indian reservation, and our cases have in turn followed Congress’ lead in this area.
Conceding that § 23 of the Act is “not controlling on the issue of what lands fall within § 1151,” the State and Local Defendants suggest that “the return of UPA lands to tribal jurisdiction cuts against the purposes of the UPA, and would be likely to engender additional disputes between the Tribe and the mixed-blood former members.” Defendants’ Memorandum at 22 n. 16. Remembering that under the Ute Partition Act “the mixed blood former members” became jurisdictionally indistinguishable from non-Indians in almost all respects, the same is true whether they are found within or outside of “Indian country” under § 1151(a). Blanket application of state law to the Mixed-Blood Utes is not so much a statement that they no longer reside within “Indian country” 49 as it is a statement that the Mixed-Blood Utes are no longer deemed to be “Indians” for purposes of federal law, including 18 U.S.C. §§ 1151 et seq. Except as to those matters which are retained in trust status or under federal, tribal, or joint tribal/mixed-blood management under the Act (e.g., oil, gas, water, hunting and fishing rights, etc.), the Tribe could assert no greater jurisdiction over Mixed-Blood Ute individuals than it can over non-Indians located on fee lands within “Indian country,” a result which hardly “cuts against the purposes of the UPA” Given that the Ute Partition Act expressly contemplates a continuing relationship between the Tribe and its former members as to undivided assets, the defendants’ argument founders.
Adapting the “fairly clean analytical structure” established by the Supreme Court in
Hagen
and
Solem,
as well as the earlier decisions examined in detail in this court’s initial memorandum opinion,
(see
(c) Lands Exchanged into Non-Trust or Fee Status
The third category of non-trust, or fee lands identified in Paragraph 5.C of the Pretrial Order is “lands that were held in trust after the Reservation was opened in 1905 but that since have been exchanged into fee status by the Tribe for then-fee (now trust) lands in an effort to consolidate its land holdings.” Like the individual Indian allotments discussed above, the lands embraced by this latter category (at least as it is defined) were never part of the “opened lands” restored to the public domain under the 1902 Act.
Had Congress explicitly terminated the Uintah Reservation as a whole, 18 U.S.C. § 1151(a) would not apply and the result as to these “exchanged” fee lands may well be different. As with the Indian allotments, were there no existing Uintah and Ouray Reservation as such, the State and Local Defendants’ argument that trust status is determinative might prevail. But where “all parties agree that the Uintah Reservation, as a political entity, continued to exist after 1905 as to the lands allotted to the Indians and the lands reserved for tribal use,”
(Per-ank,
The Indian Land Consolidation Act, Pub.L. No. 97-459, title II, 96 Stat. 2517 (1983), codified at 25 U.S.C.A. §§ 2201-2211 (Supp. 1995), appears primarily directed to exchanges of Indian tribal lands for individual Indian trust lands (e.g., allotments) in an effort to consolidate tribal land holdings. See 25 U.S.C.A. § 2203(a). 25 U.S.C.A. § 2204 states that “[a]ny Indian tribe may purchase at no less than the fair market value part or all of the interests in any tract of trust or restricted land within that tribe’s reservation or otherwise subject to that tribe’s jurisdiction with the consent of the owners_” (Emphasis added.) The Act also includes provisions permitting restrictions on dissipation of individual Indian trust holdings through inheritance by non-Indians. See 25 U.S.C.A. §§ 2205-2206. The Indian Land Consolidation Act represents a House-conceived expansion of a Senate bill designed both to permit the consolidation of checker-boarded tribal landholdings within the opened Devil’s Lake Sioux Reservation in North Dakota and to “reduce instances of fractionated heirship in trust lands and provide land for tribal programs designed to improve the economy of the tribe and its members_” H.Rep. No. 97-908, 97th Cong., 2d Sess. 5 (reprinted in 1982 U.S.Code Cong. & Admin.News 4415, 4416). 51 The House amendment incorporated language of H.R. 5856, “an omnibus bill which makes provisions almost identical to [the Senate bill] applicable to all tribes.” Id. at 9 (reprinted in 1982 U.S.Code Cong. & Admin.News at 4419). As the House Committee Report explains:
Many Indian tribes do not own all their lands in a single tract but have their tribal lands spread out in many tracts over a large geographical area where tracts of land are owned by the tribe, by individual Indians who hold their lands in trust or restricted fee and by non-Indians holding their lands in fee. This “checkerboard” pattern of land ownership makes it very hard for tribes to develop and adopt comprehensive and constructive land use plans. *1505 The amendment provides certain mechanisms by which the tribes will be able to consolidate their tribal landholdings by allowing the Secretary of the Interior to acquire certain lands for the tribes and allowing tribes to exchange and sell certain tribal lands.
Id. at 10 (reprinted in 1982 U.S. Code Cong & Admin.News at 4419). Thus, the Act is directed more toward consolidation and expansion of tribally owned lands for purposes of land use planning and economic development than the redrawing of jurisdictional boundaries.
As with Indian allotments, where such land exchanges take place within the existing boundaries of a reservation, the transition of a particular parcel into or out of tribal ownership or trust status has no impact on the existing jurisdictional limits. Under the Defendants’ “trust-lands-only” analysis of “Indian country,” the jurisdictional landscape would be altered each time an exchanged parcel changes trust status, further complicating any tribal land consolidation program.
As to each of the three categories of non-trust, or fee lands identified in Paragraph C of the Pretrial Order, Hagen and Ute Indian Tribe are not locked in irreconcilable conflict. Under both rulings, these lands remain within the “limits” of the Reservation for purposes of 18 U.S.C. § 1151(a) and are found within “Indian country” regardless of their particular ownership status, at least so long as they are not found among the unallotted and unreserved lands “opened” in 1905 and never subsequently restored to the Reservation by legislative or administrative act. It is only as to the latter category, the “opened” lands never restored to the Reservation, that Hagen and Ute Indian Tribe diverge.
As an attachment to the United States’ Memorandum as amicus curiae, the Government submitted a preliminary draft “Uintah and Ouray Reservation Ownership Status Map” illustrating the land tenure and current status of various tracts located within the original Uintah Reservation boundaries. The exhibit uses contrasting colors to differentiate the various categories of land discussed above, based upon the Government’s on-going compilation of land tenure data. Orange, for example, indicates current Ute tribal trust lands, while medium blue and light blue identify “opened” lands which were the subject of homestead or “cash entry,” respectively. The disputed categories of non-trust, non-opened lands just discussed (former Indian allotments, etc.), together with existing Indian trust allotments, are aggregated within the map’s purple regions.
Counsel has made it very dear that the exhibit does not represent the final word as to the land tenure of each tract depicted. Nonetheless, the exhibit does offer a fair approximation of what a tract map reflecting the effects of the 1902-1905 Acts as read in Hagen would look like, as modified to account for those lands subsequently restored to the Reservation by congressional or administrative action. Treated as an illustrative rather than a definitive work, the exhibit offers helpful guidance in identifying those lands within the original boundaries of the Uintah Reservation which are affected by the Supreme Court’s Hagen decision.
Ute Indian Tribe, Hagen and the Finality of Litigation
Having defined the point of divergence between Hagen and Ute Indian Tribe, the court turns to the next question presented: which ruling governs as to the parties to this action? Each party argues the merits — and asserts the obviousness — of its preferred answer to that query. Paragraphs 5.A and 5.B of the Pretrial Order frame the question of which ruling governs in these terms:
A. In spite of Hagen, are the State and Local Defendants precluded as a matter of law or equity under the doctrine of collateral estoppel or otherwise, from asserting jurisdiction over the Tribe or its members within the exterior boundaries of the Uin-tah and Ouray Reservation, as those boundaries were defined in Ute Indian Tribe v. State of Utah,773 F.2d 1087 (10th Cir.1985), cert. den.479 U.S. 994 ,107 S.Ct. 596 ,93 L.Ed.2d 596 (1986)?
B. Although the U.S. Supreme Court denied the Tribe leave to intervene as a party in Hagen, is the Supreme Court’s decision binding on the Tribe and its mem *1506 bers in this action under the doctrine of stare decisis or otherwise?
Both of these questions raise important policy concerns involving the finality of a court’s judgment in a litigated dispute and the need for uniformity of federal law throughout our judicial system as well as the supervisory power of both the Supreme Court and the courts of appeals.
(a) Ute Indian Tribe, Res Judicata and Collateral Estoppel
Relying upon the relitigation exception to the Anti-Injunction Act, 28 U.S.C. § 2283 (1994), in seeking further injunctive relief in this proceeding, the Ute Indian Tribe asserts collateral estoppel to be the controlling principle. The Tribe contends that as a party to this litigation, “the State was precluded from relitigating the issue resolved in
Ute Indian Tribe,
including whether Congress intended to diminish the Uintah Valley Reservation when it was opened to non-Indian settlement in 1905, against the Tribe or anyone in privity with the Tribe,” (Brief of Ute Indian Tribe at 8), citing
Montana v. United States,
A fundamental precept of common-law adjudication, embodied in the related doctrines of collateral estoppel and res judica-ta, is that a “right, question or fact distinctly put in issue and directly determined by a court of competent jurisdiction ... cannot be disputed in a subsequent suit between the same parties or their privies _” Southern Pacific R. Co. v. United States,168 U.S. 1 , 48-49[,18 S.Ct. 18 , 27,42 L.Ed. 355 ] (1897).
Application of both doctrines is central to the purpose for which civil courts have been established, the conclusive resolution of disputes within their jurisdictions. Southern Pacific R. Co., supra, at 49[,18 S.Ct. at 27 ]; Hart Steel Co. v. Railroad Supply Co.,244 U.S. 294 , 299[,37 S.Ct. 506 , 507,61 L.Ed. 1148 ] (1917). To preclude parties from contesting matters that they have had a flail and fair opportunity to litigate protects their adversaries from the expense and vexation attending multiple lawsuits, conserves judicial resources, and fosters reliance on judicial action by minimizing the possibility of inconsistent decisions.
The State and Local Defendants respond that “Collateral estoppel is a discretionary doctrine that has no application where there has been an intervening change in legal principles,” (Defendants’ Memorandum at 10), and that “[i]n light of the intervening substantive changes of law since
Ute Indian Tribe,
that decision’s validity for collateral estoppel purposes is questionable at best.”
Id.
at 23-24 (citing
Brock v. Williams Enterprises of Georgia,
Both the Utah Supreme Court in
Perank
and the United States Supreme Court in
Hagen
formally sidestepped the question of the collateral estoppel effect of the Tenth Circuit’s
Ute Indian Tribe
decision, relying largely upon notions of waiver. In
Perank,
the court hastened to point out that “neither Perank, the Department of Justice, nor the Tribe suggests that the Tenth Circuit’s
en banc
decision in
Ute Indian Tribe
has res judicata effect in this case.”
In State of Utah v. Hagen, 52 however, the Utah Court of Appeals had expressly relied on collateral estoppel in finding Ute Indian Tribe controlling on the boundary issue. Nevertheless, the Utah Supreme Court reversed, citing Perank, without further discussion of collateral estoppel. 53
The United States Supreme Court also declined to address the collateral estoppel effect of
Ute Indian Tribe
in
Hagen
on procedural grounds: because counsel initially representing petitioner Hagen had “disavowed the collateral estoppel argument at the petition stage,” the Court saw “no reason to consider an argument that petitioner not only faded to raise but on which he expressly refused to rely in seeking a writ of certiorari, ...”
Hagen,
*1508
The Tribe recounts that after certiorari had been granted in
State of Utah v. Hagen,
it filed a motion to intervene as a petitioner in the proceedings before the United States Supreme Court. The motion received a lukewarm response from the State of Utah and ultimately was denied by the Court, relegating the Tribe once again to the role of an
amicus.
The Tribe now argues that as an
amicus,
it was not bound by the Court’s ruling in
Hagen,
citing
Martin v. Wilks,
The Tribe suggests that the consequences of the Hagen case, when considered in light of its procedural posture, are three-fold: (1) the Ute Indian Tribe is not directly bound by the United States Supreme Court’s judgment in Hagen because the Tribe was never joined as a party to that proceeding; (2) the State of Utah is directly bound by the Tenth Circuit’s en banc ruling in Ute Indian Tribe v. State of Utah, in which the State did participate as a party; and (3) the State of Utah may assert jurisdiction over non-Indians and non-member Indians within those portions of the original Uintah Valley Reservation “that were settled under the homestead and town-site laws pursuant to the 1905 Presidential Proclamation.” Brief of Ute Indian Tribe at 11-13. In other words, the allocation of jurisdiction and governmental power in the Uintah Basin is defined by two inconsistent Reservation boundary overlays — one which allocates power among the named parties to this lawsuit in their dealings with each other (Ute Indian Tribe) and one that applies to everyone else (Hagen).
