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AGUA CALIENTE BAND OF CAHUILLA INDIANS, Petitioner,
v.
SUPERIOR COURT OF SACRAMENTO COUNTY, Respondent;
FAIR POLITICAL PRACTICES COMMISSION, Real Party in Interest.
No. C043716
In the Court of Appeal of the State of California
Third Appellate District
(Sacramento)
(Super. Ct. No. 02AS04545)
ORIGINAL PROCEEDINGS. Writ of mandate. Denied. Superior Court
of Sacramento County, Loren E. McMaster, Judge.
COUNSEL
Reed Smith Crosby Heafey, Bernard P. Simons, James C.
Martin, George P. Schiavelli, Denise M. Howell; Law Offices of
Art Bunce, Art Bunce, Kathryn Clenney; Reed & Davidson, Dana
W. Reed and Darryl R. Wold for petitioner.
No appearance for Respondent.
Riegels Campos & Kenyon, Charity Kenyon; Fair Political
Practices Commission, Steven Benito Russo, Luisa Menchaca,
William L. Williams, Jr. and Holly B. Armstrong for Real Party
in Interest.
Bill Lockyer, Attorney General, Andrea Lynn Hoch, Louis
R. Mauro, Assistant Attorneys General, Kenneth R. Williams, Robert
C. Nash, Deputy Attorneys General for the Attorney General; Heller
Ehrman White & McAuliffe, John C. Ulin and D. Eric Shapland
for California Common Cause, Amici Curiae on behalf of Real Party
in Interest.
Filed March 3, 2004
The question in this case is whether the Fair Political
Practices Commission (FPPC) can sue an Indian tribe to force
it to comply with reporting requirements for campaign contributions
contained in the Political Reform Act (PRA), Government Code
section 81000 et seq.[FOOTNOTE 1]
Real party in interest, the FPPC, filed suit against
Agua Caliente Band of Cahuilla Indians (the Tribe), alleging
failure to disclose lobbying activities and contributions to
political campaigns, as required by the PRA. The Tribe claims
that, as a federally-recognized Indian tribe, it is immune from
suit under the doctrine of tribal immunity. In this writ proceeding,
the Tribe asks this court to issue a peremptory writ of mandate
directing the trial court to vacate its ruling denying the Tribe's
motion to quash service of summons for lack of personal jurisdiction
and enter a new order granting the motion.
We shall deny the Tribe's petition.[FOOTNOTE 2] We shall
conclude, on the one hand, that the doctrine of tribal immunity,
as announced by the United States Supreme Court, has no foundation
in the federal Constitution or in any federal statute but is
rather a doctrine created by the common law power of the Supreme
Court. On the other hand, the State has a constitutional right,
under article IV, section 4 and the Tenth Amendment to the United
States Constitution, to maintain a republican form of government.
That form of government entails government by representatives
elected by the People. The right to sue to enforce the PRA is
necessary to preserve a republican form of government free of
corruption and therefore has constitutional stature. The constitutional
right of the State to sue to preserve its republican form of
government trumps the common law doctrine of tribal immunity.
The FPPC can therefore sue the Tribe.
FACTUAL AND PROCEDURAL BACKGROUND
FPPC's complaint sought civil penalties and injunctive
relief for the Tribe's alleged violations of the PRA. The complaint
alleged an express purpose of the PRA, as stated in section 81002,
is to ensure that contributions to California election campaigns
be fully disclosed to the public in order that voters may be
fully informed and improper practices may be inhibited. Section
84200 mandates that specified contributions be disclosed to the
public in a timely manner.[FOOTNOTE 3] The PRA also mandates
reporting of lobbying activities to regulate lobbyists and ensure
that lobbyists do not exert improper influence on public officials.
(§ § 81002, 86116.)
The complaint alleged the Tribe is a federally recognized
Indian tribe and constitutes a "person" pursuant to
section 82047 of the PRA, which defines "Person" as
"an individual, proprietorship, firm, partnership, joint
venture, syndicate, business trust, company, corporation, limited
liability company, association, committee, and any other organization
or group of persons acting in concert."
The complaint alleged the Tribe constituted a major
donor subject to PRA reporting requirements because of the Tribe's
extensive contributions to political campaigns, including more
than $7,500,000 in 1998, $175,250 in the first half of 2001,
and $426,000 in the first half of 2002.
In the first cause of action, the complaint alleged
two PRA violations for failure to file semi-annual campaign statements
by July 31, 1998, and January 31, 1999, as required by section
84200. The Tribe made contributions to California candidates
and committees totaling at least $1,218,413 between January 1
and June 30 of 1998, but failed to file the disclosure statement
by the July 31, 1998, due date. The Tribe did not file the required
statement until October 2000, more than two years after the due
date. The Tribe made contributions totaling at least $6,291,764
between July 1 and December 31 of 1998, but failed to file the
disclosure statement by the January 31, 1999, due date. The Tribe
filed an untimely statement on March 8, 1999, but amended it
in a final statement on November 27, 2000.
In a second cause of action, the complaint alleged the
Tribe failed to report, in its July 31, 2002, semi-annual statement,
a March 2002 contribution to a statewide ballot measure committee
on Proposition 51. Proposition 51 authorized expenditure of $15
million per fiscal year for eight years for projects that included
a passenger rail line from Los Angeles to an area of Palm Springs
where the Tribe operates a casino.
In a third cause of action, the complaint alleged 13
PRA violations for failure to report late contributions (totaling
more than $1 million) under section 84203, which requires the
donor to file a report within 24 hours of making a contribution
before an election but after the closing date of the last pre-election
statement.
In a fourth cause of action, the complaint alleged four
PRA violations for failure to report lobbying interests (§
86116), leaving voters unable to correlate the Tribe's campaign
contribution information with the interests being lobbied by
the Tribe.
