Respondents, Alaska Native villages, brought suit against
petitioner, a state official, seeking an order requiring payment to
them of money allegedly owed under a state revenue-sharing statute.
The District Court dismissed the suit as violating the Eleventh
Amendment. The Court of Appeals reversed, first on the ground that
28 U.S.C. § 1362 constituted a congressional abrogation of
Eleventh Amendment immunity, and then, upon reconsideration, on the
ground that Alaska had no immunity against suits by Indian
tribes.
Held:
1. The Eleventh Amendment bars suits by Indian tribes against
States without their consent. Respondents' argument that
traditional principles of sovereign immunity restrict suits only by
individuals, and not by other sovereigns, was rejected in
Principality of Monaco v. Mississippi, 292 U.
S. 313,
292 U. S.
322-323. Nor is there merit to respondents' contention
that the States consented to suits by tribes in the "plan of the
convention."
See ibid. Just as in
Monaco with
regard to foreign sovereigns,
see id. at
292 U. S. 330,
there is no compelling evidence that the Founders thought that the
States waived their immunity with regard to tribes when they
adopted the Constitution. Although tribes are in some respects more
like States -- which may sue each other,
South Dakota v. North
Carolina, 192 U. S. 286,
192 U. S. 318
-- than like foreign sovereigns, it is the mutuality of concession
that makes the States' surrender of immunity from suits by sister
States plausible. There is no such mutuality with tribes, which
have been held repeatedly to enjoy immunity against suits by
States.
Oklahoma Tax Comm'n v. Citizen Band of Potawatomi Tribe
of Okla., 498 U. S. 505,
498 U. S. 509.
Pp.
501 U. S.
779-782.
2. Section 1362 -- which grants district courts original
jurisdiction to hear "all civil actions, brought by any Indian
tribe . . . wherein the matter in controversy arises under" federal
law -- does not operate to void the Eleventh Amendment's bar of
tribes' suits against States. Pp.
501 U. S.
782-788.
Page 501 U. S. 776
(a) Assuming the doubtful proposition that the Federal
Government's exemption from state sovereign immunity can be
delegated, § 1362 does not embody a general delegation to
tribes of the Federal Government's authority, under
United
States v. Minnesota, 270 U. S. 181,
270 U. S. 195,
to sue States on the tribes' behalf. Although
Moe v.
Confederated Salish an Kootenai Tribes, 425 U.
S. 463 -- which held that § 1362 revoked as to
tribes the Tax Injunction Act's denial of federal court access to
persons other than the United States seeking injunctive relief from
state taxation -- equated tribal access to federal court with the
United States' access, it did not purport to do so generally, nor
on the basis of a "delegation" theory, nor with respect to
constitutional (as opposed to merely statutory) constraints. Pp.
501 U. S.
783-786.
(b) Nor does § 1362 abrogate Eleventh Amendment immunity.
It does not satisfy the standard for congressional abrogation set
forth in
Dellmuth v. Muth, 491 U.
S. 223,
491 U. S.
227-228, since it does not reflect an "unmistakably
clear" intent to abrogate immunity, made plain "in the language of
the statute." Nor was it a sufficiently clear statement under the
less stringent standard of
Parden v. Terminal Railway of
Alabama Docks Dept., 377 U. S. 184,
which case (unlike
Dellmuth) had already been decided at
the time of § 1362's enactment in 1966. That case neither
mentioned nor was premised on abrogation (as opposed to consensual
waiver) -- and indeed the Court did not even acknowledge the
possibility of congressional abrogation until 1976,
Fitzpatrick
v. Bitzer, 427 U. S. 445. Pp.
501 U. S.
786-788.
3. Respondents' argument that the Eleventh Amendment does not
bar their claim for injunctive relief must be considered initially
by the Court of Appeals on remand. P.
501 U. S.
788.
896 F.2d 1157, reversed and remanded.
SCALIA, J., delivered the opinion of the Court, in which
REHNQUIST, C.J., and WHITE, O'CONNOR, KENNEDY, and SOUTER, JJ.,
joined. BLACKMUN, J., filed a dissenting opinion, in which MARSHALL
and STEVENS, JJ., joined,
post, p.
501 U. S.
788.
Page 501 U. S. 777
JUSTICE SCALIA delivered the opinion of the Court.
We are asked once again to mark the boundaries of state
sovereign immunity from suit in federal court. The Court of Appeals
for the Ninth Circuit found that immunity did not extend to suits
by Indian tribes, and Alaska seeks review of that
determination.
I
In 1980, Alaska enacted a revenue-sharing statute that provided
annual payments of $25,000 to each "Native village government"
located in a community without a state-chartered
Page 501 U. S. 778
municipal corporation. Alaska Stat.Ann. § 29.89.050 (1984).
