Deschutes River Alliance v. Portland Gen. Elec. Co.
Deschutes River Alliance v. Portland Gen. Elec. Co.
Opinion of the Court
*1174Plaintiff Deschutes River Alliance ("DRA") is a nonprofit corporation made up of individuals residing throughout Oregon who use, enjoy, and recreate in the Deschutes River and its tributaries in the vicinity of the Pelton Round Butte Hydroelectric Project ("Pelton Project" or "Project"). Defendant Portland General Electric Company ("PGE") is part-owner and part-operator of the Pelton Project. DRA sues PGE, alleging that its operation of the Pelton Project violates the Federal Water Pollution Control Act,
BACKGROUND
The Pelton Project consists of three dams on the Deschutes River: the Round Butte Dam, the Pelton Dam, and the Reregulating Dam. ECF 73 at 4, ¶ 11. The Pelton Project is situated in Jefferson County, Oregon, within and adjacent to the Warm Springs Indian Reservation (the "Reservation"). ECF 73 at 3, ¶ 6; 93 F.E.R.C. ¶ 61183. Pursuant to a treaty executed on June 25, 1855 ("1855 Treaty"), between the United States and the Tribes and Bands of Middle Oregon, the Reservation is reserved for the exclusive use of, and serves as a permanent homeland to, the Tribe, which is the legal successor in interest to the Indian signatories to the 1855 Treaty. ECF 73 at 2-3, ¶¶ 4, 6.
In 1951, the Federal Power Commission ("FPC"), predecessor to the Federal Energy Regulatory Commission ("FERC"), issued to PGE a 50-year license for the Pelton Project, authorizing the construction of the Pelton and Reregulating Dams.
In April 2000, PGE, the Tribe, and the United States Department of Interior entered into a Long-Term Global Settlement and Compensation Agreement ("GSA").
In June 2001, PGE and the Tribe jointly applied for a new FERC project license. ECF 73 at ¶ 23. The Tribe and PGE simultaneously filed applications for water quality certifications for the Pelton Project, pursuant to CWA Section 401, with both the Tribe's Water Control Board ("WCB") and with Oregon's Department of Environmental Quality ("DEQ").
Beginning in January 2003, PGE and the Tribe participated in a facilitated Settlement Working Group with various governmental and non-governmental stakeholders to resolve issues associated with the relicensing of the Pelton Project. Id. at ¶ 25. The Settlement Working Group produced a Settlement Agreement Concerning the Relicensing of the Pelton Round Butte Hydroelectric Project FERC Project 2030 ("Relicensing Settlement Agreement"). Id. ; ECF 73-7.
In July 2004, the Tribe and PGE submitted the Relicensing Settlement Agreement to FERC for approval, along with an Offer of Settlement and Joint Explanatory Statement and Request for Technical Conference ("Explanatory Statement"). ECF 75-2. On June 21, 2005, FERC approved the settlement and issued a new license to PGE and the Tribe as joint licensees of the Pelton Project for a 50-year period. ("2005 License").
During the original license term, the Pelton Project did not meet all of the water quality standards in the Deschutes River immediately below the Pelton Project dams. ECF 73 at ¶ 24. At the time of the relicensing negotiations, the Project withdrew and discharged water from the bottom of the reservoir only, which resulted in the project exceeding water quality standards for temperature, pH, and dissolved oxygen. ECF 75-2 at 4-5. The Project, from the beginning, also had issues with fish passage. The dams created a total barrier to migration by resident and anadromous fish in the Deschutes River, preventing anadromous and resident salmonids from reaching historical spawning and rearing areas. ECF 75-2 at 4. By 1973, fish passage was abandoned in favor of a fish hatchery, a result that has had a profound effect on the Tribe. ECF 73 at ¶ 26. Under the 2005 License, the Tribe and PGE were required to (1) reintroduce anadromous fish runs upstream of the Pelton Project that were extirpated as a result of construction and operation of the project; and (2) reduce the Pelton Project's *1176contribution to water quality problems on the Lower Deschutes River. ECF 75-3. A key feature of the Relicensing Settlement Agreement, made a part of the 2005 License, is a Fish Passage Plan. ECF 73 at ¶ 30.
Under the 2005 License, the main way in which the Project would move toward improving both fish passage and water quality was by construction of a selective water withdrawal facility ("SWW") at the Round Butte Dam intake tower.
The 2005 License also establishes Implementation Committees-a component of the Relicensing Settlement Agreement-including a Fish Committee.