(b) Collateral Estoppel vs. Stare Decisis
The State and Local Defendants counter the Tribe’s analysis by pointing out that “almost none of the Supreme Court’s reservation disestablishment cases involved the affected tribe as a party, yet those cases dispositively determined the land status of the affected lands one way or the other,” (Defendants’ Memorandum at 8 (footnote omitted)), and that even
Montana v. United States
recognized that collateral estoppel may not apply where there has been a change in the governing law.
Id.
at 10 (citing
Montana,
*1509 Of course, stare decisis, 55 or the rule of precedent, represents another fundamental precept of common-law adjudication:
Stare decisis, briefly stated, makes each judgment a statement of the law, or precedent, binding in future cases before the same court or another court owing obedience to its decisions. It is derived from considerations of stability and equal treatment. Stare decisis has the broadest application of all the relitigation doctrines, in the sense that it applies not only to the parties in the particular case and those in privity with them, but also to strangers to the litigation. It deals only with law, as the facts of each successive case must be determined by the evidence adduced at trial, but to a certain extent, it is bounded by the facts that underly the judgment. As applied in a hierarchical system of courts, the duty of a subordinate court to follow the laws as announced by superior courts is theoretically absolute....
IB James W. Mooee & Jo Desha Luoas, Moore’s Federal Practioe ¶ 0.401, at 1-2 (2d ed. rev. 1993) (footnotes omitted). Stare decisis is fundamentally an institutional rule, and within our judicial system, the rule of precedent primarily serves an institutional function.
[I]t is indisputable that stare decisis is a basic self-governing principle within the Judicial Branch, which is entrusted with the sensitive and difficult task of fashioning and preserving a jurisprudential system that is not based upon ‘an arbitrary discretion.’ The Federalist, No. 78, p. 490 (H. Lodge ed. 1888) (A. Hamilton)_
Patterson v. McLean Credit Union,
Stare decisis
affects parties because it binds the courts before whom they appear to present their claims to follow decisions of the superior courts in the judicial heirarchy. Under this principle, “there is a general presumption that settled issues of law will not be reexamined. This presumption is fortified in the federal system by the three-tier court structure, in which the Supreme Court has a largely discretionary jurisdiction, with inferior courts that owe strict obedience to its decisions.” IB Moore’s Federal Praotioe,
supra,
¶0.402[3. — 1], at 1-50 — 1-51. Under
stare decisis,
“Courts are as a general matter in the business of applying settled principles and precedents of law to the disputes that come to bar.... Where those principles and precedents antedate the event on which the dispute turns, the court merely applies legal rules already decided, ...”
James B. Beam Distilling Co. v. Georgia,
Generally, a question “ ‘distinctly put in issue and directly determined by a court of competent jurisdiction ... cannot be disputed in a subsequent suit between the same parties,”’ as the Supreme Court explained in
Montana,
already quoted above.
We have stressed that “[the] doctrine of res judicata is not a mere matter of practice or procedure inherited from a more technical time than ours. It is a rule of fundamental and substantial justice, ‘of public policy and of private peace,’ which should be cordially regarded and enforced by the courts_” Hart Steel Co. v. Railroad Supply Co.,244 U.S. 294 , 299,37 S.Ct. 506 , 507,61 L.Ed. 1148 (1917).
Id.
at 401,
In this case, however, the State of Utah proved successful in relitigating the Uintah Reservation boundary issue and obtaining a more favorable outcome against other parties in another forum—first before the Utah Supreme Court in Perank, Hagen and Coando, and then before the United States Supreme Court in Hagen. That having occurred, the State and Local Defendants now dispute the initial determination of the issue in Ute Indian Tribe as among these parties. According to the defendants, Hagen sets one fundamental precept of common-law adjudication, stare decisis, on a collision course with another fundamental precept, the finality of a judgment. Stare decisis ensures uniform compliance with the Supreme Court’s determinations of questions of federal law. Finality- ensures the conclusive resolution of disputes among the parties to a lawsuit. The defendants insist that in this context, finality must give way to uniformity.
From the plaintiff Ute Indian Tribe’s standpoint, perhaps the most disquieting aspect of the defendants’ position is the suggestion that the scope and extent of the tribe’s jurisdictional authority—and to some extent its destiny as a governmental entity—may be decisively resolved in proceedings in which the Ute Indian Tribe itself was denied the opportunity to participate as a party, even though the Tribe had already litigated that question and obtained a final judgment deciding the issue—a final judgment ostensibly binding the State and the local governments who participated in that litigation as parties. The Tribe would insist that in this context, uniformity must give way to finality.
In our system of common-law adjudication, when precedent changes the law in some respect, a question may arise as to whom the new rule applies. “[A] decision may be made fully retroactive, applying both to the parties before the court and to all others by and against whom claims may be pressed, consistent with res judicata and procedural barriers such as statutes of limitations”—a practice that “is overwhelmingly the norm,”
(James B. Beam Distilling Co. v. Georgia,
A new precedent normally does not nullify prior judgments binding parties as to elaims or issues already presented, decided, and resolved—as to cases no longer pending. Stare decisis does not operate so as to unravel the intricate tapestry of individual judgments already made final each time a new decision is announced. There are acknowledged limits to a new precedent’s retroactive effect:
Of course, retroactivity in civil cases must be limited by the need for finality, see Chicot County Drainage Dist. v. Baxter State Bank,308 U.S. 371 [,60 S.Ct. 317 ,84 L.Ed. 329 ] (1940); once a suit is barred by res judicata ... a new rule cannot reopen the door already closed. It is true that one might deem the distinction arbitrary, ...: why should someone whose failure has otherwise become final not enjoy the next day’s new rule, from which *1511 victory would otherwise spring? ... Insofar as equality drives us, it might be argued that the new rule should be applied to those who had toiled and failed, but whose claims are now precluded by res judicata; ...
... While those whose claims have been adjudicated may seek equality, a second chance for them could only be purchased at the expense of another principle. “‘Public policy dictates that there be an end of litigation; that those who have contested an issue shall be bound by the result of that contest, and that matters once tried shall be considered forever settled as between the parties.’ ” Federated Department Stores, Inc. v. Moitie,452 U.S. 894 , 401[,101 S.Ct. 2424 , 2429,69 L.Ed.2d 103 ] (1981) (quoting Baldwin v. Iowa State Traveling Men’s Assn.,283 U.S. 522 , 525[,51 S.Ct. 517 , 518,75 L.Ed. 1244 ] (1931)). Finality must thus delimit equality in a temporal sense, and we must accept as a fact that the argument for uniformity loses force over time....
James B. Beam Distilling Co. v. Georgia,
The State of Utah and indeed, the city and county defendants, routinely enjoy the benefit of the constraints imposed on the operation of
stare decisis
by considerations of finality — the idea that after final judgment, “a new rule cannot reopen the door already closed.”
Id.
at 541,
Most recently, following nearly identical principles, the Tenth Circuit concluded that
Hagen
does not apply retroactively to invalidate prior federal convictions involving offense conduct occurring within the limits of the Uintah Reservation as defined in
Ute Indian Tribe.
In
United States v. Cuch,
Judge Stephen Anderson, writing for the Tenth Circuit in
Cuch,
read
Hagen
to this effect: “the Supreme Court held that the state had jurisdiction to prosecute Hagen because Congress had diminished the Uintah Reservation in the early 1900s,” and as a result, “[t]he
Hagen
decision effectively overruled the contrary conclusion reached in the
Ute Indian Tribe
ease, redefined the Reservation boundaries resulting from our earlier decision, and conclusively settled the question.”
Cuch,
The argument that a jurisdictional ruling such as Hagen should not be applied retroactively to cases on collateral review is based on principles of finality and fundamental fairness. As the Court emphasized in Teague v. Lane,489 U.S. 288 , 309[,109 S.Ct. 1060 , 1074,103 L.Ed.2d 334 ] (1989), “the principle of finality ... is essential to the operation of our criminal justice system.” Consequently,
“[t]he interest in leaving concluded litigation in a state of repose ... may quite legitimately be found by those responsible for defining the scope of the writ to outweigh in some, many, or most instances the competing interest in readju-dieating convictions according to all legal standards in effect when a habeas petition is filed.”
Id. at 306[,109 S.Ct. at 1073 ] (quoting Mackey v. United States,401 U.S. 667 , 683,91 S.Ct. 1171 , 1175,28 L.Ed.2d 388 *1512 (1971) (Harlan, J., concurring in judgments in part, dissenting in part)). Hagen was decided after these movants’ convictions became final. Its result “was not dictated by precedent existing at [that] time.” Id. at 301,109 S.Ct. at 1070 (emphasis omitted). Thus, its holding should not provide the basis for collateral attack in these cases. See Gilmore v. Taylor,508 U.S. 333 , 338,113 S.Ct. 2112 , 2116,124 L.Ed.2d 306 (1993); ...
Id. at 991 (footnotes & citations omitted). 57 Clearly, the principle of finality played a decisive role in the court’s reasoning in Cuch:
We emphasize that these are cases on collateral review. The convictions are final. Direct appeal times have passed. Furthermore, the federal courts were the only tribunals available, both pursuant to our decisions and by intergovernmental pact. The state of Utah was barred from prosecuting such crimes from 1976 to 1994 by state stipulations and orders, federal injunctions, and conclusive federal litigation to which it was a party. Case law binding the state, affirmed by this court sitting en banc, with certiorari denied by the Supreme Court, required exclusive federal jurisdiction. ...
Id. at 992 (emphasis added). 58
Without addressing the principle of finality or its effect on stare decisis, the State and Local Defendants argue that a Supreme Court decision finding diminishment of reservation boundaries {e.g., Hagen) may have binding effect under stare decisis even absent the affected tribe’s participation. Indeed, of the six Supreme Court reservation boundary cases cited by the defendants, only Rosebud Sioux Tribe v. Kneip joined both tribal and state governments in the same litigation. Defendants’ Memorandum at 8-9 & nn. 6-7. 59
At the same time, however, none of the referenced cases relitigated a reservation boundary issue after it had already been decided in prior litigation directly involving the affected tribal, state, and local govem- *1513 ments as parties. 60 With the exception of the Rosebud Sioux Tribe, none of the affected tribes in Solem, DeCoteau, Mattz, Seymour, or Pelican appear to have taken affirmative steps to obtain declaratory relief concerning reservation boundaries before the Supreme Court ruled. Here, the Ute Indian Tribe plainly had obtained such affirmative relief in advance of Hagen.
While the Tenth Circuit reads
Hagen
as “effectively overrul[ing] the contrary conclusion reached in the
Ute Indian Tribe
case, redefin[ing] the Reservation boundaries resulting from our earlier decision, and conclusively settl[ing] the question,”
(Cuch,
The case law cited by the Utah Supreme Court in footnote 3 of
Perank
as suggesting that the State of Utah was
not
collaterally estopped from relitigating the boundary issue as against
different
parties in
Perank, Hagen
and
Coando,
seems to state as firmly that the State
is
collaterally estopped from relitigating the boundary issue as against the Ute Indian Tribe. In
United States v. Mendoza,
At least as to parties with whom the State has litigated and lost, the State is not free to “litigat[e] the same issue arising under virtually identical facts against the same party” over and over again until it obtains a more favorable result.
61
While the
*1514
res judicata and collateral estoppel doctrines do not carry the compelling force of a constitutional requirement, the common wisdom that litigants are rightfully entitled to have but
one
“bite at the apple” reflects the important societal values intrinsic in the
finality
of court judgments, even in instances of litigation among competing sovereigns.
62
As the United State Supreme Court observed in
Montana v. United States
(a case involving litigation between sovereigns), the doctrines of res judicata and collateral estoppel remain “central to the purpose for which civil courts have been established,
the conclusive resolution of disputes within their jurisdictions.”
(c) Collateral Estoppel and Reservation Boundary Litigation
Some guidance as to the role of collateral estoppel in reservation boundary litigation may be gleaned from
White Earth Band of Chippewa Indians v. Alexander,
In
State of Minnesota v. Clark,
On appeal from the district court’s preclusion order, the state, county, and individual parties asserted that a significant change in the law rendered collateral estoppel inapplicable to the disestablishment issue and further, that “the collateral estoppel bar should not be applied because the purposes of the doctrine are not met in this ease.”