The State's attorney general believed the statute to be
unconstitutional. In his view, Native village governments were
"racially exclusive groups" or "racially exclusive organizations"
whose status turned exclusively on the racial ancestry of their
members; therefore, the attorney general believed, funding these
groups would violate the equal protection clause of Alaska's
Constitution. Acting on the attorney general's advice, the
Commissioner of Alaska's Department of Community and Regional
Affairs (petitioner here), enlarged the program to include all
unincorporated communities, whether administered by Native
governments or not. Shortly thereafter, the legislature increased
funding under the program to match its increased scope. Funding,
however, never reached the full $25,000 initially allocated to each
unincorporated Native community.
The legislature repealed the revenue-sharing statute in 1985,
see 1985 Alaska Sess.Laws, ch. 90, and replaced it with
one that matched the program as expanded by the commissioner. In
the same year, respondents filed this suit, challenging the
commissioner's action on federal equal protection grounds, and
seeking an order requiring the commissioner to pay them the money
that they would have received had the commissioner not enlarged the
program. The District Court initially granted an injunction to
preserve sufficient funds for the 1986 fiscal year, but then
dismissed the suit as violating the Eleventh Amendment. The Court
of Appeals for the Ninth Circuit reversed, first on the ground that
28 U.S.C. § 1362 constituted a congressional abrogation of
Eleventh Amendment immunity,
Native Village of Noatak v.
Hoffman, 872 F.2d 1384 (1989) (later withdrawn), and then,
upon reconsideration, on the ground that Alaska had no immunity
against suits by Indian tribes. 896 F.2d 1157 (1989). We granted
certiorari
sub nom. Hoffman v. Native Village of Noatak,
498 U.S. 807 (1990).
Page 501 U. S. 779
II
The Eleventh Amendment provides as follows:
"The Judicial power of the United States shall not be construed
to extend to any suit in law or equity, commenced or prosecuted
against one of the United States by Citizens of another State, or
by Citizens or Subjects of any Foreign State."
Despite the narrowness of its terms, since
Hans v.
Louisiana, 134 U. S. 1 (1890),
we have understood the Eleventh Amendment to stand not so much for
what it says, but for the presupposition of our constitutional
structure which it confirms: that the States entered the federal
system with their sovereignty intact; that the judicial authority
in Article III is limited by this sovereignty,
Welch v. Texas
Dept. of Highways and Public Transportation, 483 U.
S. 468,
483 U. S. 472
(1987) (plurality opinion);
Employees of Dept. of Public Health
and Welfare of Mo. v. Department of Public Health and Welfare of
Mo., 411 U. S. 279,
411 U. S.
290-294 (1973) (MARSHALL, J., concurring in result); and
that a State will therefore not be subject to suit in federal court
unless it has consented to suit, either expressly or in the "plan
of the convention."
See Port Authority Trans-Hudson Corp. v.
Feeney, 495 U. S. 299,
495 U. S. 304
(1990);
Welch, supra at
483 U. S. 474
(plurality opinion);
Atascadero State Hospital v. Scanlon,
473 U. S. 234,
473 U. S. 238
(1985);
Pennhurst State School and Hospital v. Halderman,
465 U. S. 89,
465 U. S. 99
(1984).
Respondents do not ask us to revisit
Hans; instead,
they argue that the traditional principles of immunity presumed by
Hans do not apply to suits by sovereigns like Indian
tribes. And even if they did, respondents contend, the States have
consented to suits by tribes in the "plan of the convention." We
consider these points in turn.
In arguing that sovereign immunity does not restrict suit by
Indian tribes, respondents submit, first, that sovereign
Page 501 U. S. 780
immunity only restricts suits by individuals against sovereigns,
not by sovereigns against sovereigns, and as we have recognized,
Oklahoma Tax Comm'n v. Citizen Band of Potawatomi Tribe of
Okla., 498 U. S. 505,
498 U. S. 509
(1991), Indian tribes are sovereigns. Respondents' conception of
the nature of sovereign immunity finds some support both in the
apparent understanding of the Founders and in dicta of our own
opinions. [
Footnote 1] But
whatever the reach or meaning of these early statements, the notion
that traditional principles of sovereign immunity only restrict
suits by individuals was rejected in
Principality of Monaco v.
Mississippi, 292 U. S. 313
(1934). It is with that opinion, and the conception of sovereignty
that it embraces, that we must begin.
In
Monaco, the Principality had come into possession of
Mississippi state bonds, and had sued Mississippi in federal court
to recover amounts due under those bonds. Mississippi defended on
grounds of the Eleventh Amendment, among others. Had respondents'
understanding of sovereign immunity been the Court's, the Eleventh
Amendment would not have limited the otherwise clear grant of
jurisdiction
Page 501 U. S. 781
in Article III to hear controversies "between a State . . . and
foreign States." But we held that it did.
"Manifestly, we cannot rest with a mere literal application of
the words of § 2 of Article III, or assume that the letter of
the Eleventh Amendment exhausts the restrictions upon suits against
nonconsenting States. Behind the words of the constitutional
provisions are postulates which limit and control. . . . There is .