DRA brings this action under the citizen suit provision of the Clean Water Act, alleging ongoing violations of the Pelton Project's CWA § 401 Certification from DEQ, which is a condition of the 2005 License. Specifically, DRA alleges that PGE has violated the following conditions of the DEQ Water Quality Certification: (1) Condition E.1, requiring that the facility be operated in accordance with the pH Management Plan contained in the WQMMP; (2) Condition C.1, requiring that the SWW facility be operated in accordance with the Temperature Management Plan; and (3) Condition S, which requires that no wastes be discharged and no activities conducted that would violate state water quality standards. The Tribe and PGE both move to dismiss under Rule 12(b)(7) for failure to join the Tribe, a party that the Tribe and PGE argue is necessary under Rule 19.
DISCUSSION
A. Procedural Issues
1. Whether the Tribe Properly Can Move to Dismiss
DRA argues first that neither the Tribe nor PGE is authorized under the Federal Rules of Civil Procedure to bring a 12(b)(7) motion at this time. DRA argues that the Tribe, which is not a party to this case, may not bring such a motion under Rule 12(b)(7), which provides that "a party may assert" a 12(b)(7) defense. Fed. R. Civ. P. 12(b)(7). The Tribe suggests in response that it is a type of party, although it does not have "full party status." The Tribe argues that, because Rule 12(b)(7) does not limit the types of parties that may assert a 12(b)(7) defense, it does not clearly proscribe the Tribe from bringing such a motion. The Tribe also argues that Rule 12 should, for practical purposes, be construed to permit an amicus curiae party to file a Rule 12(b)(7) motion.
Under Rule 12, only a party may make a Rule 12(b)(7) motion to dismiss. "An amicus curiae is not a party to litigation." Miller-Wohl Co. v. Comm'r of Labor & Indus. State of Mont. ,
2. Whether PGE's Motion is Timely
DRA also argues that PGE's motion under Rule 12(b)(7) is untimely. "Except as provided in Rule 12(h)(2) or (3), a party that makes a motion under [ Rule 12 ] must not make another motion under [ Rule 12 ] raising a defense or objection that was available to the party but omitted from its earlier motion." Fed. R. Civ. P. 12(g)(2). PGE previously filed a motion to dismiss under Rule 12(b)(1), asserting a lack of subject-matter jurisdiction. Rule 12(h)(2) provides that the failure to join a required party may nonetheless be raised: "in any pleading allowed or ordered under Rule 7(a)" (i.e. , a complaint); "by a motion under Rule 12(c)" (i.e. , a motion for judgment on the pleadings); or" "at trial." Rule 12(h)(3) relates to subject-matter jurisdiction.
Because Rule 12(h)(2) provides that the defense of failure "to join a person required by Rule 19(b)... may be raised as a motion for judgment on the pleadings, and may be made as late as at trial, it is in the interest of judicial economy to hear PGE's motion to dismiss at this stage. See Moretti v. The Hertz Corp. ,
B. Merits of PGE's Motion to Dismiss
In determining whether a case should be dismissed under Rule 19 for failure to join a party, the Court follows a three-step inquiry:
1. Is the absent party necessary (i.e. , required to be joined if feasible) under Rule 19(a) ?
2. If so, is it feasible to order that the absent party be joined?
3. If joinder is not feasible, can the case proceed without the absent party, or is the absent party indispensable such that the action must be dismissed?
Salt River Project Agr. Imp. & Power Dist. v. Lee ,
1. Whether the Tribe is Necessary
As the Ninth Circuit has explained:
A party may be necessary under Rule 19(a) in three different ways. First, a person is necessary if, in his absence, the court cannot accord complete relief among existing parties. See Fed.R.Civ.P. 19(a)(1)(A). Second, a person is necessary *1178if he has an interest in the action and resolving the action in his absence may as a practical matter impair or impede his ability to protect that interest. See Fed.R.Civ.P. 19(a)(1)(B)(i). Third, a person is necessary if he has an interest in the action and resolving the action in his absence may leave an existing party subject to inconsistent obligations because of that interest. See Fed.R.Civ.P. 19(a)(1)(B)(ii).