Id.
at 1134. The Eighth Circuit rejected both arguments, declaring that “further inquiry into the status of the thirty-two township area would result in needless litigation.”
Id.
at 1135 (citing
Parklane Hosiery Co. v. Shore,
In the present case the parties agree that the technical requirements of collateral estoppel are satisfied pursuant to the four-part analysis of Oldham v. Pritchett,599 F.2d 274 (8th Cir.1979). According to *1515 the Oldham court, collateral estoppel is appropriate where:
(1) the issue ... [is] ... identical to one in a prior adjudication; (2) there was a final judgment on the merits; (3) the estopped party was a party or in privy with a party to the prior adjudication; and (4) the estopped party was given a full and fair opportunity to be heard on the adjudicated issue.
Id. at 279.
... Assuming arguendo that the disestablishment issue is a question of law, the “legal change” exception to collateral es-toppel is not available here because the court in Clark had DeCoteau, Rosebud, and United States v. Minnesota[,466 F.Supp. 1382 (D.C.Minn.1979) ] before it when it found that the Nelson Act had not disestablished the thirty-two townships. The Clark court applied the correct standard to resolve the disestablishment issue ....
... [RJeopening litigation of this particular disestablishment issue would not minimize the possibility of differing adjudications on disestablishment issues. The Nelson Act treated various bands or tribes and reservations differently, ... and contemplated that a separate agreement would be negotiated with individual bands or tribes pursuant to the Act.... When a court has determined disestablishment of a given reservation in its particular historical and factual setting, prevention of inconsistent adjudication becomes desirable insofar as it fosters reliance on judicial decision making.
As
White Earth Band
demonstrates, collateral estoppel may operate to preclude relitigation of an Indian reservation boundary issue by state and local governments where a court has already determined the issue “in its particular historical and factual setting” and where those entities “had a full and fair opportunity to litigate their claims.” The policies underpinning collateral estoppel — “ ‘protecting litigants from the burden of relitigating an identical issue with the same party ... and ... preventing needless litigation’”
(id.
at 1133 (quoting
Park-lane Hosiery,
(d) Collateral Estoppel and “Controlling Legal Principles”
The State and Local Defendants assert in this case that the doctrine of collateral estop-pel “has no application where there has been an intervening change in legal principles.” Defendants’ Memorandum at 10. Yet cases such as
Stauffer Chemical
appear to draw a distinction between the announcement of general rules of law — “controlling legal principles” — and more particularized findings applying legal rules to specific facts. In
Montana v. United States,
the Court rejected the Government’s position that “controlling legal principles” had changed, excepting that litigation from the collateral estoppel effect of a prior Montana Supreme Court ruling; in fact, the Government’s own pleadings in that case “suggested] the absence of any major doctrinal shifts since the Montana Supreme Court’s decision.”
*1516 Because the factual and legal context in which the issues of this case arise has not materially altered since [Peter Kiewit Sons’ Co. v. State Bd. of Equalization] Kiewit I, [161 Mont. 140 ,505 P.2d 102 (1973),] normal rules of preclusion should operate to reheve the parties of “redundant litigation [over] the identical question of the statute’s application to the taxpayer’s status.” Taxi v. Western Maryland R. Co.,289 U.S. 620 , 624[,53 S.Ct. 706 , 707,77 L.Ed. 1405 ] (1933)....
Id.
at 162,
Stauffer Chemical
also discussed the “unmixed question of law” exception, admitting “uncertainty as to its application.”
“[w]hen the claims in two separate actions between the same parties are the same or are closely related ... it is not ordinarily necessary to characterize an issue as one of fact or of law for purposes of issue preclusion.... In such a case, it is unfair to the winning party and an unnecessary burden on the courts to allow repeated litigation of the same issue in what is essentially the same controversy, even if the issue is regarded as one of ‘law’.” Restatement (Second) of Judgments § 28, Comment b (1982).
Id. (footnote omitted).
In the context of this litigation,
Hagen
does not purport to alter or depart from the “fairly clean analytical structure” established by “[o]ur precedents in the area” — the three-factor approach articulated in
Solem v. Bartlett,
Be that as it may, this court need not determine Ute Indian Tribe’s “validity for collateral estoppel purposes” (Defendants’ Memorandum at 24) in this proceeding. Here, the question of Ute Indian Tribe’s finality or conelusiveness does not arise in a collateral proceeding, to be decided according to the doctrine of collateral estoppel. It arises from a much more immediate and fundamental source.
The “Mandate Rule”
“Law of the case” rules have developed “to maintain consistency and avoid reconsideration of matters once decided during the course of a single continuing lawsuit.” 18 Chaeles A. Wright, Arthur R. Miller & Edward H. Cooper, Federal Practice and PROCEDURES § 4478, at 788 (1981).
Of these rules, the most compelling is the mandate rule. This fundamental rule binds every court to honor rulings in the case by superior courts. As the Supreme Court has stated, “In its earliest days this Court consistently held that an inferior court has no power or authority to deviate from the mandate issued by an appellate court.” Briggs v. Pennsylvania R. Co.,334 U.S. 304 , 306,68 S.Ct. 1039 , 1040,92 L.Ed. 1403 (1948). The statutory authority for the power of the appellate courts dates from the first Judiciary Act of 1789 and is now found in 28 U.S.C. § 2106.
Casey v. Planned Parenthood of Southeastern Pennsylvania,
Whatever was before the [superior] Court, and is disposed of, is considered as finally settled. The inferior court is bound by the decree as the law of the case; and must carry it into execution, according to the mandate. They cannot vary it, or examine it for any other purpose than execution; nor give any other or further relief; nor review it upon any matter decided on appeal, for error apparent; nor intermeddle with it, further than to settle so much as has been remanded.
Sibbald v. United States,
It is axiomatic that on remand for further proceedings after decision by an appellate court, the trial court must proceed in accordance with the mandate and the law of the case as established on appeal.
A trial court must implement both the letter and spirit of the mandate, taking into account the appellate court’s opinion and the circumstances it embraces.
Casey v. Planned Parenthood of Southeastern Pennsylvania,
In this Circuit, “The rule is well established that a district court must comply strictly with the mandate rendered by the reviewing court.
See Laffey v. Northwest Airlines, Inc.,
The “law of the case” doctrine requires every court to follow the decisions of courts that are higher in the judicial hierarchy. Mason v. Texaco, Inc.,948 F.2d 1546 , 1553 (10th Cir.1991), cert. denied, [504] U.S. [910],112 S.Ct. 1941 ,118 L.Ed.2d 547 (1992); Heathcoat v. Potts,905 F.2d 367 , 370 (11th Cir.1990); see generally 18 Charles A. Wright, Arthur R. Miller, & Edward H. Cooper, Federal Practice and Procedure § 4478 (1993). The doctrine applies to issues previously decided, Quern v. Jordan,440 U.S. 332 , 347, n. 18,99 S.Ct. 1139 , 1148, n. 18,59 L.Ed.2d 358 (1979), either explicitly or by necessary implication. Heathcoat,905 F.2d at 370 ; Cherokee Nation v. Oklahoma,461 F.2d 674 , 678 (10th Cir.), cert. denied,409 U.S. 1039 ,93 S.Ct. 521 ,34 L.Ed.2d 489 (1972).
Guidry v. Sheet Metal Workers Intern. Ass’n, Local No. 9,
In addressing the scope and effect of the “mandate rule,” one must be careful to distinguish the principle from the terminolo *1518 gy used to identify it. “Law of the ease terminology is often employed to express the principle that inferior tribunals are bound to honor the mandate of superior courts within a single judicial system_” 18 Charles A. Wright, Arthur R. Miller & Edward H. Cooper, Federal Practice and Procedure § 4478, at 792, 793 (1981) (footnote omitted). 65 Yet the “law of the case” established by a higher court’s mandate does not operate according to the same principles as the “law of the case” reflected in a court’s own rulings.
It is often stated that the decision of an appellate court on an issue of law becomes the law of the case on remand. This application of the doctrine lacks completely the flexibility of the same doctrine as applied to the law decided by the trial court prior to judgment. In this situation the district court owes obedience to the mandate of the Supreme Court or the court of appeals and must carry it into effect according to its terms. It can be compelled to do so by mandamus, or by a second appeal.
IB JaMes W. Moore & Jo Desha Lucas, Moore’s Federal Practice ¶0.404[10], at 11-58 — 11-60 (2d ed. rev. 1993) (emphasis added & footnotes omitted). That a district court may alter or abandon its own prior ruling, or “law of the case,” does not mean that a district court may alter or ignore an appellate court mandate — even where the reasons for doing so are equally compelling— simply because the mandate is also termed the “law of the case.” The principles and policies involved differ, regardless of the sameness of their labeling.
In the context of an appellate court mandate,
There is some uncertainty whether a lower court must seek permission from an appellate court before departing from the mandate on the ground that intervening changes in the law require re-examination of issues actually decided, but this is more a problem of sound relationships within the judicial hierarchy than a problem of stability within a single proceeding.
18 Charles A. Wright, Arthur R. Miller
&
Edward H. Cooper, Federal PRACTICE AND PROCEDURE § 4478, at 793-94 (1981) (footnote omitted). The commentary cites to
Crane Co. v. American Standard, Inc.,
In
Higgins,
the Second Circuit observed that “feeling bound by the mandate of this court” on remand following a prior appeal, the district court had declined — “rightly, as we think” — to consider effect of
Kline v. Burke Constr. Co.,
[I]t is now well settled that the “law of the case” does not rigidly bind a court to its former decisions, but is only addressed to its good sense.... There can be surely be no greater reason for changing our views than because the Supreme Court has directly ruled upon the precise point in the interim.
Id. at 898 (citations omitted). 66
Higgins highlights the critical difference in posture between the court of appeals *1519 and the district court in dealing with the effect on a mandate of a later Supreme Court decision: what may be deemed reconsideration of an earlier ruling — “changing our views” — at the court of appeals level may well be deemed noncompliance if undertaken at the district court level. 67 The difference is one of power.
In Rankin v. Atlantic Maritime Co., the question of the effect of a subsequent Supreme Court decision upon a prior court of appeals mandate was raised before the district court, but only after a party had sought and obtained leave at the court of appeals level for the district court to consider the effect of that more recent Supreme Court ruling:
While awaiting trial [following remand] the Supreme Court on May 25,1953 decided Lauritzen v. Larsen, [345 U.S. 571 ,73 S.Ct. 921 ,97 L.Ed. 1254 ], whereupon defendant sought and obtained an order in the Court of Appeals granting leave to this court to entertain “a certain motion in this cause”. Defendant now moves to dismiss. ...
Plaintiff urges that the doctrine of res judicata precludes decision of the instant motion. The ‘law of the ease’ obstacle, which would otherwise have precluded a decision of this motion, was removed by the order of the Court of Appeals granting permission to this court to entertain it. I take such order to mean that the Court of Appeals intended that the motion be decided on the merits with the guidance of the Larsen decision. Otherwise, the appellate court’s entertainment of that motion would have been a futile gesture.
The “law of the case” as reflected in a court’s own rulings involves a question of practice, not one of power. “A court that makes a decision has the
power
to reconsider it, so long as the case is within its jurisdiction.” IB Moore’s Federal PRACTICE ¶0.404[1], at II-2 (emphasis in original).
See, e.g., Mason v. Texaco, Inc.,
Exceptions to the Mandate Rule?
The command given by the mandate rule seems clear: follow the mandate. Nevertheless, some courts relying on “law of the case” terminology “have recognized a few exceptions which might allow a matter to be revisited.”
They are (1) the availability of new evidence, (2) an intervening change of controlling law, or (3) the need to correct a clear error or prevent manifest injustice. E.g., In re Progressive Farmers Ass’n,829 F.2d 651 , 655 (8th Cir.1987) (on remand lower court required to follow appellate court decision unless new evidence introduced or decision is clearly erroneous and works manifest injustice); cited in Bethea v. Levi Strauss,916 F.2d 453 , 457 (8th Cir.1990).
Federated Rural Electric Insurance Corp. v. Arkansas Electric Cooperatives, Inc.,
usually referred to as the “law of the case” doctrine, has three exceptions that allow a federal district court to act contrary to the appellate decision: (1) when new and substantially different evidence is presented subsequent to the appeal; (2) when controlling authority has been rendered, contrary to the law of the appellate decision; (3) when the prior decision was clearly erroneous and would work a manifest injustice if implemented. Stanley v. United States,786 F.2d 1490 , 1498 (11th Cir.1986).