. . the postulate that States of the Union, still possessing
attributes of sovereignty, shall be immune from suits, without
their consent, save where there has been a 'surrender of this
immunity in the plan of the convention.' The Federalist, No.
81."
Monaco, supra at
292 U. S.
322-323 (footnote omitted). Our clear assumption in
Monaco was that sovereign immunity extends against both
individuals and sovereigns, so that there must be found inherent in
the plan of the convention a surrender by the States of immunity as
to either. Because we perceived in the plan "no ground upon which
it can be said that any waiver or consent by a State of the Union
has run in favor of a foreign State,"
id. at
292 U. S. 330,
we concluded that foreign states were still subject to the immunity
of the States.
We pursue the same inquiry in the present case, and thus
confront respondents' second contention: that the States waived
their immunity against Indian tribes when they adopted the
Constitution. Just as in
Monaco with regard to foreign
sovereigns, so also here with regard to Indian tribes, there is no
compelling evidence that the Founders thought such a surrender
inherent in the constitutional compact. [
Footnote 2]
Page 501 U. S. 782
We have hitherto found a surrender of immunity against
particular litigants in only two contexts: suits by sister States,
South Dakota v. North Carolina, 192 U.
S. 286,
192 U. S. 318
(1904), and suits by the United States,
United States v.
Texas, 143 U. S. 621
(1892). We have not found a surrender by the United States to suit
by the States,
Kansas v. United States, 204 U.
S. 331,
204 U. S. 342
(1907);
see Jackson, The Supreme Court, the Eleventh
Amendment, and State Sovereign Immunity, 98 Yale L.J. 1, 79-80
(1988), nor, again, a surrender by the States to suit by foreign
sovereigns,
Monaco, supra.
Respondents argue that Indian tribes are more like States than
foreign sovereigns. That is true in some respects: they are, for
example, domestic. The relevant difference between States and
foreign sovereigns, however, is not domesticity, but the role of
each in the convention within which the surrender of immunity was
for the former, but not for the latter, implicit. What makes the
States' surrender of immunity from suit by sister States plausible
is the mutuality of that concession. There is no such mutuality
with either foreign sovereigns or Indian tribes. We have repeatedly
held that Indian tribes enjoy immunity against suits by States,
Potawatomi Tribe, supra at
498 U. S. 509,
as it would be absurd to suggest that the tribes surrendered
immunity in a convention to which they were not even parties. But
if the convention could not surrender the tribes' immunity for the
benefit of the States, we do not believe that it surrendered the
States' immunity for the benefit of the tribes.
III
Respondents argue that, if the Eleventh Amendment operates to
bar suits by Indian tribes against States without their
Page 501 U. S. 783
consent, 28 U.S.C. § 1362 operates to void that bar. They
press two very different arguments, which we consider in turn.
A
In
United States v. Minnesota, 270 U.
S. 181 (1926), we held that the United States had
standing to sue on behalf of Indian tribes as guardians of the
tribes' rights, and that, since "the immunity of the State is
subject to the constitutional qualification that she may be sued in
this Court by the United States,"
id. at
270 U. S. 195,
no Eleventh Amendment bar would limit the United States' access to
federal courts for that purpose. Relying upon our decision in
Moe v. Confederated Salish and Kootenai Tribes,
425 U. S. 463
(196), respondents argue that we have read § 1362 to embody a
general delegation of the authority to sue on the tribes' behalf
from the Federal Government back to tribes themselves. Hence,
respondents suggest, because the United States would face no
sovereign immunity limitation, in no case brought under § 1362
can sovereign immunity be a bar. Section 1362 provides as
follows:
"The district courts shall have original jurisdiction of all
civil actions, brought by any Indian tribe or band with a governing
body duly recognized by the Secretary of the Interior, wherein the
matter in controversy arises under the Constitution, laws, or
treaties of the United States."
What is striking about this most unremarkable statute is its
similarity to any number of other grants of jurisdiction to
district courts to hear federal question claims. Compare it, for
example, with § 1331(a) as it existed at the time § 1362
was enacted:
"The district courts shall have original jurisdiction of all
civil actions wherein the matter in controversy exceeds the sum or
value of $10,000 exclusive of interest and costs, and arises under
the Constitution, laws, or
Page 501 U. S. 784
treaties of the United States."
28 U.S.C. § 1331(a) (1964 ed.). Considering the text of
§ 1362 in the context of its enactment, one might well
conclude that its
sole purpose was to eliminate any
jurisdictional minimum for "arising under" claims brought by Indian
tribes. Tribes already had access to federal courts for "arising
under" claims under § 1331, where the amount in controversy
was greater than $10,000; for all that appears from its text,
§ 1362 merely extends that jurisdiction to claims below that
minimum. Such a reading, moreover, finds support in the very title
of the Act that adopted § 1362:
"To amend the Judicial Code to permit Indian tribes to maintain
civil actions in Federal district courts without regard to the
$10,000 limitation, and for other purposes."
