CITIZEN POTAWATOMI NATION V. NORTON 993 Cite As 248 F.3D 993 (10Th Cir
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CITIZEN POTAWATOMI NATION v. NORTON 993 Cite as 248 F.3d 993 (10th Cir. 2001) not abuse its discretion in redacting this action because it was unable to join as note from Mr. Arney’s exhibit. necessary and indispensable parties other tribes participating in Nation’s funding III. Conclusion agreement for dividing federal appropria- We find that the district court did not tions. The United States District Court for err in submitting the Allen charge to the the Western District of Oklahoma, Wayne jury. We also find that the district court E. Alley, J., dismissed action. Nation ap- did not abuse its discretion in excluding pealed. The Court of Appeals, Holloway, the testimony of Mr. Arney’s expert wit- Circuit Judge, held that: (1) District Court ness. Finally, we find that the district did not abuse its discretion in determining court did not abuse its discretion in admit- that other tribes were necessary parties; ting evidence of Mr. Arney’s cattle inven- (2) District Court did not abuse its discre- tory and redacting a note attached to one tion in determining that other tribes were of Mr. Arney’s exhibits. Accordingly, we indispensable parties; and (3) Interior De- AFFIRM. partment was precluded from funding, though Indian Self-Determination and Ed- ucation Assistance Act, certain purportedly , ‘‘residual’’ functions of Nation. Affirmed. 1. Federal Courts O776, 817 CITIZEN POTAWATOMI NATION, Determinations of whether parties a federally recognized Indian must be joined are reviewed for an abuse Tribe, Plaintiff–Appellant, of discretion, while the underlying legal v. conclusions supporting such determina- tions are reviewed de novo. Fed.Rules Gale A. NORTON,* Secretary of the In- Civ.Proc.Rule 19(a), 28 U.S.C.A. terior, William Sinclair, Director of the Office of Self Governance, Defen- 2. Federal Courts O776 dants–Appellees. A legal ruling on when a party can No. 99–6077. assert its sovereign immunity and a dis- trict court’s determination of subject mat- United States Court of Appeals, ter jurisdiction are reviewed de novo. Tenth Circuit. 3. Federal Civil Procedure O1747 April 25, 2001. A district court must follow a three- step process for determining whether an Citizen Potawatomi Nation sued offi- action should be dismissed for failure to cials of Department of the Interior chal- join a purportedly indispensable party, in lenging Department’s methods for calcu- that it must determine whether the absent lating funding received by Nation under person is necessary, and if so, must then tribal self-governance compact. Officials determine whether joinder is feasible, and, responded that Nation could not maintain if it is not, must decide whether the absent * Pursuant to Fed. R.App. P. 43(c)(2), Gale A. retary of the Interior, as a defendant in this Norton is substituted for Bruce Babbitt, Sec- action. 994 248 FEDERAL REPORTER, 3d SERIES person is indispensable, that is, whether in properly provided shared service area for equity and good conscience the action can it and Shawnee Tribe and therefore had continue in the absent person’s absence. improperly awarded Tribe excess funds, Fed.Rules Civ.Proc.Rule 19(a, b), 28 inasmuch as Tribe’s claim of shared ser- U.S.C.A. vice area was not patently frivolous and Department could not adequately repre- 4. Federal Civil Procedure O211 sent Tribe’s interest given that its duty to District court did not abuse its discre- implement national Native American policy tion in determining that tribes that had was not necessarily same as Tribe’s inter- entered into agreement with Citizen Pota- est in receiving funds at issue. Fed.Rules watomi Nation setting forth formula for Civ.Proc.Rule 19(a), 28 U.S.C.A. dividing future federal appropriations were necessary parties with respect to Nation’s 8. Federal Civil Procedure O211 claim that Interior Department had incor- District court did not abuse its discre- rectly determined that formula was static, tion in determining that tribes that had as opposed to changing if there was entered into agreement with Citizen Pota- change in data upon which formula was watomi Nation setting forth formula for based, inasmuch as Nation’s claim could dividing future federal appropriations alter future funding for absent tribes, such were indispensable parties with respect to that absent tribes could claim interest in Nation’s action challenging Interior De- application of formula, and absent tribes partment’s methods for calculating funding had varied and potentially conflicting in- received by Nation under tribal self-gover- terests, such that Department could not nance compact; although such determina- adequately represent their interests. Fed. tion meant there was no way to challenge Rules