The Eleventh Circuit has also approved a district court’s departure from its mandate in light of an intervening change in controlling state law.
Ad-Vantage Telephone Directory Consultants v. GTE Directories Corp.,
In a prior appeal in the
Colorado Interstate Gas
case, (
A suit is deemed “ ‘pending until the appeal is disposed of,’ and until disposition any judgment appealed from it is still sub judice.” de Rodulfa v. United States,461 F.2d 1240 , 1253 (D.C.Cir.) (quoting Mackenzie v. A. Engelhard & Sons Co.,266 U.S. 131 , 142-43,45 S.Ct. 68 ,69 L.Ed. 205 (1924)), cert. denied,409 U.S. 949 ,93 S.Ct. 270 ,34 L.Ed.2d 220 (1972); Nicastro v. United States,206 F.2d 89 , 92 (10th Cir.1953). Following appellate disposition, however, the judgment is no longer subject to district court amendment beyond the ministerial dictates of the mandate, which encompasses the full scope of jurisdictional power granted to the district court on remand.
... [W]e conclude that the question of which state law properly applied was no *1521 longer sub judice after this court disposed of the appeal in CIGII and the time for a petition for certiorari had passed.
Colorado Interstate Gas Co. v. Natural Gas Pipeline Co. of America,
Over thirty years ago, this court held in Collins that “[a] change in the law or in the judicial view of an established rule of law is not such an extraordinary circumstance which justifies relief’ under Rule 60(b). Id. at 839_ The Collins holding is still the rule in this circuit. See Van Skiver v. United States,952 F.2d 1241 , 1244-45 (10th Cir.1991).
Id.
at 1535 (quoting
Collins v. City of Wichita,
The Tenth Circuit Mandate in Ute Indian Tribe Remains in Force
The Tenth Circuit’s mandate in
Ute Indian Tribe,
received and docketed by this court on December 9, 1986,
70
directs that “the cause is remanded to the United States District Court for the District of Utah for further proceedings in accordance with the opinion of this Court,” referring to the Tenth Circuit’s
en banc
ruling. Since that ruling decided the boundary question on the merits, leaving no remaining issues to be addressed by this court,
Ute Indian Tribe
was no longer
sub
judice
71
after December 9,1986. The “further proceedings” contemplated by the mandate amount simply to the enforcement of the court of appeals’ judgment.
See Gabaldon v. Westland Development Co., Inc.,
This court has identified no reported Tenth Circuit case permitting a district court within the Tenth Circuit to ignore the court of appeals’ mandate because in the district court’s mind, its judgment is inconsistent with subsequent Supreme Court precedent. 72 The court has found one reported suggestion that a district court may depart from a Tenth Circuit mandate in light of new and different evidence, but that suggestion was made in the context of a retrial after remand, while the matter still remained sub judice:
In Delano v. Kitch,663 F.2d 990 (10th Cir.1981), we held that in conducting a retrial, the trial court should follow rulings of law previously made by the court of appeals. That mandate was faithfully fol *1522 lowed by the trial court in this case. Under the “law of the ease” doctrine, the district court may not deviate from the appellate court’s mandate; however, the district court may reconsider an issue and disregard the appellate court mandate if the subsequent trial produces substantially different evidence. Lindsey v. American Cast Iron Pipe Co.,810 F.2d 1094 (11th Cir.1987).
Mason v. Texaco, Inc.,
The court of appeals expects district courts to comply with its mandates even where the Supreme Court has indicated that a party may be entitled to relief beyond that afforded by the mandate. In
Citizen Band of Potawatomi Indian Tribe of Oklahoma v. Oklahoma Tax Comm’n,
Nothing in the District Court’s order on remand precludes the Tax Commission from pursuing the remedies that the Supreme Court has indicated are available to it.
The district court precisely followed our remand order which instructed it to dismiss the Tax Commission’s counterclaim and enter an injunction prohibiting the Tax Commission from enforcing the challenged assessment for previously uncollected taxes against the Tribe_ In going no further, the district court recognized its lack of discretion when confronted with a specific mandate by this court. See Rutherford v. United States,806 F.2d 1455 , 1460 (10th Cir.1986) (“district court is ... bound by the appellate court mandate”) ....
This court does not sit in review of judgments of the court of appeals. As tempting as that prospect may sometimes be, Congress has espoused the opposite approach since creating the circuit courts of appeal in 1891. 73 and forming the Tenth Circuit in 1929. 74 a court renamed the United States Court of Appeals for the Tenth Circuit in 1948. See ChaRles A. Wright, Law of FedERAL Courts § 3, at 10 (5th ed. 1994). Given the institutional structure as it exists, with its corresponding allocation of power (see 28 U.S.C. § 2106), this court must abide by the court of appeals’ mandates unless and until it receives different instructions from the court of appeals. While “[l]aw of the case principles do ‘not bar a district court from acting unless an appellate decision has issued on the merits of the claim sought to be preclud *1523 ed,” 75 here the Tenth Circuit plainly determined the diminishment issue by applying the Solem analysis to the Uintah Reservation in its particular historical and factual setting. Hagen applied the Solem analysis to the same setting, reaching a different result. Both decisions were rendered on the merits.
This court may not substitute its own view for that of the appellate court in either instance.
Recall of the Mandate
Mechanisms do exist for revisiting a court of appeals’ mandate where a second look seems warranted. As explained by one well-known treatise:
If circumstances arise that cast doubt on the correctness of the law of the ease as established on appeal, arguments in support of departure must be addressed to the appellate court, either in a petition for rehearing, or if the time for filing a motion for rehearing has passed, by motion for recall of the mandate, or on appeal from the judgment rendered after completion of the proceedings for which the case was remanded.
IB James W. MooRE
&
Jo Desha Lucas, MooRe’s Federal Practice ¶0.404[10], at 11-60 — 11-61 (2d ed. rev. 1993) (footnotes omitted).
76
The Tenth Circuit acknowledges that a party may “seek ... to have this court recall its mandate for any correction it thought was necessary to the district court’s judgment.”
Colorado Interstate Gas Co. v. Natural Gas Pipeline Co. of America,
The Navajo Nation sought reconsideration of the reservation disestablishment issue in Yazzie using precisely this same procedural device: “In conjunction with the instant appeal, the Navajo Nation filed a motion pursuant to Fed.R.App.P. 27 asking this court to partially recall its earlier mandate in Pitts-burg & Midway
The Tribe asks us not to apply the doctrine of law of the case so that the reservation diminishment issue decided there may be reexamined. The law of the case is a judicial doctrine designed to promote deci-sional finality. Once a court decides an issue, the doctrine comes into play to prevent the re-litigation of that issue in subsequent proceedings in the same case. Arizona v. California,460 U.S. 605 , 618-19,103 S.Ct. 1382 , 1391,75 L.Ed.2d 318 (1983); United States v. Monsisvais,946 F.2d 114 , 115-16 (10th Cir.1991). The Navajo Nation is correct that unlike the doctrines of res judicata or collateral estoppel, “the law of the case doctrine has long been considered only a rule of practice in the courts and not a limit on their power.” Id. at 116.
Nevertheless, the circumstances justifying a departure from the law of the case are narrow. The most widely quoted statement is by former Tenth Circuit Chief Judge Orie Phillips, sitting in another circuit, that the law of the case must be followed “unless the evidence on a subsequent trial was substantially different, controlling authority has since made a contrary decision of the law applicable to such issues, or the decision was clearly erroneous and would work a manifest injustice.”
Id. at 117 (quoting White v. Murtha,377 F.2d 428 , 432 (5th Cir.1967); see also Major v. Benton,647 F.2d 110 , 112 (10th Cir.1981)). We are persuaded that none of these three circumstances exist in the instant ease, and therefore deny the Tribe’s motion.
*1524
Pittsburg & Midway Coal Mining Co. v. Watchman,
The Tenth Circuit’s current reading of
Ha-gen,
articulated in
United States v. Cuch,
Resolution of the Questions Now Presented
A motion to recall the mandate may be filed even after the time to pursue other appellate procedures has expired.
See United States v. Winterhalder,
Nor for that matter have the parties made any visible strides in the direction of an agreed long-term resolution of the jurisdictional issues remaining after both Ute Indian Tribe and Hagen.
Were these parties the only constituents of the necessary jurisdictional mix, this court might well be inclined simply to proceed with specific enforcement of the Ute Indian Tribe mandate notwithstanding the State and Local Defendants’ Hagen-based objections. However, the Tenth Circuit’s en banc ruling in Ute Indian Tribe does not reach one party indispensable to a practical allocation of jurisdiction within “Indian country”: the United States.
If the United States abides by the Supreme Court’s decision in
Hagen
— as one normally would expect the United States to do — it must decline to exercise jurisdiction over offenses involving Indians committed within the lands “opened” in 1905. At the same time,
Ute Indian Tribe
would constrain the State and local authorities from exercising jurisdiction over such offenses involving Ute tribal members occurring within that same area. While the Tribe may exert its own jurisdiction pursuant to
Ute Indian Tribe,
Congress has limited the powers of Indian tribes to punish serious offenses.
See
25 U.S.C.A. § 1302(7) (Supp.1995) (tribes shall not impose punishment “greater than imprisonment for a term of one year and a fine of $5,000, or both”);
cf. United States v. Wheeler,
For this reason, this court has determined forthwith to raise the question of the continuing force of Ute Indian Tribe in light of Hagen v. Utah with the court of appeals. While this court sua sponte can neither return the Tenth Circuit’s mandate nor compel its recall, it seems wholly appropriate under these circumstances to request further instructions from the court of appeals concerning the proper conduct of “further proceedings in accordance with the opinion of this Court” as set forth in the mandate received on December 9,1986.
A Request for Further Instructions
Such a request is not entirely without precedent. Section 1254(2) of the Judicial Code provides that cases in the court of appeals may be reviewed “[b]y certification at any time by a court of appeals of any question of law in any civil or criminal cases as to which instructions are desired,” and upon such certification, “the Supreme Court may give binding instructions or require the entire record to be sent up for decision of the entire matter in controversy.” 28 U.S.C. § 1254(2) (1994). This provision originated in the Act of April 29,1802, ch. 31, § 6, 2 Stat. 156,159, and has been adapted over the years as the courts of appeals themselves have evolved. See 17 Chaeles A. Wright, Arthur R. Miller & Edward H. Cooper, Federal PRACTICE AND PROCEDURE § 4038 (2d ed. 1988). The certification mechanism contemplates that a court “may find great difficulty in resolving a question of law, and may believe the question is of such general importance that it should be resolved by the Supreme Court.” Id. § 4038, at 105. A “somewhat comparable provision for interlocutory review in the courts of appeals,” (id. § 4038, at 105 & n. 14), is found in 28 U.S.C. § 1292(b). 80
The analysis of the mandate rule convinces this court that “a lower court must seek permission from an appellate court before departing from the mandate on the ground that intervening changes in the law require re-examination of issues actually decided,” (18 Charles A. Wright, Arthur R. Miller & Edward H. Cooper, Federal Practice and Procedure § 4478, at 793 (1981)), and this court’s request for further instructions is expressly made with that understanding.
Standard Oil Co. v. United States,
Under the law the district court retains the power to act on a Rule 60(b) motion after this Court has resolved a matter upon appeal, and there is no necessity that a petition requesting permission to exercise such authority be filed with this Court. Standard Oil Co. of California v. United States,429 U.S. 17 ,97 S.Ct. 31 ,50 L.Ed.2d 21 (1976); Wilkin v. Sunbeam Corporation,405 F.2d 165 (10th Cir.1968).
Prop-Jets, Inc. v. Chandler,
Even after
Standard Oil,
“[o]f course the district judge is not free to flout the decision of the appellate court as far as it goes, ...” 11 CHARLES AlaN Wright, Arthur R. Miller & Mary Kay Kane, Federal Praotioe and Procedure § 2878, at 439 (2d ed. 1995) (footnote omitted). Although
Standard Oil
confirms a district court’s jurisdiction under Rule 60(b) to consider “a material change of circumstances or newly discovered evidence” not considered on appeal — including instances in which the “change of circumstances” is purely legal — the courts of appeal generally have declined to treat a post-appeal “change in decisional law” as grounds for Rule 60(b)(6) relief from a judgment in a matter no longer
sub judice,
even “in federal cases where the Supreme Court has changed the applicable rule of law.”
DeWeerth v. Baldinger,
As a corollary to this [mandate] rule, we are convinced that Rule 60(b)(6) cannot be properly used to alter the substantive content of a judgment once it has been affirmed on appeal except in extraordinary situations. To hold otherwise would be to permit a district court to violate our mandate that a judgment be entered “in accordance with the opinion of this court.”