Salt River Project Agr. Imp. ,
a. Does the Tribe Have a Legally Protected Interest
An interest in the action, for purposes of Rule 19, means an interest that is "legally protected." Cachil Dehe Band of Wintun Indians of the Colusa Indian Cmty. v. California ,
The Tribe argues that it has both proprietary and sovereign interests in the subject of the action. The Tribe alleges that its proprietary interests include is status as: co-owner of the Pelton Project, joint licensee of the 2005 License, party to the GSA, and party to the Relicensing Settlement Agreement. The Tribe's sovereign interests, it explains, are related to its authority to regulate activities and resources within the boundaries of its Reservation, and to its treaty-reserved rights, including the right to take fish at its usual and accustomed stations throughout the Deschutes River Basin. DRA acknowledges that the Tribe holds essential interests related to the Pelton Project, the Deschutes River Basin's fish and wildlife and water quality, and to its own sovereignty. DRA argues, however, that those broad interests are not implicated in this case, which deals only with the issue of whether PGE is operating the Pelton Project in violation of DEQ's Water Quality Certification.
DRA's attempt to narrow the scope of this case is unpersuasive. This lawsuit arises out of DRA's assertion that the Pelton Project is being operated in violation of the CWA. The Tribe and PGE are co-licensees of the Pelton Project. Additionally, although under the O & O Agreement between the Tribe and PGE, PGE is the operator of the Round Butte and Pelton Dams, and of certain aspects of the Reregulating Dam, the Tribe holds an ownership interest in the entirety of the Pelton Project, and serves as operator of the generation facilities at the Reregulating Dam. Furthermore, the operation of the Pelton Project has a direct effect on the Tribe's treaty-reserved rights, including not only its right to dictate how its land is used and how facilities within its *1179boundaries are operated, but also the Tribe's right to the resources, including fish, within the Deschutes River Basin. The Tribe thus has an interest in the subject matter of this action, and that interest is legally protected by both the Tribe's ownership of and license for the Pelton Project and by the 1855 Treaty.
b. Would Proceeding Without Tribe Impair Its Interest
"If a legally protected interest exists, the court must further determine whether that interest will be impaired or impeded by the suit." Shermoen v. United States ,
DRA argues that PGE can adequately represent the Tribe's interests in the suit. The impairment of an absent party's interests "may be minimized if the absent party is adequately represented in the suit." Shermoen ,
A non-party is adequately represented by existing parties if: (1) the interests of the existing parties are such that they would undoubtedly make all of the non-party's arguments; (2) the existing parties are capable of and willing to make such arguments; and (3) the non-party would offer no necessary element to the proceeding that existing parties would neglect.
Sw. Ctr. for Biological Diversity v. Babbitt ,
The Tribe and PGE argue that PGE, a private corporation tasked with providing its customers with power, cannot adequately represent the interests of the Tribe, a sovereign entity. DRA argues that although the interests of the Tribe and PGE may derive from different sources, the Tribe and PGE share the same interest in defending the specific claims alleged in DRA's complaint-namely, that the operation of the Pelton Project violates the CWA.
Although DRA may be correct that, in resolving the merits of this case, PGE would likely make all of the same arguments that the Tribe would make if it were formally named a defendant, the same is not true with respect to the fashioning of a remedy. The Tribe has unique interests in not only the operation of the Pelton Project, but also in its effect on the surrounding natural resources. Those interests are reserved by treaty and would not adequately be represented by PGE. A remedy ordered by the Court against PGE could also result in requiring the Tribe-a sovereign entity-to take or refrain from taking certain actions. To find liability in the absence of the Tribe, and thereafter to fashion a remedy in the Tribe's absence, has the potential significantly to impair the Tribe's interest in a manner substantially different from any effect on PGE's interests.
For similar reasons, PGE is not capable of making all of the arguments that the Tribe would make. The Tribe has also expressed that it vests no authority in *1180PGE to make the Tribe's arguments, indicating that PGE may be not only unable, but unwilling, to make the arguments available to the Tribe. Finally, the Tribe will offer necessary elements for the Court's consideration, such as how to interpret the DEQ certification in light of the parallel WCB certification, and how to go about fashioning a remedy in a way that does not unnecessarily impinge on the Tribe's treaty-protected interests.
2. Whether it is Feasible to Join the Tribe
The Tribe and PGE argue that sovereign immunity bars the Tribe from being joined. "Federally recognized Indian tribes enjoy sovereign immunity from suit, and may not be sued absent an express and unequivocal waiver of immunity by the tribe or abrogation of tribal immunity by Congress." Dawavendewa v. Salt River Project Agr. Imp. & Power Dist. ,
"Indian tribes are domestic dependent nations that exercise inherent sovereign authority." Michigan v. Bay Mills Indian Cmty. ,
The CWA citizen suit provision authorizes civil actions "against any person (including (i) the United States, and (ii) any other governmental instrumentality or agency to the extent permitted by the eleventh amendment to the Constitution) who is alleged to be in violation of (A) an effluent standard or limitation under this chapter ..."