The complaint sought monetary penalties, as authorized
by sections 91004 and 91005.5, and an injunction commanding the
Tribe to file disclosure statements required by the PRA.
In November 2002, the Tribe, specially appearing, filed
a motion to quash service of summons for lack of personal jurisdiction.
The Tribe asserted it was immune from suit under the doctrine
of tribal sovereign immunity. The Tribe also asserted all the
information sought by the lawsuit was available to FPPC through
other sources, i.e., reports filed by the recipients of the campaign
contributions.
On February 27, 2003, the trial court issued a written
ruling denying the Tribe's motion to quash. The trial court observed
that case law applying the doctrine of tribal sovereign immunity
concerned activities affecting tribal self-governance or economic
development, not activities affecting the governance and development
of another sovereign. To apply immunity to PRA enforcement actions
would (1) intrude upon the State's exercise of its reserved power
under the Tenth Amendment of the United States Constitution,
to regulate its electoral and legislative processes, and (2)
interfere with the republican form of government guaranteed to
the State by article IV, section 4 of the United States Constitution.
On April 7, 2003, the Tribe filed a petition for writ
of mandate in this court, seeking a writ to make the trial court
grant its motion to quash. We denied the petition.
On July 23, 2003, the California Supreme Court granted
the Tribe's petition for review and transferred the matter to
this court with directions to vacate the order denying mandate
and to issue an order directing respondent to show cause why
the relief sought should not be granted.
On August 12, 2003, we issued the order to show cause.
FPPC filed a return to the petition. We also allowed
the filing of amicus curiae briefs by the Attorney General of
the State of California and California Common Cause, both in
support of FPPC's position.
DISCUSSION
In this proceeding, the Tribe does not contend it is
immune from the PRA's requirements for disclosure of campaign
contributions. Rather, the Tribe contends it is immune from a
lawsuit to enforce the PRA.[FOOTNOTE 4]
The Tribe argues it has immunity from any state lawsuit
unless it waives immunity (which it has not done) or unless Congress
expressly authorizes the suit (which Congress has not done).
Courts have recognized tribal immunity from suit in
a variety of contexts. (E.g., Kiowa Tribe v. Manufacturing
Tech. (1998) 523 U.S. 751 (Kiowa Tribe) [Indian tribes
enjoy immunity from suit on contracts regardless of whether they
were made on or off the reservation]; Oklahoma Tax Com. v.
Potawatomi Tribe (1991) 498 U.S. 505 [state may impose tax
on Indian cigarette sales to non-Indians, but may not sue tribe
to collect tax]; Puyallup Tribe v. Washington Game Dept.
(1977) 433 U.S. 165, 172-173 [state court had no jurisdiction
to order tribe to limit number of fish which members may catch
and report number]; Middletown Rancheria v. Workers' Comp.
Appeals Bd. (1998) 60 Cal.App.4th 1340 [Workers' Compensation
Appeals Board lacked jurisdiction over Indian tribe for purposes
of enforcing California's workers' compensation laws]; Redding
Rancheria v. Superior Court (2001) 88 Cal.App.4th 384 [Indian
tribe was immune from tort suit arising outside of tribal lands,
where woman alleged she was injured while working as a bartender
at a Redding hotel, hosting a party for the Indian tribe's casino].)
The Tribe suggests tribal immunity from suit has a constitutional
basis because the Constitution gives Congress plenary power over
Indian affairs. However, the Tribe cites no authority specifically
stating that tribal immunity from suit is a constitutional imperative.
In fact, the doctrine of tribal immunity from suit is
not found in the federal Constitution or in any federal statute,
but is a matter of federal common law. "The term ' federal
common law,' although it has eluded precise definition, . . .
is court-made law that is neither constitutional nor statutory.
See Erwin Chermerinsky, Federal Jurisdiction 349 (3d ed.
1999) (defining federal common law as ' the development of legally
binding federal law by the federal courts in the absence of directly
controlling constitutional or statutory provisions' ); Martha
Field, Sources of Law: The Scope of Federal Common Law,
99 Harv. L.Rev. 881, 890 (1986) (defining federal common law
as ' any rule of federal law created by a court . . . when the
substance of that rule is not clearly suggested by federal enactments--constitutional
or congressional' )." (United States v. Enas (9th
Circ. 2001) 255 F.3d 662, 674-675.)
Thus, the Supreme Court has said, "Indian tribes
have long been recognized as possessing the common-law immunity
from suit traditionally enjoyed by sovereign powers. [Citations.]"
(Santa Clara Pueblo v. Martinez (1978) 436 U.S. 49, 58
[tribe was immune from suit in federal court brought by female
tribe member alleging violation of the Indian Civil Rights Act
(ICRA, 25 U.S.C. § 1301 et seq.) which required Indian tribes
to afford equal protection to its members]; see also, Kiowa
Tribe, supra, 523 U.S. 751, 756 [doctrine of tribal immunity
developed "almost by accident" ]; Long v. Chemehuevi
Indian Reservation (1981) 115 Cal.App.3d 853, 856-857 ["Tribal
immunity is based on policy considerations rather than specific
constitutional provisions and is generally considered to be coextensive
with the sovereign immunity of the federal government" ].)
"The common law sovereign immunity possessed by the Tribe
is a necessary corollary to Indian sovereignty and self-governance.
[Citation.] Of course, because of the peculiar ' quasi-sovereign'
status of the Indian tribes, the Tribe's immunity is not congruent
with that which the Federal Government, or the States, enjoy.
[Citations.]" (Three Affiliated Tribes v. Wold Engineering
(1986) 476 U.S. 877, 890-891 [state statute, insofar as it disclaimed
pre-existing jurisdiction over suits by tribal plaintiffs against
non-Indians for which there was no other forum, was preempted
by federal legislation].)