80 Stat. 880.
Moe, however, found something more in the title's
"other purposes" -- an implication that
"a tribe's access to federal court to litigate [federal question
cases] would be
at least in some respects as broad as that
of the United States suing as the tribe's trustee,"
425 U.S. at
425 U. S. 473
(emphasis added). The "respect" at issue in
Moe was access
to federal court for the purpose of obtaining injunctive relief
from state taxation. The Tax Injunction Act, 28 U.S.C. § 1341,
denied such access to persons other than the United States; we held
that § 1362 revoked that denial as to Indian tribes.
Moe did not purport to be saying that § 1362 equated
tribal access with the United States' access
generally,
but only "at least in some respects," 425 U.S. at
425 U. S. 473,
or "in certain respects,"
id. at
425 U. S. 474.
Respondents now urge us, in effect, to eliminate this limitation
utterly -- for it is impossible to imagine any more extreme
replication of the United States' ability to sue than replication
even to the point of allowing unconsented suit against state
sovereigns. This is a vast expansion upon
Moe. Section
1341, which
Moe held § 1362 to eliminate in its
application to tribal suits, was merely a limitation that Congress
itself had created -- committing state tax injunction suits
Page 501 U. S. 785
to state courts as a matter of comity. Absent that statute,
state taxes could constitutionally be enjoined.
See Will v.
Michigan Dept. of State Police, 491 U. S.
58,
491 U. S. 71, n.
10 (1989). [
Footnote 3] The
obstacle to suit in the present case, by contrast, is a creation
not of Congress, but of the Constitution. A willingness to
eliminate the former in no way bespeaks a willingness to eliminate
the latter, especially when limitation to "certain respects" has
explicitly been announced.
Moreover, as we shall discuss in
501 U. S. our
cases require Congress' exercise of the power to abrogate state
sovereign immunity, where it exists, to be exercised with
unmistakeable clarity. To avoid that difficulty, respondents assert
that § 1362 represents not an abrogation of the States'
sovereign immunity, but rather a
delegation to tribes of
the Federal Government's exemption from state sovereign immunity.
We doubt, to begin with, that that sovereign exemption can be
delegated -- even if one limits the permissibility of delegation
(as respondents propose) to persons on whose behalf the United
States itself might sue. The consent, "inherent in the convention,"
to suit by the United States -- at the instance and under the
control of responsible federal officers -- is not consent to suit
by anyone whom the United States might select; and even consent to
suit by the United States for a particular person's benefit is not
consent to suit by that person himself.
But, in any event, assuming that delegation of exemption from
state sovereign immunity is theoretically possible, there is no
reason to believe that Congress ever contemplated such
Page 501 U. S. 786
a strange notion. Even if our decision in
Moe could be
regarded as in any way related to sovereign immunity,
see
n 3,
supra, it could
nevertheless not be regarded as in any way related to congressional
"delegation." The opinion does not mention that word, and contains
not the slightest suggestion of such an analysis. To say that
"§ 1362 . . . suggests that, in certain respects, tribes
suing under this section were to be accorded treatment similar to
that of the United States had it sued on their behalf,"
425 U.S. at
425 U. S. 474,
does not remotely imply delegation -- only equivalence of
treatment. The delegation theory is entirely a creature of
respondents' own invention.
B
Finally, respondents ask us to recognize § 1362 as a
congressional abrogation of Eleventh Amendment immunity. We have
repeatedly said that this power to abrogate can only be exercised
by a clear legislative statement. As we said in
Dellmuth v.
Muth, 491 U. S. 223
(1989),
"To temper Congress' acknowledged powers of abrogation with due
concern for the Eleventh Amendment's role as an essential component
of our constitutional structure, we have applied a simple but
stringent test:"
"Congress may abrogate the States' constitutionally secured
immunity from suit in federal court only by making its intention
unmistakably clear in the language of the statute."
Id. at
491 U. S.
227-228.
We agree with petitioner that § 1362 does not reflect an
"unmistakably clear" intent to abrogate immunity, made plain "in
the language of the statute." As we have already noted, the text is
no more specific than § 1331, the grant of general federal
question jurisdiction to district courts, and no one contends that
§ 1331 suffices to abrogate immunity for all federal
questions. [
Footnote 4]
Page 501 U. S. 787
Respondents' argument, however, is not that § 1362 is a
"clear statement" under the standard of
Dellmuth, but
rather that it was a sufficiently clear statement under the
standard of
Parden v. Terminal Railway of Alabama Docks
Dept., 377 U. S. 184
(1964), the existing authority for "abrogation" at the time of
§ 1362's enactment in 1966. In
Parden, we found a
sufficiently clear intent to avoid state immunity in a statute that
subjected to liability "every" common carrier in interstate
commerce, where the State, after the statute's enactment, chose to
become a carrier in interstate commerce.
Id. at
377 U. S.
187-188. Similarly, respondents argue, a statute that
grants jurisdiction to district courts to hear "all civil actions,
brought by any Indian tribe" should constitute a sufficiently clear
expression of intent to abrogate immunity.