The State and Local Defendants have not framed, briefed, or argued their pending motion as a Rule 60(b) motion. Even if they had, however, cases such as Colorado Interstate Gas suggest that any “change in deci-sional law” reflected in Hagen cannot suffice as grounds for Rule 60(b) relief because the Ute Indian Tribe case was no longer sub judice — it “was already over” regarding the merits of the diminishment issue. 83
*1527 Simply put, a Rule 60(b) motion made in this setting would appear futile.
These circumstances present “a problem of sound relationships within the judicial hierarchy,” (18 Chables A. Wright, Arthur R. Miller & Edward H. Cooper, Federal PraCtice AND Procedure § 4478 at 793-794), and raise a question concerning enforcement of the court of appeals’ judgment with respect to these parties that evades simple resolution. As a question of public law and the allocation of power among governments, it appears to be of such “general importance” that it should be resolved by the United States Court of Appeals for the Tenth Circuit. In light of the identified area of conflict between the court of appeals’ judgment in Ute Indian Tribe and the Supreme Court’s decision in the Hagen case, and the practical consequences which flow from that conflict, further instructions from the court of appeals would clearly be helpful, and would certainly be welcomed.
The court of appeals may also recall its mandate on its own motion, and sometimes it has done so.
See, e.g., Pepcol Mfg. Co. v. Commissioner of Internal Revenue,
While a mandate once issued by our court will not be recalled except for good cause shown, an appellate court has power to set aside at any time a mandate that was procured by fraud or act to prevent an injustice, or to preserve the integrity of the judicial process. Greater Boston Television Corp. v. F.C.C.,463 F.2d 268 (D.C.Cir.1971), cert. denied406 U.S. 950 ,92 S.Ct. 2042 ,32 L.Ed.2d 338 (1972). And see discussion, American Iron and Steel Institute v. E.P.A,560 F.2d 589 (3rd Cir.1977); ce rt. denied,435 U.S. 914 ,98 S.Ct. 1467 ,55 L.Ed.2d 505 (1978).
Id.
at 671 (emphasis in original) (citing
Clarke v. Boysen,
The “Dependent Indian Communities” Question — 18 U.S.C. § 1151(b)
Justice Stewart overlooked one practical consequence of that court’s finding of reservation diminishment in Perank: the question of the applicability of 18 U.S.C. § 1151(b), which provides that “all dependent Indian communities within the borders of the United States whether within the original or subsequently acquired territory thereof, and whether within or without the limits of a state” are within “Indian country” within the meaning of the statute. A finding that My-ton, Utah comprises a “dependent Indian community” would once again locate the town within “Indian country,” with all of the jurisdictional consequences that flow from that status. Hagen's conclusion that “the town of Myton ... is not Indian country” likewise appears to be unexamined concerning the applicability of § 1151(b), and consequently may have been somewhat premature.
In the
Yazzie
case, cited by both
Hagen
and
Perank,
the Tenth Circuit held that the boundaries of the 1907-08 Addition to the Navajo Reservation were disestablished through restoration of unallotted lands to the public domain, but remanded the case “for consideration of whether some or all of P & M’s South McKinley Mine is within Indian country under 18 U.S.C. §§ 1151(b) or (c)_”
The Tenth Circuit did not address the applicability of 18 U.S.C. § 1151(b) in Ute Indian Tribe because the status of the communities involved as “Indian country” was subsumed in its determination that the Uin-tah Valley Reservation had not been diminished. Once a different conclusion is reached on the § 1151(a) reservation boundary issue, questions immediately arise as to the application of the balance of the statute — § 1151(b), which addresses “dependent Indian communities,” and possibly § 1151(c), which deems “all Indian allotments, the Indian titles to which have not been extinguished” to be within “Indian country.”
While the State and Local Defendants do not dispute that Indian allotments within the original boundaries of the Uintah Valley Reservation remain “Indian country” under § 1151(c) even after Hagen, a determination that Myton, Randlett, Duchesne, or other towns are “dependent Indian communities” under § 1151(b) would extend federal and tribal jurisdiction to non-trust, or fee lands located within those towns.
The parties to this proceeding have acknowledged the § 1151(b) question to be a factual issue not yet ripe for determination by this court on the present record.
See, e.g.,
Transcript of Hearing, dated September 12, 1994, at 55:6-18 (Mr. Andrews). This issue must therefore await the court of appeals’ disposition of this court’s more immediate request. Should the § 1151(b) issue become ripe for determination thereafter, the matter will likely be set down for an eviden-tiary hearing consistent with the analysis detailed in,
e.g., Pittsburg & Midway Coal Mining Co. v. Watchman,
If nothing else, consideration of the implications of § 1151(b) will serve to remind everyone that Indian tribes are comprised of communities having “contemporary demographics” of their own, and that the Indians, too, are “people living in the area.” 85 See, e.g., VERONICA E. Velarde Tiller, ed., Tiller’s Guide to Indian Country 573-574 (1996).
Other Issues: Uncompahgre, the Forest Withdrawals, etc.
As noted above, this court need not and does not reach any question concerning the present status of the Uncompahgre Reservation, or of those lands withdrawn from the Uintah Reservation for national forest purposes; the status of both areas was determined on the merits in
Ute Indian Tribe
and neither matter was raised as an issue before the Supreme Court in the
Hagen
case.
State of Utah v. Perank
expressly did not consider the “Indian country” status of either area, (
Pending disposition of this court’s request for further instructions from the court of appeals, this court also .defers any dispositive ruling on the Tribe’s renewed motion for permanent injunctive relief as well as the State and Local Defendants’ motion to dissolve the existing Orders allocating jurisdiction among these parties pursuant to their earlier Stipulation and to dismiss the Tribe’s renewed motion for injunctive relief, (see Pretrial Order at 15 ¶¶ 5.D) except to the extent that the Order set forth herein further clarifies the existing Order as previously modified. See page 1531, infra.
The court also chooses to defer the disposition of several other fact-sensitive issues enumerated in the Pretrial Order, such as the status of unpatented tracts within or the subsurface estate underlying, e.g., Myton, Utah, in favor of consideration at a later time. See Pretrial Order at 14 ¶¶ 4.B, 4.C, 15 ¶ 5.E.
Summary
According to the United States Supreme Court’s decision in
Hagen v. Utah,
Nonetheless, according to both Hagen and State of Utah v. Perank, 87 the Uintah Reservation, though diminished, continued to exist after 1905 as to the lands allotted to the Indians and the lands reserved for tribal use. Though diminished, the Reservation continued to have discrete, identifiable boundaries, or “limits” within the meaning of 18 U.S.C. § 1151(a) (1994). Though diminished, “there was no question but that the land within the diminished reservation retained its status as Indian country.” 88
The Uintah Reservation boundaries were subsequently enlarged to include areas returned or added through congressional and administrative action. Those reservation lands not “opened” in 1905, together with those areas since restored or added by congressional and administrative action, comprise the current Uintah Reservation. Non-trust, or fee lands representing former Indian trust allotments, lands distributed to Mixed-Blood Utes under the Ute Partition Act, or lands exchanged out of trust status by the Tribe located within the boundaries of the Uintah Reservation remain within “Indian country” within the meaning of 18 U.S.C. § 1151(a) (1994), consistent with both Hagen and Ute Indian Tribe. The State and Local Defendants’ assertion that “when lands leave trust status, they no longer fit within any category of 18 U.S.C. § 1151, and so are no longer Indian country,” contradicts the express language of 18 U.S.C. § 1151(a) and finds no support in the pertinent case law; under recent Supreme Court decisions, Indian tribal trust lands are embraced “within the limits” of an Indian reservation for purposes of § 1151(a), and therefore remain within Indian country “notwithstanding the issuance of any patent,” i.e., any change in title or ownership.
Sound, well-settled considerations of finality presently bind these parties to the Tenth Circuit’s judgment in Ute Indian Tribe defining jurisdiction over the “opened” lands. In an opinion for the Court announced four days before this court’s initial ruling in this case in 1981, Justice Rehnquist wrote: “This Court has long recognized that ‘[pjublic policy dictates that there be an end of litigation; that those who have contested an issue shall be bound by the result of the contest, and that matters once tried shall be considered forever settled as between the parties.’ ” 89 The rule of finality “ ‘is a rule of fundamental and substantial justice, “of public policy and private peace,” which should be cordially regarded and enforced by the courts....’” 90
The mandate of the United States Court of Appeals for the Tenth Circuit in
Ute Indian Tribe v. State of Utah,
received by this court on December 9, 1986, remanded this case to this court “for further proceedings in accordance with the opinion of this Court,” referring to the court of appeals’
en banc
ruling reported at
Pursuant to the court of appeals’ mandate, conducting “further proceedings in accordance with the opinion” in Ute Indian Tribe requires continuing enforcement of the orders previously entered by this court preserving the jurisdictional status quo consistent with that ruling.
This court further concludes that the continued enforcement of Ute Indian Tribe, to the extent that ruling conflicts with the contrary determination in Hagen v. Utah, raises a question of public law and the allocation of power among federal, tribal, state and local governments which evades simple resolution, one that is a “controlling question of law” having “general importance.” For that reason, this court shall request further instructions from the United States Court of Appeals for the Tenth Circuit concerning how best to proceed in accordance with that court’s existing mandate in light of Hagen v. Utah.
This court does not reach any question concerning the determination in Ute Indian Tribe of the present status of the Un-compahgre Reservation, or of those lands withdrawn from the Uintah Reservation for national forest purposes as there exists no direct conflict between Ute Indian Tribe and Hagan, Perank, or any other reported case concerning those lands. The question of whether Myton, Utah, or other communities in that area constitute “dependent Indian communities” under 18 U.S.C. § 1151(b) (1994), was not addressed in either Ute Indian Tribe or Hagen v. Utah, and is not ripe for determination on the present record. For that reason, consideration of that question as well as others shall be deferred to a later date.
Afterword
We live in interesting times.
“As a result of the patina history has placed on the allotment Acts, the Court is presented with questions that their architects could not have foreseen.”
Hagen,
Of course, this matter would largely be resolved had the State of Utah simply chosen to litigate the boundary issue once, as its voluntary intervention and joinder at the outset of this action twenty years ago may then have implied. Instead, the State chose to press its Ute boundary diminishment theory in the state criminal cases, and upon prevailing in Perank and by extension, in Hagen and Coando, the State had achieved a circumstance in which the boundary issue was primed for review by the United States Supreme Court.
Likewise, this matter would now be far simpler had the United States Supreme Court afforded the Ute Indian Tribe the opportunity to participate in the
Hagen
ap
*1531
peal as a party. Had the Court done so,
93
the Ute Indian Tribe would undoubtedly have been bound by whatever decision on the merits the Court ultimately made, and the present dilemma would not have arisen.
See also Perank,
But life is seldom simple.
All of the parties to this proceeding, together with the court, must somehow arrive at a resolution of the pending jurisdictional questions that proves both rational and workable over the long term. For the Tribe, this means adjusting its jurisdictional aspirations to account for the practical effects of the Supreme Court’s decision in Hoyen v. Utah, whatever the immediate disposition of this proceeding may be. For their part, the State and Local Defendants must now cope with the benefits — and the burdens — of the “more favorable result” obtained in the Ha-gen appeal. 94 The defendants would do well to recognize that “[t]he past cannot always be erased by a new judicial declaration,” 95 and that even after Hagen, “people living in the area” of the Uintah Reservation includes both Indian and non-Indian residents, whose interests, concerns, and expectations deserve thoughtful consideration and most of all, respect.
The happiest peace is that which parties working together can find for themselves.
In light of the foregoing, therefore,
IT IS ORDERED that this court’s previous Order, dated September 2, 1992
(nunc pro tunc
to August 3, 1992), as modified “to allow the State and Local Defendants to prosecute felony crimes occurring on lands within the original boundaries of the Uintah Valley Reservation which are not ‘Indian Country
1
as defined by 18 U.S.C. § 1151,
et seq.”
by this court’s Order, dated May 2, 1994, is hereby further modified to clarify that for the purposes of the Order, “lands ... which are not ‘Indian Country’ ” includes those unallotted and unreserved lands of the Uintah Reservation that were opened to entry in 1905, to the extent that those lands were not later restored to tribal ownership or otherwise reincorporated within the Reservation by subsequent congressional and administrative action, consistent with
Hagen v. Utah,
IT IS FURTHER ORDERED that the Clerk of this court forthwith shall transmit the accompanying Certificate and Request for Further Instructions, together with three copies of the Certificate and three copies of this Memorandum Opinion and Order, to the Clerk of the United States Court of Appeals for the Tenth Circuit.