In support of its assertion that tribal immunity from
suit is a constitutional imperative, the Tribe cites Oneida
v. Oneida Indian Nation (1985) 470 U.S. 226, which held a
tribe could sue counties in federal court for the counties' use
of tribal land, and which referred to the constitutional provision
giving Congress the power to regulate commerce with Indian tribes.
(U.S. Const., art. I, § 8, cl. 3.) The Tribe also cites
Worcester v. The State of Georgia (1832) 31 U.S. 515,
558, which said the Constitution "confers on Congress the
powers of war and peace: of making treaties, and of regulating
commerce with foreign nations, and among the several States,
and with the Indian tribes. These powers comprehend all that
is required for the regulation of our intercourse with the Indians."
Worcester, which rejected the State of Georgia's attempt
to apply its criminal laws within tribal lands, also said, "[t]he
whole intercourse between the United States and this [Indian]
nation, is, by our constitution and laws, vested in the government
of the United States." (Id. at p. 561.)
We recognize that state courts have said, "[f]ederal
authority over Native American Indian matters derives primarily
from the power to regulate commerce with Native American Indian
tribes (U.S. Const., art. I, § 8, cl. 3) and secondarily
from the power to make treaties (U.S. Const., art. II, §
2, cl. 2). [Citations.] The United States Constitution is silent
regarding state action in these areas. A review of the evolving
decisional law makes clear the federal government's predominance
over Native American Indian affairs in general and over Indian
land in particular. [Citation.]" (Middletown Rancheria
v. Workers' Comp. Appeals Bd., supra, 60 Cal.App.4th 1340,
1346.) The policy of leaving Indians free from state jurisdiction
and control is deeply rooted in this nation's history and has
"' two independent but interrelated bases: federal preemption
and the internal sovereign rights of Indian tribes.' [Citations.]
States may regulate within Indian country only when state control
is not preempted by federal law or when state control does not
infringe on tribal sovereignty. [Citations.]" (Id.
at pp. 1347-1348, italics omitted [enforcement of California's
workers' compensation laws by administrative board would unlawfully
infringe on tribe's right to govern its own employment affairs].)
Additionally, "courts have come to favor federal
preemption over inherent sovereignty as the primary justification
for the preclusion of state authority over Indian affairs. [Citation.]
The basis for this assertion of exclusive federal authority over
Indian affairs is rooted in three provisions of the United States
Constitution: the Indian commerce clause (art. I, § 8, cl.
3), which gives Congress the exclusive power to control Indian
commerce; the treaty clause (art. II, § 2, cl. 2); and the
supremacy clause (art. VI, cl. 2), which, together with extensive
congressional legislation on Indian affairs, has broadly preempted
state law. [Citation.]" (Boisclair v. Superior Court
(1990) 51 Cal.3d 1140, 1147-1148 [construing federal legislation
for state court jurisdiction over individual Indians].)
Authority for applying the doctrine of tribal immunity
in this case cannot be found in the Indian Commerce clause. The
United States Constitution, article I, section 8, which describes
the powers granted to Congress, states in clause 3 that Congress
has the power "[t]o regulate commerce with foreign Nations,
and among the several states, and with the Indian Tribes."
This clause cannot support tribal immunity in this case because
(1) it grants a power to Congress, and Congress has not granted
the tribe immunity from this suit, and (2) it concerns the regulation
of commerce, and this case concerns not commerce but rather the
political process.
Nor can such authority be found in the treaty clause
(art. II, § 2, cl. 2), because the Tribe has cited no treaty
that exists between it and the federal government.
Nor does the supremacy clause[FOOTNOTE 5] suggest that
the doctrine of tribal immunity is other than a common law rule.
The supremacy clause tells us that federal law trumps state law,
but it does not provide textual support for adoption of the law
in the first place.
We therefore conclude that the doctrine of tribal immunity,
as it is sought to be applied in this case, is neither a constitutional
nor a statutory doctrine. Rather, it is a creature of the common
law power of the United States Supreme Court.
On the other hand, the Tenth Amendment to the United
States Constitution states, "The powers not delegated to
the United States by the Constitution, nor prohibited by it to
the States, are reserved to the States respectively, or to the
people."
But what are these powers that are reserved to the states?
Surely one such power is the power and duty to maintain a republican
form of government, since maintenance of that form of government
is mandated by article IV, section 4 of the United States Constitution,
which provides in relevant part, "[t]he United States shall
guarantee to every State in this Union a Republican Form of Government
. . . ."
The right and duty of the state to maintain a republican
form of government necessarily includes the right to elect representatives
and to protect against corruption of the political process. Thus,
"[b]y the Constitution, a republican form of government
is guaranteed to every State in the Union, and the distinguishing
feature of that form is the right of the people to choose their
own officers for governmental administration." (Duncan
v. McCall (1891) 139 U.S. 449, 461.) "' [E]ach State
has the power to prescribe the qualifications of its officers
and the manner in which they shall be chosen.' [Citations.] Such
power inheres in the State by virtue of its obligation . . .
' to preserve the basic conception of a political community.'
" (Gregory v. Ashcroft (1991) 501 U.S. 452, 462 [Age
Discrimination in Employment Act did not apply to appointed state
judges, and mandatory retirement of state judges did not violate
equal protection clause].)
In a series of cases in which individuals sought
to rely upon the constitutional guarantee of a republican form
of government, the United States Supreme Court held the question
to be a nonjusticiable "political question." The situation
was described most recently by the high court in New York
v. United States (1992) 505 U.S. 144 at pages 184 through
185 (New York), as follows:
"In most of the cases in which the Court has been
asked to apply the [guarantee] Clause, the Court has found the
claims presented to be nonjusticiable under the ' political question'
doctrine. [Citations.]