Dellmuth is not
to the contrary, respondents maintain, since the statute there was
enacted in the mid-1970's, long after the rule of
Parden
had been drawn into question.
Dellmuth, supra at
491 U. S.
231.
We shall assume for the sake of argument (though we by no means
accept) that Congress must be presumed to have had as relatively
obscure a decision as
Parden in mind as a backdrop to all
its legislation. But even if Congress were aware of
Parden's minimal clarity requirement, nothing in
Parden could lead Congress to presume that that
requirement applied to the
abrogation of state immunity.
Parden itself neither mentioned nor was premised upon
abrogation. Its theory was that, by entering a field of economic
activity that is federally regulated, the State impliedly
"consent[s]" to be
Page 501 U. S. 788
bound by that regulation and to be subject to suit in federal
court on the same terms as other regulated parties, thus
"waiv[ing]" its Eleventh Amendment immunity. 377 U.S. at
377 U. S. 186.
Not until 1976 (10 years after the passage of § 1362) did we
first acknowledge a congressional power to abrogate state immunity
-- under § 5 of the Fourteenth Amendment.
Fitzpatrick v.
Bitzer, 427 U. S. 445
(1976). Thus,
Parden would have given Congress no reason
to believe it could abrogate state sovereign immunity, and gives us
no reason to believe that Congress intended abrogation by a means
so subtle as § 1362. At the time § 1362 was enacted,
abrogation would have been regarded as such a novel (not to say
questionable) course that a general "arising under" statute like
§ 1362 would not conceivably have been thought to imply it. We
conclude that neither under the current standard of
Dellmuth nor under any standard in effect at the time of
Parden was § 1362 an abrogation of state sovereign
immunity. [
Footnote 5]
IV
Finally, respondents argue that, even if the Eleventh Amendment
bars their claims for damages, they still seek injunctive relief,
which the Eleventh Amendment would not bar. The Court of Appeals,
of course, did not address this point, and we leave it for that
court's initial consideration on remand.
The judgment of the Court of Appeals is reversed, and the case
is remanded for further proceedings consistent with this
opinion.
It is so ordered.
[
Footnote 1]
As Alexander Hamilton said, "It is inherent in the nature of
sovereignty not to be amendable to the suit of an
individual without its consent." The Federalist No. 81,
pp. 548-549 (J. Cooke ed.1961) (emphasis added and deleted). James
Madison expressed a similar understanding at the Virginia
Convention ("It is not in the power of
individuals to call
any state into court"), 3 J. Elliot, The Debates in the Several
State Conventions on the Adoption of the Federal Constitution 533
(2d ed. 1863) (emphasis added), as did Chief Justice Marshall
("[A]n
individual cannot proceed to obtain judgment
against a state, though he may be sued by a state"),
id.
at 555-556 (emphasis added). In
United States v. Texas,
143 U. S. 621,
143 U. S. 645
(1892), we adverted to respondents' distinction explicitly,
describing
Hans v. Louisiana, 134 U. S.
1 (1890), as having
"proceeded upon the broad ground that 'it is inherent in the
nature of sovereignty not to be amenable to the suit of an
individual without its consent,'"
143 U.S. at
143 U. S.
645-646, and concluding that "the suability of one
government by another government . . . does no violence to the
inherent nature of sovereignty."
Id. at
143 U. S.
646.
[
Footnote 2]
The only evidence alluded to by respondents is a statement by
President Washington to Chief Cornplanter of the Seneca Nation:
"Here, then, is the security for the remainder of your lands. No
State, nor person, can purchase your lands, unless at some public
treaty, held under the authority of the United States."
"
* * * *"
"If . . . you have any just cause of complaint against [a
purchaser], and can make satisfactory proof thereof, the federal
courts will be open to you for redress, as to all other
persons."
4 American State Papers, Indian Affairs, Vol. 1, p. 142 (1832).
But of course, denying Indian tribes the right to sue States in
federal court does not disadvantage them in relation to "all other
persons." Respondents are asking for access more favorable than
that which others enjoy.
[
Footnote 3]
Such injunction suits can only be brought against state officers
in their official capacity, and not against the State in its own
name.
Missouri v. Fiske, 290 U. S. 18,
290 U. S. 27
(1933). Respondents argue that since the plaintiffs in
Moe v.
Confederated Salish and Kootenai Tribes, 425 U.
S. 463 (1976), named the State of Montana as a
defendant, as well as individual officers, the decision in that
case held that § 1362 eliminated not only the statutory bar of
§ 1341, but sovereign immunity as well. We think not. Since
Montana had not objected in this Court on sovereign immunity
grounds, its immunity had been waived, and was not at issue.
[
Footnote 4]
In asserting that § 1362's grant of jurisdiction to "all
civil actions" suffices to abrogate a State's defense of immunity,
post at
501 U. S.
795-796, the dissent has just repeated the mistake of
the Court in
Chisholm v.
