Marilyn VANN, et al., Plaintiffs, v. Ken SALAZAR, Secretary of the United States Department of the Interior, et al., Defendants.
Civil Action No. 03-1711 (HHK).
United States District Court, District of Columbia.
Sept. 30, 2011.
CONCLUSION
Accordingly, and for the reasons stated above, defendants’ motion for summary judgment will be granted.
Amber B. Blaha, United States Department of Justice, Washington, DC, Graydon D. Luthey, Jr., Hall Estill, Tulsa, OK, for Defendants.
MEMORANDUM OPINION
HENRY H. KENNEDY, JR., District Judge.
Marilyn Vann, Ronald Moon, Donald Moon, Charlene White, Ralph Threat, Faith Russell, Angela Sanders, Samuel E.
Before the Court are the motions to dismiss of the Federal Defendants [Dkt. # 118] and Crittenden [Dkt. # 119], the Freedmen‘s motion for leave to file a fifth amended complaint [Dkt. # 127], and the Freedmen‘s motion to consolidate the above-captioned case with Cherokee Nation v. Nash, Civil Action No. 10-1169 [Dkt. # 138]. Upon consideration of the motions, the oppositions thereto, and the entire record of this case, the Court concludes that Crittenden‘s motion to dismiss should be granted, the Freedmen‘s motion for leave to file a fifth amended complaint should be denied, and both the Federal Defendants’ motion to dismiss and the Freedmen‘s motion to consolidate should be denied as moot.
I. BACKGROUND
1. Procedural History
The detailed facts of this case are set out in a previous opinion of this Court, Vann v. Kempthorne, 467 F.Supp.2d 56 (D.D.C.2006) (”Vann I“), and an opinion of the United States Court of Appeals for the District of Columbia Circuit, Vann v. Kempthorne, 534 F.3d 741 (D.C.Cir.2008) (”Vann II“). In Vann I, this Court addressed a motion to dismiss by the Cherokee Nation, which was permitted to intervene for the sole purpose of challenging the Court‘s jurisdiction, as well as the Freedmen‘s motion to file a second amended complaint to add the Cherokee Nation and certain of its officials as defendants. The Court held, among other things, that sovereign immunity did not bar suit against the Cherokee Nation and the tribal officers. Vann I, 467 F.Supp.2d at 70, 74. The Cherokee Nation appealed the denial of its motion to dismiss on sovereign immunity grounds.
In Vann II, the D.C. Circuit held that “nothing in the Thirteenth Amendment or the 1866 Treaty amounts to an express and unequivocal abrogation of tribal sovereign immunity, [and so] the Cherokee Nation cannot be joined in the Freedmen‘s federal court suit without the tribe‘s consent.” 534 F.3d at 749. The Circuit further held that under Ex parte Young, 209 U.S. 123 (1908), “tribal sovereign immunity does not bar the suit against tribal officers.” Vann II, 534 F.3d at 750. The Circuit remanded the action to this Court to “determine whether ‘in
Following the D.C. Circuit‘s opinion, the Freedmen filed a fourth amended complaint that raises six claims. The Freedmen allege that the Federal Defendants and Chief Crittenden have violated several constitutional and statutory provisions, including the 1970 Principal Chiefs Act, the Cherokee Constitution, the Treaty of 1866, the Indian Civil Rights Act (“ICRA“),
The Cherokee Nation then filed suit in the United States District Court for the Northern District of Oklahoma against the Federal Defendants and five Freedmen2 seeking a declaratory judgment “that the Five Tribes Act and federal statutes modified the Treaty of 1866 thereby resulting in non-Indian Freedmen descendants, including the individual defendants, no longer, as a matter of federal law, having rights to citizenship of the Cherokee Nation and benefits derived from such citizenship.” Cherokee Nation v. Nash, Civil Action No. 10-1169, Compl. [Dkt. # 2] ¶ 18.3 In light of the Nation‘s filing of its suit in Oklahoma, the Freedmen have moved for leave to file a fifth amended complaint [Dkt. #127] in this case. The proposed fifth amended complaint would add the Cherokee Nation as a defendant and the five Freedmen whom the Cherokee Nation sued in the Northern District of Oklahoma as plaintiffs. The Freedmen also move to consolidate the above-captioned case with Nash [Dkt. # 138].