The Tribe and PGE argue, first, that the CWA does not abrogate tribal sovereign immunity because it creates a right to sue only a person who is "alleged to be in violation" of the CWA. Because, the Tribe and PGE argue, DRA has not alleged that the Tribe is in violation of the CWA, only that PGE is, the Tribe's immunity is not abrogated for purposes of this lawsuit. Although this raises an interesting theoretical point,
DRA argues that because the citizen suit provision provides for actions against "persons," which is defined by Section 1362 to include Indian tribes, Congress has abrogated tribal sovereign immunity. Section 1362(5) of the CWA provides that "[t]he term 'person,' " as used in the CWA, "means an individual, corporation, partnership, association, State, municipality, commission, or political subdivision of a State, or any interstate body."
At least one court has held that the citizen suit provision of the CWA abrogates the sovereign immunity of Indian tribes. See Atl. States Legal Found. v. Salt River Pima-Maricopa Indian Cmty. ,
Under the RCRA, citizens are permitted to bring compliance suits "against any person (including (a) the United States, and (b) any other governmental instrumentality or agency) who is alleged to be in violation."42 U.S.C. § 6972 (a)(1)(A). "Person" is subsequently defined to include municipalities.42 U.S.C. § 6903 (15). Municipalities include "an Indian tribe or authorized tribal organization."42 U.S.C. § 6903 (13)(A). It thus seems clear that the text and history of the RCRA clearly indicates congressional intent to abrogate the Tribe's sovereign immunity with respect to violations of the RCRA.
Blue Legs ,
In addition, the Ninth Circuit referred to Blue Legs in Miller v. Wright ,
The Tribe and PGE argue that because "person" in Section 1365 is followed by "(including (i) the United States, and (ii) any other governmental instrumentality or agency to the extent permitted by the eleventh amendment to the Constitution)," Section 1365"specifically provide[s]" a unique definition of "person," making the general definition of "person" in Section 1362 inapplicable. The Tribe and PGE also argue that Section 1365impliedly uses a different definition of "person," because it defines "person" to include the United States, and thus cannot be the same "person" as used in Section 1362. The problem with this argument, however, is that even assuming, arguendo , that Section 1365did create an entirely new definition of person, the Tribe and PGE provide no workable alternative definition of "person" for purposes of the citizen suit provision.
Elsewhere, the Tribe and PGE suggest that in the absence of a specific definition displacing that in Section 1362, but where it would make little sense to apply Section 1362's definition,
PGE also argues that Section 1365 cannot be read simply to add the United States to the list of "persons" defined in Section 1352, because elsewhere in the CWA Congress added one term to the *1183definition of "persons" in a more precise way, indicating that Congress knew how to do this and therefore purposely did not do so in Section 1365. Specifically, in
Relying on this principle of statutory construction, PGE argues that the "including" parenthetical in Section 1365 should not be given the same meaning as the text in Section 1319(6), which adds "responsible corporate officer" to the definition of "person" under Section 1362 by using the term "in addition to." The Court recognizes the general principle of statutory interpretation, reflected in Russello , that "[w]here Congress includes particular language in one section of a statute but omits it in another section of the same Act, it is generally presumed that Congress acts intentionally and purposely in the disparate inclusion or exclusion." Russello ,
PGE also argues that if Congress had simply intended to add to the definition of "persons" already provided, then it would have been superfluous to also reference state entities, which are already included in the definition of "persons" in Section 1362. Section 1365, however, does more than reference states-it references all other governmental instrumentalities or agencies-and it is far from clear that these bodies are all included in the general definition of "person." Furthermore, as DRA argues, and as PGE now agrees, the qualifying text "to the extent permitted by the Constitution" actually operates to remove states from definition of "persons" against whom citizen suits may be initiated, based on Eleventh Amendment immunity.
*1184Finally, PGE argues that Section 1365 is a grant of jurisdiction only, and not an abrogation of sovereign immunity. PGE first suggests that the title of Section 1365(a) indicates that it is a grant of jurisdiction. Regardless of whether a statute's title is a proper consideration at this stage, see Pennsylvania Dept of Corr. v. Yeskey ,
PGE also relies on Blatchford v. Native Vill. of Noatak and Circle Vill. ,
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.