"The view that the Guarantee Clause implicates
only nonjusticiable political questions has its origin in Luther
v Borden, 7 How 1, 12 L Ed 581 (1849), in which the Court was
asked to decide, in the wake of Dorr's Rebellion, which of two
rival governments was the legitimate government of Rhode Island.
The Court held that ' it rests with Congress,' not the judiciary,
' to decide what government is the established one in a State.'
Id., at 42, 12 L Ed. 581. Over the following century, this limited
holding metamorphosed into the sweeping assertion that ' [v]iolation
of the great guaranty of a republican form of government in States
cannot be challenged in the courts.' [Citation.]
"This view has not always been accepted. In a group
of cases decided before the holding of Luther was elevated into
a general rule of nonjusticiability, the Court addressed the
merits of claims founded on the Guarantee Clause without any
suggestion that the claims were not justiciable. [Citations.]
"More recently, the Court has suggested that perhaps
not all claims under the Guarantee Clause present nonjusticiable
political questions. [Citation.] Contemporary commentators have
likewise suggested that courts should address the merits of such
claims, at least in some circumstances. [Citations.]
"We need not resolve this difficult question today."
(New York, supra, 505 U.S. 144, 184-185.)
We agree with Professor Laurence Tribe, who has opined
that, in light of New York, supra, 505 U.S. 144, the question
of the justiciability of the Guarantee Clause when asserted
by a state is not foreclosed. (See 1 Tribe, American Constitutional
Law (3rd ed. 2000) § 5-12, pp. 910-911.) As Professor Tribe
has said, "To be sure, the Supreme Court has never held
that the Guarantee Clause . . . confers judicially cognizable
rights upon individuals . . . [but] it need not follow
from the unavailability of the Guarantee Clause as a textual
source of protection for individuals that the clause confers
no judicially enforceable rights upon states as states.
It is, after all, ' to every State' that the promise of the Guarantee
Clause is addressed." (Tribe, op. cit. supra, §
5.12, pp. 910-911.)
We conclude it is entirely appropriate for the state
to invoke the Guarantee Clause, together with its reserved right
under the Tenth Amendment, to preserve its republican form of
government--the very essence of its political process--from corruption.
And we so hold.
There can be no doubt that the PRA accomplishes this
aim.The United States Supreme Court said recently, "' To
the extent that large [political] contributions are given to
secure a political quid pro quo from current and potential
office holders, the integrity of our system of representative
democracy is undermined.' " (Nixon v. Shrink Missouri
Gov' t. PAC (2000) 528 U.S. 377, 388.)
The purpose of California's PRA is to insure a better-informed
electorate and to prevent corruption of the political process.
(§ § 81001-81002; Thirteen Committee v. Weinreb (1985)
168 Cal.App.3d 528, 532.) "Costs of conducting election
campaigns have increased greatly . . . , and candidates have
been forced to finance their campaigns by seeking large contributions
from lobbyists and organizations who thereby gain disproportionate
influence over governmental decisions." (§ 81001, subd.
(c).) "The people enact [the PRA] to accomplish the following
purposes: [¶ ] (a) Receipts and expenditures in election
campaigns should be fully and truthfully disclosed in order that
the voters may be fully informed and improper practices may be
inhibited. [¶ ] (b) The activities of lobbyists should be
regulated and their finances disclosed in order that improper
influences will not be directed at public officials." (§
81002.) Government has a substantial interest in (1) providing
the electorate with information as to where political campaign
money comes from; (2) deterring corruption and avoiding the appearance
of corruption by exposing large contributions to the light of
publicity; and (3) detecting violations of contribution limits.
(Buckley v. Valeo (1976) 424 U.S. 1, 67-68 [upholding
reporting requirements of federal election campaign statutes
against a First Amendment challenge].) Statutes requiring campaign
contribution disclosures serve to protect the integrity of the
electoral process and a republican form of government.
But does this federal constitutional right of the state
to maintain the integrity of its republican form of government
entail the right to bring suit to enforce the right?
Our Supreme Court has recognized that rules or procedures
necessary to secure a constitutional right may themselves be
given constitutional stature. These rules and procedures add
flesh to otherwise skeletal constitutional rights. Several examples
should suffice.
In Miranda v. Arizona (1966) 384 U.S. 436 (Miranda),
the Supreme Court held that, in order to preserve a citizen's
right not to incriminate himself under the Fifth Amendment, police
officers had to give citizens in custody certain advisements
("Miranda" rights) before interrogating them. In
Dickerson v. United States (2000) 530 U.S. 428, the court
held that the Miranda warnings (and the consequences of
not giving them) were required by the federal Constitution and
could not be overruled by an act of Congress. (Id. 530
U.S. at p. 432.)[FOOTNOTE 6]
Similarly, the Fourth Amendment to the federal Constitution
protects against "unreasonable searches and seizures."
In Wilson v. Arkansas (1995) 514 U.S. 927 at page 934,
the high court held that police officers were required to knock
and announce their presence before entering a residence as "an
element of the reasonableness inquiry under the Fourth Amendment."
(Fn. omitted.)
Again, in another Fourth Amendment case, Mapp v.
Ohio (1961) 367 U.S. 643 (Mapp), the high court held that
the rule requiring the exclusion at trial of unlawfully obtained
evidence "is an essential part of both the Fourth and Fourteenth
Amendments." (Id. at p. 657.) The court reasoned,
"Were it otherwise, . . . the freedom from state invasions
of privacy would be . . . ephemeral . . . ." (Id.
at p. 655.)[FOOTNOTE 7]
In this case, the state's resort to the judicial process
is a procedure essential to enforce its reserved right and duty
to maintain a republican form of government. What else is it
to do, call out its "well regulated militia" ? We daresay
no one would sanction such a remedy. We conclude that, without
a right to bring suit, the state's constitutional right to preserve
its republican form of government would be "ephemeral."