Georgia, 2 Dall. 419 (1793),
see id. at
2 U. S. 434-450
(Iredell, J., dissenting), the case that occasioned the Eleventh
Amendment itself. The fact that Congress grants
jurisdiction to hear a claim does not suffice to show
Congress has abrogated all
defenses to that claim. The
issues are wholly distinct. A State may waive its Eleventh
Amendment immunity, and if it does, § 1362 certainly would
grant a district court jurisdiction to hear the claim. The
dissent's view returns us, like Sisyphus, to the beginning of this
200-year struggle.
[
Footnote 5]
Because we find that § 1362 does not enable tribes to
overcome Alaska's sovereign immunity, we express no view on whether
these respondents qualify as "tribes" within the meaning of that
statute.
JUSTICE BLACKMUN, with whom JUSTICE MARSHALL and JUSTICE STEVENS
join, dissenting.
The Court today holds that our Eleventh Amendment precludes
Native American tribes from seeking to vindicate in
Page 501 U. S. 789
federal court rights they regard as secured to them by the
United States Constitution. Because the Court resolves this case
through reliance on a doctrine I cannot accept, and because I
believe its construction of the pertinent jurisdictional statute to
be otherwise flawed, I dissent.
As some of us previously have stated,
see Atascadero State
Hospital v. Scanlon, 473 U. S. 234,
473 U. S. 302
(1985) (dissenting opinion), I do not believe the Eleventh
Amendment is implicated by a suit such as this one, in which
litigants seek to vindicate federal rights against a State. In my
view, the Amendment has no application outside the context of
State/ citizen and State/alien diversity suits.
* Put another
way,
"[t]here simply is no constitutional principle of state
sovereign immunity, and no constitutionally mandated policy of
excluding suits against States from federal court."
Id. at
473 U. S. 259
(Brennan, J., dissenting).
The substantial historical analysis that supports this view
already has been exhaustively detailed,
see id. at
473 U. S.
258-302 (Brennan, J., joined by MARSHALL, BLACKMUN, and
STEVENS, JJ., dissenting);
Welch v. Texas Dept. of Highways and
Public Transportation, 483 U. S. 468,
483 U. S. 497
(1987) (Brennan, J., joined by MARSHALL, BLACKMUN, and STEVENS,
JJ., dissenting);
Pennsylvania v. Union Gas Co.,
491 U. S. 1,
491 U.S. 23 (1989)
(STEVENS, J., concurring);
Pennhurst State School and Hospital
v. Halderman, 465 U. S. 89,
465 U. S.
140-159 (1984) (STEVENS, J., joined by Brennan,
MARSHALL, and BLACKMUN, JJ., dissenting), and I shall not repeat it
here. It bears emphasis, however, that the Court need not have
compounded the error of
Hans v. Louisiana, 134 U. S.
1
Page 501 U. S. 790
(1890), and its progeny by extending the doctrine of state
sovereign immunity to bar suits by tribal entities, which are
neither "Citizens of another State," nor "Citizens or Subjects of
any Foreign State."
II
Even assuming that the State at one time may have possessed
immunity against tribal suits, that immunity was abrogated by
Congress when, in 1966, 80 Stat. 880, it enacted 28 U.S.C. §
1362. The majority rejects this argument, holding that § 1362
cannot authorize respondents' suit because the statute's language
does not reflect an "unmistakably clear" intent to abrogate the
States' sovereign immunity.
Ante at
501 U. S. 786.
I have never accepted the validity of that so-called "clear
statement rule," and I remain of the view, expressed by Justice
Brennan for four of us in
Atascadero, that such
"special rules of statutory drafting are not justified (nor are
they justifiable) as efforts to determine the genuine intent of
Congress. . . . [T]he special rules are designed as hurdles to keep
the disfavored suits out of the federal courts."
473 U.S. at
473 U. S.
254.
Even if I were to accept the proposition that the clear
statement rule at times might serve as a mechanism for discerning
congressional intent, I surely would reject its application here.
Despite the Court's attempt to give it a constitutional cast, the
clear statement rule, at bottom, is a tool of statutory
construction like any other. So it must be, for the Judiciary has
no power to redraw legislative enactments; where Congress has the
authority to regulate a sphere of activity, we simply must do our
best to determine whether it has done so in any particular
instance. The majority's rule is one method for accomplishing that
task. It is premised on the perception that Congress does not
casually alter the "balance of power" between the Federal
Government and the States.
Id. at
473 U. S. 242.
Because federal intrusion into state authority is the unusual case,
and because courts are to use caution in determining when their own
jurisdiction
Page 501 U. S. 791
has been expanded,
id. at
473 U. S. 243,
this Court has erected the clear statement rule in order to be
certain that abrogation is Congress' plan.
Whatever the validity of that determination may be generally, it
cannot extend to matters concerning federal regulation of Native
American affairs; in that sphere of governmental operations, the
"balance of power" always has weighed heavily against the States
and in favor of the Federal Government. Indeed,
"[t]he plenary power of Congress to deal with the special
problems of Indians is drawn both explicitly and implicitly from
the Constitution itself."