CERTIFICATE AND REQUEST FOR FURTHER INSTRUCTIONS
TO THE UNITED STATES COURT OF APPEALS FOR THE TENTH CIRCUIT;
The above-captioned proceeding last came before the United States Court of Appeals for the Tenth Circuit on rehearing
en banc
and was decided on September 17,1985.
Ute Indian Tribe v. State of Utah,
In its
en banc
ruling, the court of appeals held that the Uintah Valley Reservation, created by Executive Order in 1861
1
and confirmed by Act of Congress in 1864,
2
had not been diminished by congressional legislation enacted from 1902 through 1905 opening un-allotted and unreserved lands on the Reservation to entry under the homestead and townsite laws,
3
or by the inclusion of portions of the Reservation among lands withdrawn as national forest lands by Act of Congress and Presidential Proclamation in 1905.
4
According to the United States Supreme Court’s decision in
Hagen v. Utah,
In
United States v. Cuch,
The court of appeals’ final Judgment in the above-captioned proceeding remains in place, having never been recalled or otherwise withdrawn. Motions are now pending before this Court concerning the appropriateness of injunctive relief designed to enforce the terms of the court of appeals’ Judgment, notwithstanding the Supreme Court’s determination in Hagen. (A copy of this court’s Memorandum Opinion and Order addressing the issues raised by those motions and the grounds for this Certificate and Request for Further Instruction is provided herewith.)
These circumstances present a problem of sound relationships within the judicial hierarchy, and raise a question concerning enforcement of the court of appeals’ Judgment with respect to these parties that evades simple resolution. As a controlling question of public law and the allocation of power among governments, it appears to be of such “general importance” that it should be resolved by the United States Court of Appeals for the Tenth Circuit. This court’s analysis of the “mandate rule” component of the doctrine of “law of the case,” set forth in detail in this court’s accompanying Memorandum Opinion and Order, convinces this court that
*1533
“a lower court must seek permission from an appellate court before departing from the mandate on the ground that intervening changes in the law require re-examination of issues actually decided,” (18 Charles A. Wright, Arthur R. Miller & Edward H. Cooper,
Federal Practice and Procedure
§ 4478, at 793 (1981), and this court’s request for further instructions is expressly made with that understanding. Cf.
Colorado Interstate Gas Co. v. Natural Gas Pipeline Co. of America,
Therefore,
In light of the identified area of conflict between the court of appeals’ Judgment in Ute Indian Tribe and the Supreme Court’s decision in the Hagen ease, and the practical consequences which flow from that conflict, this court hereby requests further instructions from the court of appeals concerning the proper conduct of “further proceedings in accordance with the opinion of this Court” as set forth in the Judgment dated September 17, 1985 and received by this court on December 9,1986.
Further instructions on this question would clearly be helpful, and would certainly be welcomed. If it so chooses, the court of appeals may construe this court’s request for instructions as an invitation to recall its own mandate for further consideration.
See Coleman v. Turpen,
Notes
. The September 2, 1992 Order was once modified "to allow the State and Local Defendants to prosecute felony crimes occurring on lands within the original boundaries of the Uintah Valley Reservation which are not 'Indian Country' as defined by 18 U.S.C. § 1151, et seq." Order, dated May 2, 1994, at 1-2. "In making this modification,” however, this court was “not determining one way or another which lands may or may not constitute ‘Indian Country,' ” and the Order was entered "without prejudice to any claims of the parties as to the effect of the decision of the United States Supreme Court in Ha *1480 gen v. Utah, or as to which lands may or may not constitute ‘Indian Country. ’ ” Id. at 2.
. Executive Order 38-1 (reprinted in 1 Charles Kappler, Indian Affairs: Laws and Treaties 900 (1904)).
. Act of May 5, 1864, ch. 77, 13 Stat. 63.
.
See
Act of May 27, 1902, ch. 888, 32 Stat. 263; J.Res. 31, 57th Cong., 1st Sess., 32 Stat. 744 (1902); Act of March 3, 1903, ch. 994, 32 Stat. 998; Act of April 21, 1904, ch. 1402, 33 Stat. 207; Act of March 3, 1905, ch. 1479, 33 Stat. 1069. (The complete text of this legislation is reprinted in Appendix A to this court's initial memorandum opinion.
See
. See Act of March 3, 1905, ch. 1479, 33 Stat. 1069; Proclamation of July 14, 1905, 34 Stat. 3116 (reprinted in 3 Charles Kappler, Indian Affairs: Laws and Treaties 602-605 (1913)).
. Act of May 29, 1908, ch. 218, § 1, 35 Stat. 460, 460-61.
. Id. at § 2, 35 Stat. 461.
. Id. at § 9, 35 Stat. 464.
.
.
.
. In the
Perank
opinion, the Utah Supreme Court noted that the Justice Department filed a copy of the brief originally filed in opposition to the petition for writ of certiorari in the
Ute Indian Tribe
case following the Tenth Circuit's 1985
en banc
ruling. The brief filed by the Ute Tribe apparently addressed only the threshold question whether defendant Perank was an "Indian” for purposes of 18 U.S.C. § 1151.
. The State of Utah also filed motions before the Utah Supreme Court to stay issuance of that court's remittitur in the
Perank, Coando
and
Ha-gen
cases, which was granted "pending (1) the conclusion of any proceedings on certiorari in the United States Supreme Court ... and (2) the final disposition of the injunction proceeding pending in the United States District Court for the District of Utah,
Ute Indian Tribe v. State of Utah, et al.,
[
. This motion was filed shortly after the Supreme Court’s denial of a petition for rehearing in
Hagen. See Hagen v.
Utah, - U.S. -,
. Upon an informal request by counsel, the matter was again set down for a status conference on July 14, 1994, but no one appeared. See Minute Entry, dated July 14, 1994.
. Previously, the Tribe had filed its Brief in Support of Permanent Injunction, dated September 25, 1992, as well as the Tribe’s Reply Brief in Support of Permanent Injunction, filed December 17, 1992, both of which predate
Hagen.
Counsel for the Tribe submitted additional materials by Letter, dated September 1, 1994, including the slip opinion in
Chickasaw Nation v. Oklahoma ex rel. Oklahoma Tax Comm’n,
. While the State and Local Defendants filed no memorandum accompanying their Motion to Vacate and Set Aside Preliminary Injunction and to Dismiss Plaintiff’s Motion for Permanent Injunc-tive Relief, dated April 25, 1994, they had filed several prior memoranda, including the State and Local Defendants’ Response in Opposition to the Tribe’s Request for Permanent Injunction, dated November 23, 1992, and the State and Local Defendants’ Reply to the Amicus Curiae Memorandum of the United States, dated December 11, 1992.
. The Government had also filed a prior Memorandum as Amicus Curiae in Support of Ute Indian Tribe’s Motion for Injunctive Relief, dated November 23, 1992.
. At that lime, counsel for Roosevelt City made what amounted to a “speaking motion” for immediate relief from the court’s September 2, 1992 Order as modified by the May 2, 1994 Order, on the theory that “it is acknowledged by the Ute Tribe and the United States and all the parties here that Roosevelt City is no longer within Indian country.” Transcript of Hearing, dated August 2, 1994, at 24:17-20. Roosevelt City having filed no formal request for immediate relief, this court made no formal ruling at that time.
. Since that time, several individual Indian criminal defendants whose offense conduct oc-cunred within “Indian country” as delineated in
Ute Indian Tribe
have filed motions for relief pursuant to 28 U.S.C. § 2255 (1994). In
United States v. Cuch,
. According to the Government, "This category includes those fee lands that were initially Indian allotments that have become fee under a number of circumstances, as well as those lands that were distributed in fee status to former members of the Tribe or others under the Ute Partition Act, 25 U.S.C. §§ 677-677aa.” Id.
. See Defendants’ Memorandum at 25 n. 19.
. As the Tenth Circuit has recently observed, "both the Supreme Court and this Court have concluded § 1151 defines Indian country for both civil and criminal jurisdiction purposes.”
Pittsburg & Midway Coal Mining Co. v. Watchman,
.The defendants hasten to point out that in addressing the question before the Supreme Court in
Hagen,
both the petitioner and the Tribe argued that a finding of "diminishment” would divest the Tribe and the United States of jurisdic-
*1487
tíon over the non-trust lands.
Id.
at 13-14. This would indeed be the case had the Court found
the entire reservation
to have been “disestablished,” or “terminated,” as in
DeCoteau v. District County Court,
. The word
terminate
has also been used in this context.
See,
e.g.,
Mattz v. Arnett,
. The State and Local Defendants quote the next sentence of the Hagen opinion, supplying emphasis as indicated:
Indeed, we have found only one case in which a Federal Court of Appeals decided that statutory restoration language did not terminate a reservation, Ute Indian Tribe,773 F.2d at 1092 , a conclusion the Tenth Circuit has since disavowed as “unexamined and unsupported.” Pittsburg & Midway Coal Mining Co. v. Yazzie,909 F.2d 1387 , 1400, cert. denied,498 U.S. 1012 ,111 S.Ct. 581 ,112 L.Ed.2d 586 (1990).
Defendants' Memorandum at 16 (quoting
Hagen,
This distinction is also lost upon Wendy L. Slater, "Pulling up the Nails” from the Uintah Indian Reservation Boundary: Hagen v. Utah, 28 Creighton L.Rev. 529, 546 (1995) ("The court noted that its decision in Ute was ‘unexamined and unsupported in the opinion.’" (footnote omitted)).
. In
Perank,
Justice Stewart noted that "[t]he allotments to individual Indians under the 1902 Act and the lands reserved for grazing and other purposes set aside for the Tribe by a 1902 Joint Resolution and the 1903 and 1905 Acts make up approximately 360,000 acres.”
. The State of Utah argues that Chickasaw Nation in fact ratifies its "Indian country-equals-trust lands” equation and that Judge McKay's reference to "land within the diminished reservation” speaks only of trust lands — wholly consistent with the State's theory of wholesale disestablishment. See Transcript of Hearing, September 12, 1994, at 20:14-21:12 (Mr. Andrews).
Judge McKay’s opinion echoes the Supreme Court’s holding in
Oklahoma Tax Comm’n v. Sac and Fox Nation,
Indian Country, U.S.A. v. Oklahoma Tax Comm’n,
In footnote 8 of
Chickasaw,
Judge McKay quoted the
Indian Country, U.S.A.
opinion for the proposition that "[tjribal lands, trust lands, and certain allotted lands generally remain Indian country despite disestablishment.”
. The distinction between DeCoteau and Rosebud in this regard has been pointed out by the Eighth Circuit:
The Indian conduct in DeCoteau did occur on non-Indian, unallotted land within the 1867 reservation boundaries. DeCoteau v. District County Court, supra,420 U.S. at 428 ,95 S.Ct. at 1082 . However, the Supreme Court also concluded that as to this particular land, reservation status had been terminated by the Congressional Act of March 3, 1891, c. 543, 26 Stat. 1035. DeCoteau v. District County Court, supra,420 U.S. at 444-445 ,95 S.Ct. 1082 . Appellant cites no statute similarly disestablishing the reservation status of Todd County in the Rosebud Reservation.
Judge Blackmun in the first Beardslee appellate opinion concluded from his research that “(o)nly three Acts of Congress have affected the territory of the reservation since its establishment in 1889 and none of these concern Todd County. * * * No part of the Todd County portion of the reservation has ever been formally opened.” Id. at 285. Similarly last year in Rosebud Sioux Tribe v. Kneip,521 F.2d 87 (8th Cir.1975), cert. granted, [425] U.S. [989],96 S.Ct. 2199 ,48 L.Ed.2d 814 (1976), where the court dealt with the South Dakota counties of Gregory, Tripp, Lyman, and Mellette, it also added that: “Todd County remains unopened." Id. at 88 n. 1 (emphasis added).
Beardslee v. United States,
. pro tanto — "a defensible Latinism commonly used in the law” meaning "to that extent; as far as it goes.” Bryan A. Garner, A Dictionary of Modern Legal Usage 708 (2d ed. 1995). Accord, Black's Law Dictionary 1100 (5th ed. 1979) ("for so much; for as much as may be; as far as it goes.”)
. A November 18, 1895 letter from the Commissioner of Indian Affairs to the Secretary of the Interior commented that the 1888 Act "had been fully executed in accordance with its intent so far as the securing of the consent of the Indians to
the diminution of their reservation
and the restoration of said strip of land to the public domain, ...”