II. ANALYSIS
A. Crittenden‘s Motion To Dismiss The Fourth Amended Complaint Under Federal Rule of Civil Procedure 19(b)
Crittenden moves to dismiss the Freedmen‘s claim under
1. Prejudice
First, the Court considers “the extent to which a judgment rendered in the person‘s absence might prejudice that person or the existing parties.”
The Court finds no merit in the Freedmen‘s argument that the Cherokee Nation has “no legally-protected interest” at issue here because “[p]ursuant to the Treaty of 1866 and the Thirteenth Amendment, the Cherokee Nation has no authority to treat its Freedmen citizens as anything less than full equals.”5 Freedmen‘s Opp‘n to Crittenden‘s Mot. Dismiss [Dkt. # 123] at
The Court must “accord proper weight to the compelling claim of sovereign immunity” and finds that the Nation‘s interests would be prejudiced if the case were to proceed in its absence. Republic of Philippines, 553 U.S. at 869; see also Citizen Potawatomi Nation v. Norton, 248 F.3d 993, 1001 (10th Cir.2001) (recognizing the “strong policy favoring dismissal when a court cannot join a tribe because of sovereign immunity“) (quoting Davis, 192 F.3d at 960) (internal quotation marks omitted). This factor weighs heavily towards dismissal. See Republic of Philippines, 553 U.S. at 866-67 (finding that cases “involving the intersection of joinder and the governmental immunity of the United States ... instruct us that where sovereign immunity is asserted, and the claims of the sovereign are not frivolous, dismissal of the action must be ordered where there is a potential for injury to the interests of the absent sovereign“).
2. The Extent To Which Prejudice Can Be Lessened Or Avoided
Next, the Court considers “the extent to which any prejudice could be lessened or avoided by: (A) protective provisions in the judgment; (B) shaping the relief; or (C) other measures.”
It cannot be said that Chief Crittenden‘s interests are identical to those of
3. Adequacy of a Potential Judgment
The Court next addresses “whether a judgment rendered in the person‘s absence would be adequate.”
4. Adequacy of an Alternative Remedy
The final factor in the analysis is “whether the plaintiff would have an ade-
Nevertheless, this case presents unique circumstances because Cherokee Nation v. Nash offers the Freedmen an alternative forum for the legal issues underlying this case to be addressed. The Court finds that Nash will not only offer an adequate alternative forum, but a superior one. Unlike a potential judgment in this case, which would not bind the Cherokee Nation, the Cherokee Nation is the plaintiff in Nash and would be bound by any judgment rendered in that suit. The Court therefore concludes that this factor supports dismissal of the above-captioned suit.
5. Public Interest Exception
The Freedmen argue that dismissal can be avoided by the public interest exception to Rule 19. As the D.C. Circuit has explained, “this exception provides that when litigation seeks vindication of a public right, third persons who could be adversely affected by a decision favorable to the plaintiff are not indispensable parties.” Kickapoo Tribe, 43 F.3d at 1500.8 The exception “generally applies where what is at stake are essentially issues of public concern and the nature of the case would require joinder of a large number of persons.” Id. (internal quotation marks omitted); see also Am. Greyhound Racing, Inc. v. Hull, 305 F.3d 1015, 1026 (9th Cir.2002) (“To qualify for the public rights exception, the litigation must transcend the private interests of the litigants and seek to vindicate a public right.“) (internal quotation marks omitted).
The Court finds that the exception does not apply to this case. First, at issue is the joinder of the Cherokee Nation, not a large number of persons. Second, the Freedmen‘s claims implicate their rights under the Thirteenth Amendment and the Treaty of 1866 and their relationship with the Cherokee Nation, which are not truly “public rights.” See Cherokee Nation v. Babbitt, 117 F.3d 1489, 1497 (D.C.Cir.1997) (refusing to apply public interest exception because “the dispute involves rights to federal benefits, or, more expansively, the relationship between two groups and their respective relationships with the federal government” and finding that “[w]hile issues of sovereignty are fundamental in nature, as narrowly posed here between two groups, there is simply no necessity requiring invocation of an exception to Rule 19“); Kickapoo Tribe, 43 F.3d at 1500 (rejecting application of the public interest exception where the case did not require the joining of an “infeasibly large number of parties” nor “implicate a matter of transcending importance“); cf. Nat‘l Wildlife Fed‘n v. Burford, 676 F.Supp. 271, 276 (D.D.C.1985) (applying the public right exception where “[t]he public‘s interest in disposition of [170 million acres] of federal lands, and more concretely, in participating in the management of these lands is a matter of transcending importance ... [that] extends this case far beyond the boundaries of private dispute“). Finally, the public rights exception has been applied in cases where the plaintiff lacks an alternative forum for its claims. See, e.g., Nat‘l Wildlife Fed‘n, 676 F.Supp. at 276. This rationale does not apply here. As discussed above, the Freedmen have an alternative remedy, and even if they did not, courts have consistently recognized that the preservation of tribal sovereignty takes priority over providing plaintiffs with a forum for their claims. Accordingly, the Court declines to apply the public rights exception here.