(Mapp v. Ohio, supra, 367 U.S. 643, 655.)
The Tribe and our dissenting colleague argue that FPPC
has alternatives for bringing suit, i.e., to approach the tribe
and negotiate an agreement (which the Tribe asserts it would
view with willingness and cooperation), or to seek legislation
from Congress. These alternatives are uncertain; they do not
persuade us to apply tribal immunity to bar this action to enforce
the PRA. Moreover, absent the threat of a lawsuit, we see no
incentive for the tribe to agree to comply with FPPC reporting
requirements.
The Tribe says the information sought by FPPC is readily
available because the Tribe posted information about its campaign
contributions and lobbying activities on its website. However,
FPPC is not required to rely on informal, perhaps incomplete,
reporting.
The Tribe argues a PRA enforcement action against the
Tribe is unnecessary for protection of the electoral process,
because the PRA also requires recipients of campaign donations
to report the contributions, and therefore disclosure by the
contributor is merely duplicative of the same information. However,
it stands to reason that the requirement for both payor and payee
to file disclosure statements will act as a check to discourage
omissions by one or the other. Thus, the fact that recipients
are supposed to report contributions does not constitute an alternative
method of enforcement.
We therefore conclude that resort to a judicial remedy
is essential to secure the state's constitutional right to guarantee
a republican form of government free of corruption. As such,
the right to sue must be given constitutional stature. (See Dickerson
v. United States, supra, 530 U.S. 428.)
In this case, the state, through FPPC, is asserting
a right guaranteed by the Constitution of the United States.
The Tribe asserts a common law immunity. The state's constitutional
right trumps the Tribe's common law immunity, because no court--not
even the United States Supreme Court--has the common law power
to make up a rule that conflicts with the United States Constitution.
Thus, the United States Supreme Court has said, "The Departments
of the government are Legislative, Executive and Judicial.
They are coordinate in degree to the extent of the powers delegated
to each of them. Each, in the exercise of its powers, is independent
of the other, but all, rightfully done by either, is binding
upon the others. The Constitution is supreme over all of them,
because the people who ratified it have made it so; consequently,
anything which may be done unauthorized by it is unlawful."
(Dodge v. Woolsey (1856) 59 U.S. 331, italics added.)
The Tribe cites various cases where the doctrine of
tribal immunity has been applied. (See ante, pp. 7-10.)
However, all of these cases are distinguishable because in none
of them did a state assert a federal constitutional right to
bring suit that trumped the common law doctrine of tribal immunity.
"' It is axiomatic that cases are not authority for propositions
not considered.' [Citations.]" (In re Marriage of Cornejo
(1996) 13 Cal.4th 381, 388.)
The Tribe cites cases for the supposed proposition that
the Tenth Amendment is immaterial to the question of tribal immunity,
which is controlled exclusively by federal law. The cited cases
do not help the Tribe. Matter of Guardianship of D.L.L. (So.
Dak. 1980) 291 N.W.2d 278, at pages 280 through 281 held federal
legislation--the Indian Child Welfare Act--did not infringe on
the State's Tenth Amendment reserved powers over domestic relations
cases where there was no evidence the federal legislation was
arbitrary. Here, there is no issue of federal legislation. The
other case, City of Roseville v. Norton (D.C. 2002) 219
F.Supp.2d 130, at pages 153 through 154 (City of Roseville),
also involved federal legislation. There, two California cities
challenged the federal Secretary of the Interior's decision,
under federal legislation to restore land to Indians, to take
a parcel of land into trust for an Indian tribe for the purpose
of operating a casino. The District of Columbia district court
rejected the cities' argument that, in the absence of express
powers granting the federal government authority to set land
aside for the purpose of operating a casino in contravention
of state law, the taking violated the State's Tenth Amendment
powers. The district court said Congress had plenary power to
deal with Indians, and the Tenth Amendment does not reserve authority
over Indian affairs to the States. (Ibid.) Unlike the City
of Roseville case, no federal legislation is at issue here.
In rejecting the Tenth Amendment argument, the City of Roseville
case did state that Congress's power to deal with Indians "stems
' from the Constitution itself.' [Citation.]" (Id.
at pp. 153-154.) However, the cited case, Morton v. Mancari
(1974) 417 U.S. 535 at pages 551 through 552 (Morton),
which held federal legislation granting Indians an employment
preference in the Bureau of Indian Affairs (BIA) did not constitute
impermissible discrimination against non-Indians, merely said,
"The plenary power of Congress to deal with the special
problems of Indians is drawn both explicitly and implicitly from
the Constitution itself. Article I, § 8, cl 3, provides
Congress with the power to ' regulate Commerce . . . with the
Indian Tribes,' and thus, to this extent, singles Indians
out as a proper subject for separate legislation. Article II,
§ 2, cl 2, gives the President the power, by and with the
advice and consent of the Senate, to make treaties. This has
often been the source of the Government's power to deal with
the Indian tribes. The Court has described the origin and nature
of the special relationship:
"' In the exercise of the war and treaty powers,
the United States overcame the Indians and took possession of
their lands, sometimes by force, leaving them . . . dependent
people, needing protection . . . . Of necessity, the United States
assumed the duty of furnishing that protection, and with it the
authority to do all that was required to perform that obligation
and to prepare the Indians to take their place as independent,
qualified members of the modern body politic. . . . [Citations.]
Literally every piece of legislation dealing with Indian tribes
and reservations, and certainly all legislation dealing with
the BIA, single out for special treatment a constitutuency of
tribal Indians living on or near reservations." (Morton,
supra, 417 U.S. 535, 551-552, italics added.) Thus, neither
Morton nor City of Roseville stands for the proposition
that the doctrine of tribal immunity has a constitutional basis
or that the Tenth Amendment is immaterial to the question of
tribal immunity, which is controlled exclusively by federal law.