Blatchford v. Native Vill. of Noatak & Circle Vill. ,
Although a grant of jurisdiction is distinct from an abrogation of sovereign immunity, the Court disagrees with PGE's argument that Section 1365 is nothing more than a grant of jurisdiction. Section 1365 provides that "any citizen may commence a civil action ..." and only later adds that "[t]he district courts shall have jurisdiction" to hear such actions. The first part of the provision, therefore, does something more than grant jurisdiction.
The parties now agree that Section 1365 does not abrogate state sovereign immunity, although they disagree about why that is the case. PGE now argues, as discussed, that the provision is simply not an abrogation of sovereign immunity at all, and that the parenthetical reference to the Eleventh Amendment "clarif[ies]" that sovereign immunity under the Eleventh Amendment was preserved. But as PGE argues elsewhere, an interpretation of a statute that would render text superfluous is to be avoided. Corley v. United States ,
Interpreting Section 1365 to abrogate the sovereign immunity of Indian tribes and the United States, but not of individual states does raise the question of why Congress would have expressly provided that the citizen suit provision did not abrogate state sovereignty under the Eleventh Amendment, but not done the same for tribal sovereign immunity. At first glance, this presents some incongruity. Any meaning that could be gleaned from this apparent mismatch, however, is lessened by the fact that Congress did clearly intend to differentiate between states and the federal government-providing for citizen suits against the latter but not the former-negating the potential concern that this mismatch suggests it was not Congress' intent to treat Indian tribes differently from states.
The Court concludes that Section 1365 of the CWA abrogates the sovereign immunity of Indian tribes. The Court agrees with other courts that have found that where a statute defines "person" to include "tribes," and allows citizen suits against "persons," Congress has made a clear and unequivocal waiver of tribal sovereign immunity. The Court is unpersuaded by the Tribe and PGE's argument that the CWA's citizen suit provision, by explicitly mentioning the United States and other governmental bodies, meant to remove Indian tribes from the CWA's general definition of "person." "Person," as generally defined in the CWA, does not include the United States. Giving the term "including" its plain meaning, Section 1365adds the United States to the definition of "person," and expressly preserves state sovereign immunity under the Eleventh Amendment, but not tribal sovereign immunity. Because the citizen suit provision of the CWA abrogates tribal immunity, it is feasible to join the Tribe-a necessary part-to this action.
CONCLUSION
The Tribe is a necessary party in this action, and it is feasible to join the Tribe because Congress has abrogated the Tribe's sovereign immunity against suit under the CWA. Accordingly, the Tribe's motion to dismiss (ECF 72) and PGE's motion to dismiss (ECF 74) are DENIED, the Tribe shall be joined as a Defendant, and DRA may file an amended complaint within 14 days from the date of this Opinion and Order.
IT IS SO ORDERED.
For example, if the Tribe's interest in this action derived only from its proximity to the Pelton Project, or the Project's effect on tribal resources, but the Tribe held no responsibility for the ownership or operation of the Project, and the Project itself was not operated on tribal land, the Tribe may still be a necessary party due to its interests, but DRA likely could not allege that the Tribe had violated the CWA. In that case, the Tribe likely would retain its sovereign immunity because the only purported basis for an abrogation-the CWA-would be inapplicable to the Tribe.
The Tribe and PGE point to several examples within the CWA where it would make little sense to apply Section 1362's definition of "person," which includes entities like corporations. For instance, in provisions requiring research on "the harmful effects on the health or welfare of persons causes by pollutants," or authorizing scholarships for "undergraduate study by persons," the Tribe and PGE argue, Congress used "persons" merely to mean natural, human individuals, without expressly stating so. The Court addresses the Tribe and PGE's argument on this matter without weighing in directly on the meaning of "persons" within these other CWA provisions.
The Tribe and PGE asserted the opposite position in their initial briefing, but in supplemental briefs argue that this text indicates that states do have sovereign immunity from suits for damages.
Notably, in their original briefing on this motion, PGE and the Tribe argued that Section 1365 expressly abrogated the sovereign immunity of the United States and of individual states, and insisted that because Congress had done so explicitly without mentioning Indian tribes, Congress had not intended to abrogate the sovereign immunity of tribes.
Reference
- Full Case Name
- DESCHUTES RIVER ALLIANCE v. PORTLAND GENERAL ELECTRIC COMPANY
- Status
- Published