Ute Indian Tribe,
. Act of June 18, 1934, ch. 576, 48 Stat. 984.
. As acknowledged by the parties in this proceeding, "Regardless of whether the original reservation was diminished, ... opened lands that have been restored to reservation status by subsequent Acts of Congress, see
e.g.,
Indian Reorganization Act of 1934, ch. 576, 48 Stat. 984 (codified at 25 U.S.C. § 461
et seq.
(1982 ed.) (authorizing the return of opened lands to the original reservations)), fall within the exclusive criminal jurisdiction of federal and tribal courts under 18 U.S.C. §§ 1152, 1153.”
Solem,
Similarly, the 1983 panel opinion in
Ute Indian Tribe,
referring to the 1945 Order of Restoration, observed: "Neither party disputes that the restorations accomplished pursuant to § 463 of 25 U.S.C. made them part of the reservation. We agree. This restoration included about 217,000 acres.”
.Particularly as to tribal lands held in trust, the defendants’ assertion that "Indian country” status ends "when lands leave trust status" (Defendants' Memorandum at 20) appears to repudiate the express terms of the statute, 18 U.S.C. § 1151(a), in favor of earlier definitions under which "Indian country” included "only those lands in which the Indians held some form of property interest....”
(Solem,
. The
Hagen
majority limits the effect of the 1905 Act by minimizing its purpose: "[Ajlthough we have no way of knowing for sure why the Senate decided to limit the 'manner' of opening, it seems likely that Congress wanted to limit land speculation. That objective is not inconsistent with the restoration of the unallotted lands to the public domain_”
This is a bill that, in my judgment, ought to be entitled "A bill to despoil the Indians of these lands and to make them vagabonds on the face of the earth,” because in my view, that is the result of this kind of legislation.
11 Cong.Rec. 934 (Jan. 20, 1881) (remarks of Sen. Teller).
Ironically, By relying on its own limiting assumptions concerning congressional purpose, the
Hagen
majority reads the 1905 Act as providing in effect that "so much of said lands
as will be under the provisions of said acts restored to the public domain
shall be open to settlement and entry” under the homestead and townsite laws— precisely the language of the House bill rejected by Congress in 1905 in favor of the Senate version, which deliberately omitted the public domain language.
See
Nevertheless, having once determined that the 1905 Act did not alter the effect of the restoration language found in the 1902 Act and that the 1902 Act — not the 1905 Act — operated to diminish the Reservation, it seems doubtful at best that the Hagen majority would turn to the 1905 Act rather than the 1902 Act to define the territorial extent of that same diminishment. The specific tracts which were in fact entered and "settled” under the 1905 Act would thus be subsumed within the broader congressional directive that "all the unallotted lands within said reservation shall be restored to the public domain.” Act of May 27, 1902, ch. 888, 32 Stat. 263.
. Of course, reliance on "canons of construction” as presaging a particular substantive result always proves to be somewhat problematic. See, e.g., Karl N. Llewellyn, Remarks on the Theory of Appellate Decision and the Rules or Canons about How Statutes Are to Be Construed, 3 Vand.L.Rev. 395 (1950) (“Plainly, to make any canon take hold in a particular instance, the construction contended for must be sold, essentially by means other than the use of the canon-"). The canons themselves may simply represent shorthand expressions of more fundamental values, policies and perceptions as to institutional role. See, e.g., William N. Eskridge, Jr. & Philip P. Frickey, Foreword: Law as Equilibrium, 108 Harv.L.Rev. 26 (1994), and generally Horace E. Read, John W. McDonald, Jefferson B. Fordham & William J. Pierce, Materials on Legislation 744-948 (4th ed. 1982).
. Using a
“Cf."
signal, the majority opinion cites only to
Rosebud Sioux Tribe v. Kneip,
The long-standing assumption of jurisdiction by the State over an area that is over 90% non-Indian, both in population and in land use, not only demonstrates the parties’ understanding of the meaning of the Act, but has created justifiable expectations which should not be upset by so strained a reading of the Acts of Congress as petitioner urges.
Hagen
further observes that "[w]e have recognized that '[wjhen an area is predominantly populated by non-Indians with only a few surviving pockets of Indian allotments, finding that the land remains Indian country seriously burdens the administration of state and local governments.' "
.
Rosebud Sioux Tribe v. Kneip,
.
See also
William N. Eskridge, Jr. & Philip P. Frickey,
Foreword: Law as Equilibrium,
108 Harv.L.Rev. at 62 & n. 159 ("As statutes evolve, the text loses some of its focal power, and other considerations become increasingly important in statutory interpretation — the purpose of the law, the surrounding legal terrain, and statutory precedents. The 1993 Term [of the Supreme Court] was replete with cases invoking these evolutive considerations." (footnotes omitted) (citing "Hagen v. Utah, [
Though largely taking Hagen and the Hagen-Perank criticism of Ute Indian Tribe at face value, Wendy L. Slater, "Pulling up the Nails from the Uintah Indian Reservation Boundary: Hagen v. Utah, 28 Creighton L.Rev. 529 (1995), criticizes Hagen’s use of current demographics: "In its rebanee on a demographic profile of the Reservation ninety years after its opening, the Court weakened its position, tainting its otherwise credible and well-supported analysis_ The Court should not have weighed the merits of retaining the Reservation by examining modem circumstances, but instead should have considered only the practical consequences which reflected congressional intent at the time the Reservation was opened for settlement. In simple terms, the power to discontinue reservation status lies with Congress and not with the Court.” Id. at 555-56 (footnotes omitted).
. Noting that Roosevelt City “was not settled under the townsite provisions of the 1905 Presidential Proclamation,” the Tribe asserts that "[o]nly if it is determined that the City was settled on former homesteaded lands, a determination which cannot be made absent a title search, would the State have jurisdiction within Roosevelt City." Brief of Ute Indian Tribe at 22 n. 23. At the same time, the Tribe acknowledges that the status of Roosevelt was of some "concern to the Supreme Court in
Hagen, see
[
In the "Brief of Defendant Roosevelt City in Support of Defendant’s Motion to Vacate and Set-Aside Preliminary Injunction and to Dismiss Plaintiff's Motion for Permanent Injunctive Relief,” filed July 26, 1994, counsel offers what may best be characterized as an informal, generalized proffer of evidence bearing upon land tenure in Roosevelt based upon unidentified land record documents showing Roosevelt to be built entirely on “opened” unallotted lands. Id. at 3. Beyond that, other than expressing Roosevelt City’s obvious impatience with not having the immediate, unfettered power to do as it pleases, its Brief sheds little additional light on the legal issues now before the court in this proceeding.
. As the Tenth Circuit recently noted, " ‘[F]ed-eral courts "are bound by the Supreme Court’s considered dicta almost as firmly as by the Court’s outright holdings, particularly when ... [the dicta] is of recent vintage and not enfeebled by any [later] statement.” ' ”
Pittsburg & Midway Coal Mining Co. v. Watchman,
. In their arguments, counsel for the State and Local Defendants refer to one passage from this court's initial memorandum opinion discussing the effect of the 1902 Act, considered by itself:
Without much question, opening of the original terms of the 1902 Act would have accomplished the termination of the reservation; the unallotted lands were to be "restored to the public domain" — language precisely suited to disestablishment under Seymour v. Superintendent ... and Mattz v. Arnett,_
. As noted above, nothing in
Rosebud Sioux Tribe v. Kneip,
.
United States v. John,
. In the Memorandum from the Regional Solicitor, U.S. Dept, of the Interior to the Superintendent, Uintah and Ouray Agency, dated July 7, 1994, at 11-12, the Government reports that 26,763.34 acres were sold into fee status pursuant to 25 U.S.C.A. § 677h, and indicates that under 25 U.S.C.A. § 6111, fee patents were issued for 2,733.569 acres of former allotments, 29,030.969 acres of tribal agricultural lands, and 16,190.61 acres of grazing lands.
.However, Hackford was decided on January 21, 1994, approximately one month before the United States Supreme Court announced its decision in the Hagen case. While Hagen likely will have no practical impact on the management of Ute water rights under the Ute Partition Act, the language of the Haclcford opinion quoted above cannot strictly be viewed as controlling on the question whether lands distributed to the Mixed-Blood Utes remain within Reservation boundaries following Hagen.
. Of course,
Felter
holds otherwise as to Indian hunting and fishing rights.
See
. Act of February 8, 1887, ch. 119, § 6, 24 Stat. 390, codified as amended at 25 U.S.C.A. § 349 (1983).
. Following the enactment by Congress of the Ute Partition Act, Preston Allen, a Mixed-Blood Ute “residing on the Uintah Indian Reservation in Duchesne County, Utah,” was denied the right to vote by Porter Merrell, Duchesne County Clerk, in a state-supervised election — a denial prompted by state statute and rationalized by the Utah Supreme Court based upon Allen’s continued residence on
an existing Indian reservation. Allen
v.
Merrell,
As to this issue, the State of Utah does not write on the cleanest of slates.
. In 1953, Congress had created a wholly separate mechanism to extend state jurisdiction over Indian reservations, Public Law 83-280. See Act of August 15, 1953, ch. 505, 67 Stat. 588; Felix S. Cohen, Felix S. Cohen's Handbook of Federal Indian Law 175-77 (Rennard Strickland ed. 1982). If anything, Congress in 1954 was contemplating much more sweeping goals — the ultimate termination of entire tribes as well as their reservations — in order to bring an end to the perceived evils of federal supervision, and thus *1504 would have given little or no thought to adjustment of reservation boundaries during the interim. See generally, H.R.Con.Res. 108, 83d Cong., 1st Sess., 67 Stat. B132 (1953); Felix S. Cohen’s Handbook of Federal Indian Law 170-75; Donald L. Parman, Indians and the American West in the Twentieth Century 135-142 (1994); Charles Wilkinson & Eric Biggs, The Evolution of the Termination Policy, 5 Am. Indian L.Rev. 139 (1977).
. S. 503, the original Senate version of the Indian Lands Consolidation Act, concerned the Devil’s Lake Sioux Reservation, a reservation where the unallotted lands were "opened” to non-Indian entry without diminishment or termination of the reservation’s boundary.
See, e.g., United States v. Grey Bear,
.
. In footnote 3 of the Perank opinion, Justice Stewart essayed further concerning the collateral estoppel issue which Perank did not decide:
Even if the defense had been raised in this case, its application against the State of Utah would be problematic. Although we have held that collateral estoppel does not require mutuality of parties when it is raised defensively against private litigants, ... we have not decided whether the doctrine of nonmutual collateral estoppel applies against the State. Federal law generally requires full mutuality of parties when collateral estoppel is applied against the government. See United States v. Mendoza,464 U.S. 154 ,104 S.Ct. 568 ,78 L.Ed.2d 379 (1984); see also United States v. Stauffer Chemical Co.,464 U.S. 165 , 169,104 S.Ct. 575 , 577,78 L.Ed.2d 388 (1984); Allen v. McCurry,449 U.S. 90 ,101 S.Ct. 411 ,66 L.Ed.2d 308 (1980); Montana v. United States,440 U.S. 147 , 155— 62,99 S.Ct. 970 , 974-78,59 L.Ed.2d 210 (1979); Commissioner of Internal Revenue v. Sunnen,333 U.S. 591 ,68 S.Ct. 715 ,92 L.Ed. 898 (1948). Nonmutual collateral estoppel does not apply against the government because of overriding policy considerations. Mendoza,464 U.S. at 163-64 ,104 S.Ct. at 574 . The rule requiring full mutuality of parties has also been required with respect to estopping state governments. See Hercules Carriers, Inc. v. Florida,768 F.2d 1558 , 1577-82 (11th Cir.1985). See generally Restatement (Second) of Judgments § 28 (1982); 18 Charles A. Wright, Arthur R. Miller & Edward H. Cooper, Federal Practice and Procedure § 4425 (1981 & Supp. 1992). As the Utah cases cited in footnote 2 indicate, the issue of reservation diminishment can arise in a number of civil contexts in which the State of Utah is not a party, and rather than delay a decision on an issue of such substantial public importance that will inevitably recur, we think it appropriate to address the diminishment question, even if res judicata were otherwise applicable against the State.
.In
Hagen,
Justice O'Connor suggested that “[pjetitioner's only recourse would have been to attack the judgment in
Perank
on the ground that the Utah Supreme Court failed to give effect sua sponte to the prior determination in
Ute Indian Tribe
that the reservation had not been diminished.”