In a letter filed after completion of briefing, the
Tribe cites a recent case, Carcieri v. Norton (R.I. 2003)
290 F.Supp.2d 167, which held the federal Department of the Interior's
acceptance of a parcel of land into trust for the benefit of
an Indian tribe did not violate the Tenth Amendment. However,
Carcieri merely relied upon Morton, supra, 417 U.S. 535 and
City of Roseville, supra, 219 F.Supp.2d 130. As we have explained,
those cases have no application here.
We recognize the United States Supreme Court recently
heard oral argument in a case involving Indian tribes--United
States v. Lara (8th Cir. 2003) 324 F.3d 635, cert. granted
Sept. 30, 2003, __U.S.__ [156 L.Ed.2d 704]. However, Lara does
not appear to have any bearing on the case before us. In Lara,
a nonmember Indian was prosecuted in a tribal court for public
intoxication, resisting arrest and violence against a police
officer on an Indian reservation. After he was convicted and
served his sentence, the federal government sought to prosecute
him in federal court for the same offense. The question in Lara
was whether the federal court prosecution was barred by the Double
Jeopardy Clause of the Fifth Amendment. The tribal prosecution
was pursuant to a federal statute "recogniz[ing] and affirm[ing]"
the "inherent power" of tribes to exercise criminal
jurisdiction over all Indians. The federal statute was enacted
in response to a United States Supreme Court case holding tribes
had lost their inherent sovereign power to prosecute members
of other tribes for offenses committed on their reservations.
The question in Lara, as framed by the Department of Justice,
was whether the federal statute validly restored the tribes'
sovereign power to prosecute members of other tribes (rather
than delegating federal prosecutorial power to the tribes) such
that a federal prosecution following a tribal prosecution for
offenses with the same elements was valid under the Double Jeopardy
Clause. No such issue is presented in the case before us.
In the case before us, the trial court properly denied
the Tribe's motion to quash service of summons. The trial court
has jurisdiction to adjudicate this dispute.
This case confirms the wisdom of Justice Holmes's observation
that "The life of the law has not been logic; it has been
experience." (Bartlett, Familiar Quotations (16th
ed. 1992) p. 542 (Oliver Wendell Holmes, Jr., from The Common
Law, 1881).)
DISPOSITION
The Tribe's petition for a writ of mandate is denied.
The parties shall bear their own costs in this writ proceeding.
(Cal. Rules of Court, rule 27(a)(4).)
SIMS, J.
I concur: BLEASE, Acting P.J.
DAVIS, J.
I respectfully dissent. The issue in this case is a
narrow one. The question is whether the Fair Political Practices
Commission (FPPC) can sue a federally recognized Indian
tribe to enforce California law regarding the reporting of political
campaign contributions and lobbying activities. (Gov. Code, §
81000 et seq. (the Political Reform Act of 1974) (Political Reform
Act).) I conclude that the Agua Caliente Band of Cahuilla Indians
(the Tribe) has a constitutionally derived right of sovereign
immunity from suit, and this right is not trumped by California's
constitutionally derived right to regulate its electoral process
through the authority of a lawsuit. As I shall explain, this
case does not present the issue of federal common law versus
a state's unchartered constitutional guarantee of a republican
form of government. Rather, this case pits the Tribe's constitutionally
derived right of sovereign immunity from suit against California's
constitutionally derived right to regulate its electoral process,
and these two rights can be harmonized here because viable regulatory
alternatives to this lawsuit exist.
The majority opinion concludes that the FPPC can sue
the Tribe in state court and therefore denies the Tribe's petition
for writ of mandate. The majority determines that the Tribe does
not have a federal constitutional right of sovereign immunity
because the doctrine of tribal sovereign immunity is federal
common law and has no foundation in the United States Constitution
or in any federal statute. The majority concludes, in contrast,
that states do have a federal constitutional right to maintain
a republican form of government, anchored in the Guarantee Clause
and the Tenth Amendment. (U.S. Const., art. IV, § 4; id.,
10th Amend.) The majority reasons that the right to sue to
enforce the Political Reform Act is necessary to preserve a republican
form of government. Therefore, the constitutional right of the
state to sue to preserve its republican form of government trumps
the common law doctrine of tribal immunity.
The majority fails to recognize that while the doctrine
of tribal sovereign immunity began as a judicially created doctrine,
it is anchored in the United States Constitution. Therefore,
the doctrine has a constitutional basis.
The United States Constitution delegates to Congress
and the federal government the exclusive power to regulate Indian
affairs. (Montana v. Blackfeet Tribe of Indians (1985)
471 U.S. 759, 764 [85 L.Ed.2d 753].) The constitutional basis
of exclusive federal authority over Indian affairs is centered
in the Indian Commerce Clause. (U.S. Const., art. I, § 8,
cl. 3.)
The Indian Commerce Clause delegates to Congress the
plenary power to legislate in the field of Indian affairs. Specifically,
the clause states that Congress shall have the power "[t]o
regulate commerce with foreign nations, and among the several
states, and with the Indian tribes." (U.S. Const., art.
I, § 8, cl. 3.) The United States Supreme Court has routinely
interpreted this clause to mean that Indian relations are the
exclusive province of federal law. (Oneida v. Oneida Indian
Nation (1985) 470 U.S. 226, 234 [84 L.Ed.2d 169] ["With
the adoption of the Constitution, Indian relations became the
exclusive province of federal law" ]; Cotton Petroleum
Corp. v. New Mexico (1989) 490 U.S. 163, 192 [104 L.Ed.2d
209] ["the central function of the Indian Commerce Clause
is to provide Congress with plenary power to legislate in the
field of Indian affairs" ]; Montana v. Blackfeet Tribe
of Indians, supra, 471 U.S. at p. 764 ["The Constitution
vests the Federal government with exclusive authority over relations
with Indian tribes" ].)