Upon consideration of the circumstances of this suit, including the factors enumerated in Rule 19(b), the Court concludes that the suit cannot, in equity and good conscience, proceed without the Cherokee Nation.
B. The Freedmen‘s Motion For Leave To File A Fifth Amended Complaint
The Freedmen also move for leave to amend their complaint to name the Cherokee Nation as a defendant once again, arguing that it waived its immunity from this action by filing suit in another federal court over the legal questions at issue here. A party seeking to amend its complaint more than once may do so only by written consent of the adverse party or by leave of the court.
The Freedmen assert that the Nation has waived its immunity as to all cases concerning the “subject matter” of Nash, and moreover that the Nation would enjoy an unfair tactical advantage if it was allowed to litigate those issues selectively. The Nation responds that the principles of tribal sovereign immunity allow it to bring the Oklahoma action while maintaining its immunity from this suit. The Nation is correct.
The sovereign immunity of Indian tribes is a matter of “common law” and “a necessary corollary to Indian sovereignty and self-governance.” Three Affiliated Tribes of Fort Berthold Reservation v. Wold Eng‘g, 476 U.S. 877, 890 (1986). Tribal sovereign immunity “is subject to the superior and plenary control of Congress,” Santa Clara Pueblo v. Martinez, 436 U.S. 49, 58 (1978), but the Court of Appeals has ruled that, as relevant to this suit, Congress did not impair the Nation‘s immunity. Vann II, 534 F.3d at 749.
Of course, like all sovereigns, the Nation is free to assert or to waive its immunity as it sees fit, see Okla. Tax Comm‘n v. Citizen Band Potawatomi Indian Tribe, 498 U.S. 505, 509 (1991), and “[i]t is settled law that a waiver of sovereign immunity in one forum does not effect a waiver in other forums.” West v. Gibson, 527 U.S. 212, 226 (1999). The federal government‘s consent to suit against itself in federal court does not imply its consent to suit in state court, Great N. Life Ins. Co. v. Read, 322 U.S. 47, 54 n. 6 (1944), and the converse also holds: “a State does not consent to suit in federal court merely by consenting to suit in the courts of its own creation.” Coll. Sav. Bank v. Fla. Prepaid Postsecondary Educ. Expense Bd., 527 U.S. 666, 676 (1999). By the same token, an Indian tribe may consent to suit in tribal court or to arbitration while withholding its consent to suits brought in state or federal court. See Lawrence v. Barona Valley Ranch Resort & Casino, 153 Cal.App.4th 1364, 64 Cal. Rptr.3d 23, 27 (Cal.Ct.App.2007) (holding that a tribe‘s “waiver did not constitute a consent to suit in state court on negligence claims against it, but instead specified that [tribal court] was the exclusive forum for the resolution of such claims“); Campo Band of Mission Indians v. Superior Court, 137 Cal.App.4th 175, 39 Cal.Rptr.3d 875, 883 (Cal.Ct.App.2006) (holding that because “[a] waiver of immunity ‘is altogether voluntary’ on the part of the tribe and thus the tribe ‘may prescribe the terms and conditions on which it consents to be sued, and the manner in which the suit shall be conducted []’ [the] issue must be determined in the forum that the Tribe has chosen for determination of the viability of claims against it, to wit, arbitration“) (citation omitted) (quoting Am. Indian Agric. Credit Consortium, Inc. v. Standing Rock Sioux Tribe, 780 F.2d 1374, 1378 (8th Cir.1985)). This is because a sovereign‘s “interest in immunity encompasses not merely whether it may be sued, but where it may be sued.” Pennhurst State Sch. & Hosp. v. Halderman, 465 U.S. 89, 99 (1984).