Hagen,
The federal courts, construing federal statutes, federal regulations, and federal Indian policy, have determined that Myton is within the confines of the reservation. See Ute Indian Tribe v. State of Utah,773 F.2d 1087 (10th Cir.1985) (en banc), cert. denied,479 U.S. 994 ,107 S.Ct. 596 ,93 L.Ed.2d 596 (1986).... The Tenth Circuit’s decision does not appear to hold open any role for the state courts in refining its holding in Ute Indian Tribe. While we have not been acquainted with the precise arguments advanced by the state in Perank, we are hard-pressed to see how, given the Supremacy clause and the doctrine of collateral estoppel, our state courts could reach a contrary decision that would have any practical effect.
State of Utah v. Hagen,
. From stare decisis et non quieta movere — to abide by the precedents and not to disturb settled points.
The idea here expressed is congenial to all law and has been expressed in many forms throughout the whole period of the common law....
... Its most frequent and general use is synonymous with the doctrine of precedent as a whole. Its most restricted use is to indicate the “authoritative" element of the doctrine of precedent.
Leon Green, The Development of the Doctrine of Stare Decisis and the Extent to Which It Should Be Applied, 40 IllX.Rev. 303, 303 n. 1 (1946) (citations omitted).
.
See United States v. Cuch,
. Quoting
Griffith v. Kentucky,
. The court of appeals also addressed the view expressed by a magistrate judge in
Cuch
"that
Hagen
did not effect a change' in federal law, but merely clarified what had been the law all along,” that
Ute Indian Tribe “
‘made an erroneous interpretation of federal law,’ ” that " 'Congress had already defined the limits of federal jurisdiction’ ” and that " ‘[i]t was the inability to see the jurisdictional line drawn by Congress that created the problem.'"
Cuch,
The magistrate judge's analysis partakes of the Blackstonian common law view that courts do no more than discover the law. Linkletter v. Walker,381 U.S. 618 , 622-23[,85 S.Ct. 1731 , 1733-34,14 L.Ed.2d 601 ] (1965). "The Blackstonian view ruled English jurisprudence and cast its shadow over our own "through much of our jurisprudential histoiy. Id. at 624[,85 S.Ct. at 1734-35 ], But American law, drawing, as it does from experience, gradually recognized that "such a rule was out of tune with actuality.” Id.; see also id. at 629[,85 S.Ct. at 1737 ]. In time the Supreme Court admitted that "[t]he past cannot always be erased by a new judicial declaration,” Chicot County Drainage Dist. v. Baxter State Bank,308 U.S. 371 , 374[,60 S.Ct. 317 , 318,84 L.Ed. 329 ] (1940). "Questions of rights claimed to have become vested, of status, of prior determinations deemed to have finality and acted upon accordingly, of public policy in the light of the nature both of the statute and of its previous application, demand examination.” Id. In short, while a judicial decision is in effect, "it is ... an existing juridical fact.” Linkletter,381 U.S. at 624 [,85 S.Ct. at 1734-35 ] (discussing Austmian view).
This latter view is now firmly established in the federal courts....
Id.
at 994-95.
Cuch
further notes that "[w]hile later cases have overruled the specific retroactivity test announced in
Linkletter, see, e.g., Griffith
v.
Kentucky,
.See Solem v. Bartlett,
. The most analogous case in that regard,
So-lem,
addressed the reservation boundary issue in the context of a federal habeas corpus proceeding, reaching a result that was inconsistent with two prior state appellate decisions,
State v. Janis,
. The same idea finds expression in,
e.g.,
the Double Jeopardy Clause of the Fifth Amendment.
See, e.g., Green v. United States,
. Absent some measure of finality, the Tribe would have accomplished essentially nothing by seeking and obtaining a final judgment granting relief under the Declaratory Judgments Act, 28 U.S.C. § 2201 (1994), in an attempt to resolve the boundary issue more than two decades ago. Such a result would plainly frustrate the purpose of the Declaratory Judgment Act, a remedy well suited to a controversy such as this. See Charles A. Wright, Law of Federal Courts § 100, at 713-14 (5th ed. 1994) (the Act “creates a means by which rights and obligations may be adjudicated in cases involving an actual controversy that has not reached the stage at which either party may seek a coercive remedy, ... ’’).
. Parties would be ill-advised to read Hagen as an open invitation to relitigate issues already determined in litigation in which they have participated, where the disposition of the issues has been incorporated into a final judgment of this court, the United States Court of Appeals for the Tenth Circuit, or any other court of competent jurisdiction. Where a party has come into court seeking judicial resolution óf a dispute, merely characterizing an issue as one of “substantial public importance” gives no party carte blanche to disregard the court’s judgment altogether and attempt to relitigate the same issue either in another lawsuit or another forum.
. 28 U.S.C. § 2106 (1994) provides:
The Supreme Court or any other court of appellate jurisdiction may affirm, modify, vacate, set aside or reverse any judgment, decree or order of a court lawfully brought before it for review, and may remand the cause and direct the entry of such appropriate judgment, decree, or order, or require such further proceedings to be had as may be just under the circumstances.
. This litigation belies the remark by Professors Wright, Miller and Cooper that ‘‘[t]his principle is so straight-forward as to present few interesting problems.” Id. at 793.
.
Accord, Zdanok v. Glidden Co.,
. And "[djisobedient district judges ... are not infrequently corrected for failure to honor the mandate rule as the law of the case on remand.” 18 Charles A. Wright, Arthur R. Miller & Edward H. Cooper, Federal Practice and Procedure § 4478, at 792-93 (footnote omitted).
. The Seventh Circuit has emphasized the narrowness of one such exception in more colorful terms: "To be clearly erroneous, a decision must ... strike us as wrong with the force of a five-week-old, unrefrigerated dead fish. To be clearly erroneous, then, the ... decision must be dead wrong, and we do not believe it is."
Parts & Electric Motors, Inc. v. Sterling Electric, Inc.,
. The Tenth Circuit declined to extend an intervening decision of its own in
Pierce v. Cook & Co.,
. Under Fed.R.App.P. 41(a), "A certified copy of the judgment and a copy of the opinion of the court, if any, and any direction as to costs shall constitute the mandate, unless the court directs that a formal mandate issue.” In this instance, this court received a copy of the court of appeals’ judgment, dated September 17, 1985 accompanied by a copy of the opinions reflecting the
en banc
decision, also reported at
. "We note that
sub judice
'means “under judicial consideration” or in court and not yet decided.’ Black’s Law Dictionary 1277 (5th ed. 1979). We thus hold that the Supreme Court's denial of certiorari ended this litigation, and the case was not
sub judice
when the defendants made then-rule 60(b)(6) motion."
Seese v. Volkswagenwerk, A.G.,
. Likewise, the Tenth Circuit has cited to
Leg-gett
's treatment of law of the case, but only once, and then it was in the context of the court of appeals’ review of its own prior determinations; the district court in that case was expected simply to comply with the mandate.
United States v. Monsisvais,
. See Evarts Act, Act of March 3, 1891, ch. 517, 26 Stat. 826.
. See Act of February 28, 1929, ch. 363, 45 Stat. 1346.
.
Wilmer v. Board of County Commissioners of Leavenworth County,
.
Moore’s Federal Practice
further suggests that ‘‘[e]ven after judgment is entered on the mandate, however, the district court has the power to consider a motion under Rule 60(b) for relief from judgment, without first obtaining the permission of the court of appeals.” IB Moore’s Federal Practice ¶0.404[10], at 11-61 (footnote omitted) (citing
LSLJ Partnership v. Frito-Lay, Inc.,
. The Tenth Circuit has acknowledged that where the Supreme Court has made it clear that a new ruhng should be applied retroactively, and it would be futile to require the district court to follow its prior order and apply a standard that has been discarded by the Supreme Court, recall of the mandate is appropriate. "Although we rarely exercise such authority, this court does have the inherent power to recall the mandate after it has issued.
Abel v. West,
. Generally, "[cjriminal offenses by non-Indians against Indians or their properly are subject to the Indian Country Crimes Act [18 U.S.C. § 1152 (1994) ]. The Supreme Court has said that federal court jurisdiction under this Act is exclusive of state court jurisdiction.” Felix S. Cohen, Felix S. Cohen’s Handbook of Federal Indian Law 353 (Ren-nard Strickland ed. 1982) (footnotes omitted). Even if one could say that the State and Local Defendants are not estopped under Ute Indian Tribe to prosecute a non-Indian offender in that instance, jurisdiction even to investigate the offense would remain in doubt until the status of a suspect is determined. Coupled with the reduced state and local law enforcement presence *1525 in "Indian country" that one might expect under Ute Indian Tribe, prosecution under state jurisdiction of a non-Indian committing offenses against tribal members would prove problematic at best.
In this respect, the Supreme Court itself has undertaken to limit Indian tribal sovereignty more severely than any congressional legislation.
See Oliphant v. Suquamish Indian Tribe,
. This kind of practical anomaly seems markedly different from saying that collateral estoppel simply requires that the Government inspect Stauffer Chemical plants in one fashion while inspecting other manufacturers' plants in another fashion.
See United States v. Stauffer Chemical Co.,
. 28 U.S.C. § 1292(b) reads:
When a district judge, in making in a civil action an order not otherwise appealable under this section, shall be of the opinion that such order involves a controlling question of law as to which there is substantial ground for difference of opinion and that an immediate appeal from the order may materially advance the ultimate termination of the litigation, he shall so state in writing in such order. The Court of Appeals which would have jurisdiction of an appeal may thereupon, in its discretion, permit an appeal to be taken from such order, ...
.
Accord, Pelrick v. Walters,
.
Accord, Sack v. Wagoner County, Oklahoma,
The district court may entertain a rule 60(b) motion to reopen a decision that has been affirmed on appeal without obtaining leave from the appellate court. Standard Oil Co. v. United States,429 U.S. 17 , 18-19[,97 S.Ct. 31 , 31-32,50 L.Ed.2d 21 ] (1976). The district court, however, must "comply strictly with the mandate rendered by the reviewing court.” Colorado Interstate Gas Co. v. Natural Gas Pipeline Co.,962 F.2d 1528 , 1534 (10th Cir.), cert. denied, [506 U.S. 956 ,]113 S.Ct. 414 [,121 L.Ed.2d 337 ] (1992).
... In this circuit, ... [Rule 60(b)(6) ] cannot be used 'to alter the substantive content of a judgment once it has been affirmed on appeal except in extraordinary situations.' Colorado Interstate Gas,962 F.2d at 1534_
Id.
.Standard Oil thus may be read to say that a district court may consider the question under Rule 60(b), but Colorado Interstate Gas instructs that the answer to the question, at least under Rule 60(b)(6), shall in these circumstances be "no.”
. 28 U.S.C. § 452 provides in part that the “expiration of a session of court in no way affects the power of the court to do any act or take any proceeding.”
.
Hagen,
. Therefore, the answer to the first issue framed in Paragraph 5.F of the Pretrial Order is "no.”
.
.
Chickasaw Nation
v.
State ex rel. Oklahoma Tax Comm’n,
.
Federated Department Stores, Inc. v. Moitie,
.Id.
(quoting
Hart Steel Co. v. Railroad Supply Co.,
.
James B. Beam Distilling Co. v. Georgia,
.
Accord, Ute Indian Tribe,
.Motions to intervene for the first time before the Supreme Court are unusual, hut not unheard of.
See, e.g., United States Parole Commission v. Geraghty,
. “Be careful what you wish for — you might get it." Oscar Wilde (1854-1900).
.
Chicot County Drainage Dist. v. Baxter State Bank,
. Executive Order 38-1 (reprinted in 1 Charles Kappler, Indian Affairs: Laws and Treaties 900 (1904)).
. Act of May 5, 1864, ch. 77, 13 Stat. 63.
.
See
Act of May 27, 1902, ch. 888, 32 Stat. 263; J.Res. 31, 57th Cong., 1st Sess., 32 Stat. 744 (1902); Act of March 3, 1903, ch. 994, 32 Stat. 998; Act of April 21, 1904, ch. 1402, 33 Stat. 207; Act of March 3, 1905, ch. 1479, 33 Stat. 1069. (The complete text of this legislation is reprinted in Appendix A to this court's initial memorandum opinion.
See Ute Indian Tribe v. State of Utah,
.See Act of March 3, 1905, ch. 1479, 33 Stat. 1069; Proclamation of July 14, 1905, 34 Stat. 3116 (reprinted in 3 Charles Kappler, Indian Affairs: Laws and Treaties 602-605 (1913)).