The doctrine of tribal sovereign immunity began as a
judicially created doctrine. In Kiowa Tribe v. Manufacturing
Tech. (1998) 523 U.S. 751 [140 L.Ed.2d 981] (Kiowa),
the United States Supreme Court traced the development of the
doctrine, noting that a passing reference to immunity in Turner
v. United States (1919) 248 U.S. 354 [63 L.Ed. 291] (Turner)
became an explicit holding that tribes have immunity from suit.
(Kiowa, supra, 523 U.S. at p. 756.) Since Turner,
the high court has repeatedly affirmed the doctrine, holding
that "an Indian tribe is subject to suit only where Congress
has authorized the suit or the tribe has waived its immunity."
(Kiowa, supra, 523 U.S. at p. 754; accord, Three Affiliated
Tribes v. Wold Engineering (1986) 476 U.S. 877, 890 [90 L.Ed.2d
881]; Santa Clara Pueblo v. Martinez (1978) 436 U.S.
49, 58 [56 L.Ed.2d 106]; United States v. United States F.
& G. Co. (1940) 309 U.S. 506, 512 [84 L.Ed. 894].)
The United States Supreme Court has come to recognize
that the doctrine of tribal sovereign immunity is ultimately
in the hands of Congress pursuant to Congress' constitutional
power to regulate Indian affairs. Kiowa explains, "[the
non-tribal party] does not ask us to repudiate the [doctrine]
outright, but suggests instead that we confine it to reservations
or to noncommercial activities. We decline to draw this distinction
in this case, as we defer to the role Congress may wish to exercise
in this important judgment." (Kiowa, supra, 523
U.S. at p. 758.)
Through its constitutionally delegated power to regulate
Indian affairs, Congress has recognized and adopted the doctrine
of tribal sovereign immunity through both action and nonaction.
As Kiowa again explains, "Congress has acted against
the background of our [immunity doctrine] decisions. It has restricted
tribal immunity from suit in limited circumstances. [Citations.]
And in other statutes it has declared an intention not to alter
it." (Kiowa, supra, 523 U.S. at p. 758.) As stated
plainly in Oklahoma Tax Com. v. Potawatomi Tribe (1991)
498 U.S. 505 [112 L.Ed.2d 1112] (Oklahoma Tax), ".
. . Congress has consistently reiterated its approval of the
immunity doctrine." (498 U.S. at p. 510.) "Like foreign
sovereign immunity, tribal immunity is a matter of federal law."
(Kiowa, supra, 523 U.S. at p. 759.) "As with tribal
immunity, foreign sovereign immunity began as a judicial doctrine.
. . . [¶ ] . . . Although the Court has taken the lead in
drawing the bounds of tribal immunity, Congress, subject to constitutional
limitations, can alter its limits through explicit legislation."
(Ibid.)
Because the doctrine of tribal sovereign immunity
now stands as a proper exercise of constitutionally delegated
Congressional authority, California reserves no power to challenge
this doctrine under the premise of the Tenth Amendment. The Tenth
Amendment states, "The powers not delegated to the United
States by the Constitution, nor prohibited by it to the states,
are reserved to the states respectively, or to the people."
(U.S. Const., 10th Amend.) The Tenth Amendment does not grant
powers to the states. It only confirms that the states retain
whatever powers are not granted to the United States. (New York
v. United States (1992) 505 U.S. 144, 157 [120 L.Ed.2d
120].)
It is undisputed, though, that individual states do
reserve a constitutional power, under the Tenth Amendment, to
regulate their electoral processes. (Oregon v. Mitchell
(1970) 400 U.S. 112, 124-125 [27 L.Ed.2d 272] [the framers of
the Constitution intended the States to keep for themselves,
as provided in the Tenth Amendment, the power to regulate their
elections].) Therefore, there is no dispute that California can
require the Tribe to comply with California's electoral laws,
including accurate and timely reports of campaign donations and
lobbying payments. However, the issue in this case is narrower.
The issue is whether California can sue the Tribe to enforce
those laws. This narrow legal question presents a potential constitutional
conflict: the Tribe's constitutionally derived right of sovereign
immunity from suit and California's constitutionally derived
right to regulate its electoral process. Does one of these constitutionally
derived rights trump the other, or can they be interpreted harmoniously?
There is a principle of interpretation that provides
help with the dilemma of considering two possibly conflicting
constitutional provisions. Instead of finding a conflict that
would result in one of the provisions impliedly repealing the
other, whenever possible the two provisions should be harmonized
so as to give effect to both to the extent possible. (City
and County of San Francisco v. County of San Mateo (1995)
10 Cal.4th 554, 563.)
If this court allows California to sue the Tribe, it
will eviscerate the Tribe's constitutionally derived right of
tribal sovereign immunity from suit. In contrast, if the suit
is not allowed to proceed, the state's constitutionally derived
right to regulate the electoral process for its republican form
of government is not destroyed. Rather, California is simply
deprived of one of its tools (the option to bring suit against
the Tribe) to enforce its regulatory authority. The United States
Supreme Court has stated that "[t]here is a difference between
the right to demand compliance with state laws and the means
available to enforce them." (Kiowa, supra, 523 U.S.
at p. 755; accord, Oklahoma Tax, supra, 498 U.S. at p.
514.)
It is true that tribal sovereign immunity bars California
from pursuing perhaps its most efficient remedy, an enforcement
lawsuit. However, it is also true that viable alternatives are
available. With respect to the information about campaign contributions
and lobbyists that the FPPC seeks from the Tribe, there already
exist alternative sources for the state to retrieve that information.