Morton v. Mancari, 417 U. S. 535,
417 U. S.
551-552 (1974).
Illustrative of this principle are our cases holding that the
law of the State is generally inapplicable to Native American
affairs, absent the consent of Congress.
See, e.g.,
31 U. S.
Georgia, 6 Pet. 515 (1832). Chief Justice Marshall explained
for the Court in
Worcester that a federally recognized
tribe
"is a distinct community, occupying its own territory, with
boundaries accurately described, in which the laws of [the State]
can have no force, and which the citizens of [the State] have no
right to enter, but with the assent of the [tribes] themselves, or
in conformity with treaties, and with the acts of Congress. The
whole intercourse between the United States and this nation, is, by
our Constitution and laws, vested in the government of the United
States."
Id. at
31 U. S. 561.
Despite the States' undeniable interest in regulating activities
within its borders, and despite traditional principles of
federalism, the State's authority has been largely displaced in
matters pertaining to Native Americans.
See The
Kansas Indians, 5 Wall. 737 (1867) (finding state
taxes inapplicable to tribal lands despite partial assimilation of
tribe into white society);
United States v. Kagama,
118 U. S. 375
(1886) (sustaining validity of a prosecution of Native Americans in
federal court under the Indian Major Crimes Act). Moreover,
Page 501 U. S. 792
federal displacement of state authority regarding Native
American affairs has not been limited to the geographic boundaries
of "Indian country,"
see Antoine v. Washington,
420 U. S. 194
(1976) (holding that Congress may constitutionally inhibit a
State's exercise of its police power over non-Indian land through
federal legislation ratifying an agreement with a tribe), nor to
state regulations that directly infringe upon tribal
self-government.
See McClanahan v. Arizona State Tax
Comm'n, 411 U. S. 164,
411 U. S.
179-180 (1973).
Thus, in this area, the pertinent "balance of power" is between
the Federal Government and the tribes, with the States playing only
a subsidiary role. Because spheres of activity otherwise
susceptible to state regulation are, "according to the settled
principles of our Constitution, . . . committed exclusively to the
government of the Union,"
Worcester v. Georgia, 6 Pet. at
31 U. S. 561,
where Native American affairs are concerned, the presumptions
underlying the clear statement rule, and thus the rule itself, have
no place in interpreting statutes pertaining to the tribes.
Employing the traditional tools of statutory interpretation, I
conclude that Congress intended, through § 1362, to authorize
constitutional claims for damages by tribes against the States.
Section 1362 provides:
"The district courts shall have original jurisdiction of
all civil actions, brought by any Indian tribe or band
with a governing body duly recognized by the Secretary of the
Interior, wherein the matter in controversy arises under the
Constitution, laws, or treaties of the United States."
(Emphasis added.) The majority notes, correctly, that this
language is no broader than that of 28 U.S.C. § 1331(a), as it
existed at the time § 1362 was enacted.
Ante at
501 U. S. 784.
As the preceding discussion makes clear, however, this is an area
in which "a page of history is worth a volume of logic."
New
York Trust Co. v. Eisner, 256 U. S. 345,
256 U. S. 349
(1921). A review of the
Page 501 U. S. 793
history of the latter statute reveals that Congress intended
§ 1362 to have a broader reach.
Prior to 1966, the Indian tribes were largely dependent upon the
United States Government to enforce their rights against state
encroachment.
See, e.g., United States v. Minnesota,
270 U. S. 181
(1926). This arrangement derived from the historic trust
relationship between the tribes and the United States.
See
F. Cohen, Handbook of Federal Indian Law 308 (1982 ed.). In seeking
judicial protection of tribal interests, the Federal Government, of
course, was unrestrained by the doctrine of state sovereign
immunity.
United States v. Minnesota, 270 U.S. at
270 U. S. 195,
citing
United States v. Texas, 143 U.
S. 621 (1892).
In 1966, Congress enacted 28 U.S.C. § 1362 as part of a
larger national policy of "self-determination" for the Native
American peoples.
See M. Price & R. Clinton, Law and
the American Indian 86-91 (2d ed.1983). Consistent with that
policy,
"Congress contemplated that § 1362 would be used
particularly in situations in which the United States suffered from
a conflict of interest or was otherwise unable or unwilling to
bring suit as trustee for the Indians."
Arizona v. San Carlos Apache Tribe, 463 U.
S. 545,
463 U. S. 560,
n. 10 (1983). In other words, Congress sought to eliminate the
tribes' dependence upon the United States for the vindication of
federal rights in the federal courts.
In light of that legislative purpose, we held in
Moe v.
Confederated Salish and Kootenai Tribes, 425 U.
S. 463 (1976), that the Tax Injunction Act, 28 U.S.C.
§ 1341, does not bar an action to enjoin the collection of
state taxes brought by a tribe pursuant to § 1362, although it
precludes such a suit by a private litigant. Construing §
1362, we identified a congressional intent that
"a tribe's access to federal court to litigate a matter arising
'under the Constitution, laws, or treaties' would be, at least in
some respects, as broad as that of the United States suing as the
tribe's trustee."