“[T]o relinquish its immunity, a tribe‘s waiver must be ‘clear.‘” C & L Enters., Inc. v. Citizen Band Potawatomi Indian Tribe, 532 U.S. 411, 418 (2001) (quoting Okla. Tax Comm‘n, 498 U.S. at 509); see also Santa Clara Pueblo v. Martinez, 436 U.S. 49, 58 (1978) (“It is settled that a waiver of sovereign immunity cannot be implied but must be unequivocally expressed.“) (internal quotation marks omitted). Litigation conduct may constitute a clear waiver of tribal sovereign immunity, see COHEN‘S HANDBOOK OF FEDERAL INDIAN LAW § 7.05[1][c], at 643 (Nell Jessup Newton ed., 2005) (collecting cases in which tribes waived their immunity by participating in litigation), as it can for state sovereign immunity. See Coll. Sav. Bank v. Fla. Prepaid Postsecondary Educ. Expense Bd., 527 U.S. 666, 675-76 (1999) (citing Great N. Life Ins. Co. v. Read, 322 U.S. 47, 54 (1944) and Gunter v. Atlantic Coast Line R.R. Co., 200 U.S. 273, 284 (1906)).
The Freedmen argue that, by filing the Oklahoma action, the Nation has clearly consented to federal jurisdiction “with regard to the subject matter of this case,” Freedmen‘s Mot. 5th Am. Compl. at 6, and that, under Lapides v. Bd. of Regents, 535 U.S. 613 (2002), such a finding is necessary “to avoid inconsistency, anomaly, and unfairness.” Id. at 620. Their argument is unpersuasive. In an analogous case, the Federal Circuit held that a state university that brought suit in federal court to enforce a patent did not thereby waive its sovereign immunity as to another suit concerning the validity of the same patent “brought by a different party in a
The Freedmen‘s reliance on Lapides is therefore misplaced. In Lapides, the Supreme Court held that when a state voluntarily removed an action to federal court it could no longer assert its sovereign immunity from suit in that forum. 535 U.S. at 624. Affirming the principle that a state can waive its sovereign immunity through litigation conduct, the Court explained that that interpretation of the Eleventh Amendment “rests upon the Amendment‘s presumed recognition of the judicial need to avoid inconsistency, anomaly, and unfairness, and not upon a State‘s actual preference or desire, which might, after all, favor selective use of ‘immunity’ to achieve litigation advantages.” Id. at 620. Even if that same structural presumption operates outside of the context of the Eleventh Amendment, it does not affect the result in this case. The Court of Appeals has held that the Nation need not subject itself to the jurisdiction of the federal courts over the claims raised here. That the Nation nonetheless chooses to do so in a case with different parties but essentially identical issues while asserting its immunity from this suit does not produce the sort of inconsistency, anomaly, or unfairness imagined in Lapides. The Nation is free to litigate these questions in the federal action of its choosing, or not at all.
Because an amended complaint that adds the Cherokee Nation as a party would be futile, the Court will deny the Freedmen‘s motion to file its proposed fifth amended complaint. See Nat‘l Wrestling Coaches Ass‘n v. Dep‘t of Educ., 366 F.3d 930, 945 (D.C.Cir.2004) (“[A] district court has discretion to deny a motion to amend on grounds of futility where the proposed pleading would not survive a motion to dismiss.“).
III. CONCLUSION
For the foregoing reasons, the Court concludes that the suit cannot proceed without the Cherokee Nation and that the Cherokee Nation did not waive its sovereign immunity such that it can be joined as a party to this suit. Accordingly, the Court will grant Crittenden‘s motion to dismiss [Dkt. # 119], deny the Freedmen‘s motion for leave to file a fifth amended complaint [Dkt. # 127], and deny as moot the Federal Defendant‘s motion to dismiss [Dkt. # 118] and the Freedmen‘s motion to consolidate with Cherokee Nation v. Nash [Dkt. # 138]. An appropriate order will accompany this memorandum opinion.
Becky ROBERTS, Plaintiff, v. The UNITED STATES of America, et al., Defendants.
Civil Action No. 11-0706 (JDB).
United States District Court, District of Columbia.
March 23, 2012.