The recipients of the campaign contributions and the lobbyists
are themselves required to file disclosures with the FPPC showing
contributions and payments. In addition to these alternative
sources of information, the FPPC also has the option of pursuing
a government-to-government agreement with the Tribe. Such an
agreement might include a waiver by the Tribe of its suit immunity
for the specific purpose of enforcement by the FPPC of the terms
of the agreement. Finally, the FPPC has the alternative of petitioning
Congress to obtain relief from the sovereign immunity doctrine.
As the United States Supreme Court has recognized, there are
instances where Congress has acted to restrict or limit the doctrine.
(Kiowa, supra, 523 U.S. at p. 758.) These alternative
remedies are similar to the alternative remedies deemed adequate
by the high court in Oklahoma Tax. (Oklahoma Tax, supra, 498
U.S. at p. 514.)
This analysis dispenses with the majority's conclusion
that the Indian Commerce Clause cannot support tribal immunity
here because Congress has not granted the Tribe immunity from
suit. As I have concluded, Congress has generally granted such
immunity by recognizing and adopting the doctrine of tribal sovereign
immunity through its constitutionally delegated power to regulate
Indian affairs.
As for the majority's point that the Indian Commerce
Clause does not apply here because this case concerns the state's
political process, not commerce, this point ignores the broad
reach of the Indian Commerce Clause.
As just one concrete example of that broad reach, I
offer the federal Indian Child Welfare Act of 1978 (ICWA). (25
U.S.C. § 1901 et seq.) ICWA was enacted out of an increasing
concern over the consequences to Indian children, Indian families,
and Indian tribes of child welfare practices that separated large
numbers of Indian children from their families and tribes, and
placed them in non-Indian homes through state adoption, foster
care, and parental rights termination proceedings. (Ibid.)
The Congressional findings for ICWA state that the act was adopted
pursuant to Congress' constitutional power found in the Indian
Commerce Clause. (25 U.S.C. § 1901(1).) The subject of child
custody is a legal area traditionally reserved to the states.
But ICWA exemplifies Congress' broad constitutional power derived
from the Indian Commerce Clause "to promote the stability
and security of Indian tribes and families" as part of a
more general mandate to act as a guardian to Indian tribes and
to protect tribal self-government. (25 U.S.C. § 1902; In
re Bridget R. (1996) 41 Cal.App.4th 1483, 1511.)
The United States Supreme Court and Congress have repeatedly
affirmed the doctrine of tribal sovereign immunity. While the
high court recognizes the weaknesses of the doctrine, it also
recognizes that the doctrine derives from the constitutional
power of Congress to regulate Indian affairs. For this reason,
the court has refrained from exercising its judicial power to
materially alter a doctrine that properly belongs in the sphere
of the legislative branch. This court should do the same. As
noted, this case does not present the issue of federal common
law versus a state's unchartered constitutional guarantee of
a republican form of government. Rather, this case pits the Congressionally
adopted, and constitutionally anchored, doctrine of tribal sovereign
immunity from suit against a state's constitutionally derived
right to regulate its electoral process. A tribe's constitutionally
based right to sovereign immunity cannot be abrogated by a state's
constitutionally based right to regulate its electoral process
through the use of a lawsuit, where viable regulatory alternatives
exist.
I would grant the Tribe's petition.
DAVIS, J.
::::::::::::::::::::::::::::: FOOTNOTE(S):::::::::::::::::::::::::::::
FN1. Undesignated statutory references are to the Government
Code.
FN2. We disregard new arguments against the Tribe contained
in a brief filed by FPPC on October 20, 2003, which purported
to be a reply brief to the amicus curiae brief of California
Common Cause (supporting FPPC's position), but which contained
counterarguments to the Tribe's replication.
FN3. Section 84200 mandates disclosures by specified
elected officers, candidates, and "committees." The
definition of "committee" includes "any person
or combination of persons who directly or indirectly . . . [¶
] . . . [¶ ]
"(b) Makes independent expenditures totaling one
thousand dollars ($1,000) or more in a calendar year; or
"(c) Makes contributions totaling ten thousand
dollars ($10,000) or more in a calendar year to or at the behest
of candidates or committees." (§ 82013.)
FN4. The Tribe states in its replication that it does
not agree that FPPC has a right to apply the PRA to the Tribe.
However, this proceeding is about immunity from suit. Moreover,
the Tribe in its petition stated: "The states indisputably
have the power to regulate political campaigns or create contribution
disclosure rules that operate within their borders. But the mere
fact that the states may have the power to enact disclosure rules
for their political campaigns does not mean they can on their
own, and without express Congressional approval, sue federally-recognized
Tribes in furtherance of such regulatory oversight."
FN5. Article VI, clause 2 of the United States Constitution
provides: "This Constitution, and the Laws of the United
States which shall be made in Pursuance thereof; and all treaties
made, or which shall be made, under the Authority of the Untied
States, shall be the supreme Law of the Land; and the Judges
in every State shall be bound thereby, any Thing in the Constitution
or Laws of any State to the Contrary notwithstanding."
FN6. Recently, four justices of the United States Supreme
Court indicated the Miranda rule was not constitutionally-based.
(Chavez v. Martinez (2003) 538 U.S. 760 [Miranda violation
did not give rise to civil rights claim under Fifth Amendment
where no criminal charges were ever filed].) However, those justices,
who did not acknowledge Dickerson, did not constitute
a majority and therefore Chavez did not overrule Dickerson.
"When a fragmented Court decides a case and no single rationale
explaining the result enjoys the assent of five Justices, ' the
holding of the Court may be viewed as that position taken by
those Members who concurred in the judgments on the narrowest
grounds." (Marks v. United States (1977) 430 U.S.
188, 193.)
FN7. In United States v. Leon (1984) 486 U.S.
897, 906, the court abandoned Mapp' s, supra, 367 U.S.
643, characterization of the exclusionary rule as a constitutional
right.
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