425 U.S. at
425 U. S. 473.
Because the Federal Government could have brought
Page 501 U. S. 794
such a suit on the tribes' behalf,
see Heckman v. United
States, 224 U. S. 413
(1912), we held that the tribes were similarly empowered by §
1362.
I agree with respondents that the litigation authority bestowed
on the tribes through § 1362 also includes the right to bring
federal claims against the States for damages. The legislative
history of the statute reveals Congress' intention that the tribes
bring litigation "involving issues identical to those" that would
have been raised by the United States acting as trustee for the
tribes. H.R.Rep. No. 2040, 89th Cong., 2d Sess., 2 (1966) (House
Report). There is no reason to believe that this authority would be
limited to prospective relief in the broad range of suits brought
against the States.
Fundamentally, the vindication of Native American rights has
been the institutional responsibility of the Federal Government
since the Republic's founding.
See, e.g., 30 U.
S. Georgia, 5 Pet. 1,
30 U. S. 17
(1831). Section 1362 represents a frank acknowledgment by the
Government that it often lacks the resources or the political will
adequately to fulfill this responsibility. Given this admission, we
should not lightly restrict the authority granted the tribes to
defend their own interests. Rather, the most reasoned
interpretation of § 1362 is as a congressional authorization
to bring those suits that are necessary to vindicate fully the
federal rights of the tribes. It hardly requires explication that
monetary remedies are often necessary to afford such relief.
Providing
"the means whereby the tribes are assured of the same judicial
determination whether the action is brought in their behalf by the
Government or by their own attorneys,"
House Report at 2-3, necessarily entails access to monetary
redress from the States where federal rights have been
violated.
In resisting this conclusion, the majority asserts that, because
the Tax Injunction Act is merely a congressional enactment, while
the doctrine of sovereign immunity is a constitutional
Page 501 U. S. 795
one, a "willingness to eliminate the former in no way bespeaks a
willingness to eliminate the latter."
Ante at
501 U. S. 785.
But the premise does not lead to the conclusion. Congress, through
appropriate legislation, may abrogate state sovereign immunity,
just as it may repeal or amend its own prior enactments. Moreover,
the Tax Injunction Act, like the sovereign immunity doctrine, is
rooted in historical notions of federalism and comity.
See Fair
Assessment in Real Estate Assn., Inc. v. McNary, 454 U.
S. 100,
454 U. S. 103
(1981), and cases cited therein. In light of these parallels, I
find the expansive congressional purpose the Court identified in
Moe to provide substantial support for the proposition
that § 1362 was intended to convey federal jurisdiction over
"
all civil actions," § 1362 (emphasis added), brought
by recognized tribes that the Government could have brought on
their behalf.
"Finally, in construing this 'admittedly ambiguous' statute,
Board
of Comm'rs v. Seber, [
318 U.S.
705,
318 U. S. 713 (1943)], we
must be guided by that 'eminently sound and vital canon,'
Northern Cheyenne Tribe v. Hollowbreast, 425 U. S.
649,
425 U. S. 655 n. 7 (1976),
that"
"statutes passed for the benefit of dependent Indian tribes . .
. are to be liberally construed, doubtful expressions being
resolved in favor of the Indians."
"
Alaska Pacific Fisheries v. United States,
248 U. S.
78,
248 U. S. 89 (1918)."
Bryan v. Itasca County, 426 U.
S. 373,
426 U. S. 392
(1976). Unlike the ill-conceived interpretive rule adopted so
recently in
Atascadero, this canon of construction dates
back to the earliest years of our Nation's history.
See, e.g.,
31 U. S.
Georgia, 6 Pet. at 582;
The Kansas
Indians, 5 Wall. 737 (1867);
Choate v.
Trapp, 224 U. S. 665,
224 U. S. 675
(1912). Indeed, it is rooted in the unique trust relationship
between the tribes and the Federal Government that is inherent in
the constitutional plan.
See U.S.Const., Art. I, § 8,
cl. 3; Art. I, § 2, cl. 3. In light of this time-honored
principle of construction, it requires no linguistic contortion to
read § 1362's grant of federal jurisdiction over "all civil
actions" to encompass
Page 501 U. S. 796
all tribal litigation that the United States could have brought
as the tribes' guardian.
III
Having concluded that respondents' suit may be brought in
federal court, I agree with the Court of Appeals that respondents
are recognized "tribe[s] or band[s]" for purposes of § 1362,
and that they have alleged a federal cause of action. Accordingly,
I would affirm the judgment of the Court of Appeals. I respectfully
dissent from this Court's reversal of that judgment.
* The Eleventh Amendment reads:
"The Judicial power of the United States shall not be construed
to extend to any suit in law or equity, commenced or prosecuted
against one of the United States by Citizens of another State, or
by Citizens or Subjects of any Foreign State."
U.S.Const., Amdt. 11.