Civ.Proc.Rule 19(a), 28 U.S.C.A. conduct in question, district court relied on strong policy favoring dismissal when 5. Federal Civil Procedure O201 court cannot join tribe because of sover- The underlying merits of the litigation eign immunity, and on its ruling that ab- are irrelevant to a determination whether sent tribes would suffer substantial preju- parties must be joined. Fed.Rules Civ. dice if action proceeded without them and Proc.Rule 19(a), 28 U.S.C.A. that there was no way to lessen that prej- 6. Federal Civil Procedure O201 udice. Fed.Rules Civ.Proc.Rule 19(a), 28 U.S.C.A. The rule requiring that a party assert a claimed interest in order for joinder of 9. Federal Courts O762 that party to be necessary excludes only The Court of Appeals may affirm the those claimed interests that are patently district court on any basis the record sup- frivolous. Fed.Rules Civ.Proc.Rule 19(a), ports, even one the district court did not 28 U.S.C.A. reach. 7. Federal Civil Procedure O211 10. Indians O7 District court did not abuse its discre- Interior Department was precluded tion in determining that tribes that had by moratorium clause in Congress’ 1999 entered into agreement with Citizen Pota- appropriations bill from funding, though watomi Nation setting forth formula for Indian Self-Determination and Education dividing future federal appropriations were Assistance Act, certain purportedly ‘‘resid- necessary parties with respect to Nation’s ual’’ functions of Citizen Potawatomi Na- claim that Interior Department had im- tion, inasmuch as Congress had specified CITIZEN POTAWATOMI NATION v. NORTON 995 Cite as 248 F.3d 993 (10th Cir. 2001) that provision of funds under Act was sub- ing funding the Citizen Potawatomi Nation ject to availability of appropriations. Indi- receives under its tribal self-governance an Self-Determination and Education As- compact. Subject matter jurisdiction was sistance Act, § 2 et seq., 25 U.S.C.A. § 450 asserted under 28 U.S.C. § 1362 in that et seq.; Omnibus Consolidated and Emer- the action was brought by an Indian tribe gency Supplemental Appropriations Act, or band with a governing body duly recog- 1999, § 328, 16 U.S.C.A. § 460l–6a note. nized by the Secretary of the Interior and the matter in controversy arises under the 11. Federal Civil Procedure O1748, 1828 Constitution, laws or treaties of the United District court did not abuse its discre- States. The complaint also presented an tion in dismissing Indian tribe’s action for action in the nature of mandamus to com- failure to join necessary and indispensable pel an officer or employee of the United parties without allowing further discovery, States to perform a duty owed to the where tribe had not suggested possibility Plaintiff. 28 U.S.C. § 1361. of development of evidence that would be Defendants moved to dismiss the action relevant to such inquiry, and district court on the ground that the Citizen Potawatomi assumed that facts alleged by tribes were are unable to join three ‘‘necessary’’ and true. Fed.Rules Civ.Proc.Rule 19(a), 28 ‘‘indispensable’’ parties, tribal participants U.S.C.A. in the funding agreement. The district court agreed and granted the motion. This timely appeal ensued. We have ap- pellate jurisdiction under 28 U.S.C. § 1291. Michael Minnis, Michael Minnis & Asso- ciates, PC., Oklahoma City, OK (David I McCullough with him on the briefs), for BACKGROUND Plaintiff–Appellant. Arvo Q. Mikkanen, Assistant United Under the Indian Self–Determination States Attorney, Oklahoma City, OK (Pat- and Education Assistance Act, 25 U.S.C. rick M. Ryan, United States Attorney, §§ 450 et seq., the United States is autho- with him on the brief), for Defendants– rized to enter into compacts with tribes. Appellees. Pursuant to that Act, tribes do not con- tract to take over specific programs; rath- Before TACHA, Chief Judge, er, tribes assume comprehensive responsi- HOLLOWAY and SEYMOUR, Circuit bility for the planning and administration Judges. of programs and services previously pro- vided by the United States. Essentially, HOLLOWAY, Circuit Judge. the Act provides for tribal self-governance. Plaintiff/appellant Citizen Potawatomi Once the United States enters into a Nation (Citizen Potawatomi), a federally compact with a tribe, the parties ordinarily recognized Indian Tribe located in the negotiate an Annual Funding Agreement. Western District of Oklahoma, brought In 1988, however, five tribes within the this action which the Tribe termed as one Shawnee Agency of the Bureau of Indian for a ‘‘mandatory injunction in the nature Affairs negotiated a formula among them- of mandamus’’ against federal officials of selves for dividing future federal appropri- the United States Department of the Inte- ations. Those tribes included the Citizen rior challenging their methods for calculat- Potawatomi,