Herrera v. Wyoming
Herrera v. Wyoming
Opinion
*1691
In 1868, the Crow Tribe ceded most of its territory in modern-day Montana and Wyoming to the United States. In exchange, the United States promised that the Crow Tribe "shall have the right to hunt on the unoccupied lands of the United States so long as game may be found thereon" and "peace subsists ... on the borders of the hunting districts." Treaty Between the United States of America and the Crow Tribe of Indians (1868 Treaty), Art. IV, May 7, 1868,
I
A
The Crow Tribe first inhabited modern-day Montana more than three centuries ago.
Montana v. United States
,
The westward migration of non-Indians began a new chapter in the Tribe's history. In 1825, the Tribe signed a treaty of friendship with the United States. Treaty With the Crow Tribe, Aug. 4, 1825,
After prospectors struck gold in Idaho and western Montana, a new wave of settlement prompted Congress to initiate further negotiations. See F. Hoxie, Parading Through History 88-90 (1995). Federal negotiators, including Commissioner of Indian Affairs Nathaniel G. Taylor, met with Crow Tribe leaders for this purpose in 1867. Taylor acknowledged that "settlements ha[d] been made" upon the Crow Tribe's lands and that their "game [was] being driven away." Institute for the Development of Indian Law, Proceedings of the Great Peace Commission of 1867-1868, p. 86 (1975) (hereinafter Proceedings). He told the assembled tribal leaders that the United States wished to "set apart a tract of [Crow Tribe] country as a home" for the Tribe "forever" and to buy the rest of the Tribe's land. Ibid . Taylor emphasized that the Tribe would have "the right to hunt upon" the land it ceded to the Federal Government "as long as the game lasts." Ibid .
At the convening, Tribe leaders stressed the vital importance of preserving their hunting traditions. See id ., at 88 (Black Foot: "You speak of putting us on a reservation and teaching us to farm.... That talk does not please us. We want horses to run after the game, and guns and ammunition to kill it. I would like to live just as I have been raised"); id ., at 89 (Wolf Bow: "You want me to go on a reservation and farm. I do not want to do that. I was not raised so"). Although Taylor responded that "[t]he game w[ould] soon entirely disappear," he also reassured tribal leaders that they would "still be free to hunt" as they did at the time even after the reservation was created. Id ., at 90.
The following spring, the Crow Tribe and the United States entered into the treaty at issue in this case: the 1868 Treaty.
"The Indians ... shall have the right to hunt on the unoccupied lands of the United States so long as game may be found thereon, and as long as peace subsists among the whites and Indians on the borders of the hunting districts." Id ., at 650.
A few months after the 1868 Treaty signing, Congress established the Wyoming Territory. Congress provided that the establishment of this new Territory would not "impair the rights of person or property now pertaining to the Indians in said Territory, so long as such rights shall remain unextinguished by treaty." An Act to Provide a Temporary Government for the Territory of Wyoming (Wyoming Territory Act), July 25, 1868, ch. 235,
B
Petitioner Clayvin Herrera is a member of the Crow Tribe who resides on the Crow Reservation in Montana. In 2014, Herrera and other Tribe members pursued a group of elk past the boundary of the reservation and into the neighboring Bighorn National Forest in Wyoming. They shot several bull elk and returned to Montana with the meat. The State of Wyoming charged Herrera for taking elk off-season or without a state hunting license and with being an accessory to the same.
In state trial court, Herrera asserted that he had a protected right to hunt where and when he did pursuant to the 1868 Treaty. The court disagreed and denied Herrera's pretrial motion to dismiss. See Nos. CT-2015-2687, CT-2015-2688 (4th Jud. Dist. C.C., Sheridan Cty., Wyo., Oct. 16, 2015), App. to Pet. for Cert. 37, 41. Herrera unsuccessfully sought a stay of the trial court's order from the Wyoming Supreme Court and this Court. He then went to trial, where he was not permitted to advance a treaty-based defense, and a jury convicted him on both counts. The trial court imposed a suspended jail sentence, as well as a fine and a 3-year suspension of Herrera's hunting privileges.
Herrera appealed. The central question facing the state appellate court was whether the Crow Tribe's off-reservation hunting right was still valid. The U.S. Court of Appeals for the Tenth Circuit, reviewing the same treaty right in 1995 in
Crow Tribe of Indians v.Repsis
, had ruled that the right had expired when Wyoming became a State.
*1694
Herrera argued in the state court that this Court's subsequent decision in
Minnesota v. Mille Lacs Band of Chippewa Indians
,
The state appellate court saw things differently. Reasoning that Mille Lacs had not overruled Race Horse , the court held that the Crow Tribe's 1868 Treaty right expired upon Wyoming's statehood. No. 2016-242 (4th Jud. Dist., Sheridan Cty., Wyo., Apr. 25, 2017), App. to Pet. for Cert. 31-34. Alternatively, the court concluded that the Repsis Court's judgment merited issue-preclusive effect against Herrera because he is a member of the Crow Tribe, and the Tribe had litigated the Repsis suit on behalf of itself and its members. App. to Pet. for Cert. 15-17, 31; App. 258. Herrera, in other words, was not allowed to relitigate the validity of the treaty right in his own case.
The court also held that, even if the 1868 Treaty right survived Wyoming's entry into the Union, it did not permit Herrera to hunt in Bighorn National Forest. Again following
Repsis
, the court concluded that the treaty right applies only on "unoccupied" lands and that the national forest became categorically "occupied" when it was created. See App. to Pet. for Cert. 33-34;
Repsis
,
The Wyoming Supreme Court denied a petition for review, and this Court granted certiorari. 585 U.S. ----, --- S.Ct. ----, --- L.Ed.2d ---- (2018). For the reasons that follow, we now vacate and remand.
II
We first consider whether the Crow Tribe's hunting rights under the 1868 Treaty remain valid. Relying on this Court's decision in Mille Lacs , Herrera and the United States contend that those rights did not expire when Wyoming became a State in 1890. We agree.
A
Wyoming argues that this Court's decision in Race Horse establishes that the Crow Tribe's 1868 Treaty right expired at statehood. But this case is controlled by Mille Lacs , not Race Horse .
Race Horse
concerned a hunting right guaranteed in a treaty with the Shoshone and Bannock Tribes. The Shoshone-Bannock Treaty and the 1868 Treaty with the Crow Tribe were signed in the same year and contain identical language reserving an off-reservation hunting right. See Treaty Between the United States of America and the Eastern Band of Shoshonees [
sic
] and the Bannack [
sic
] Tribe of Indians (Shoshone-Bannock Treaty), July 3, 1868,
Race Horse
relied on two lines of reasoning. The first turned on the doctrine that new States are admitted to the Union on an "equal footing" with existing States.
Id
., at 511-514,
Second, the Court found no evidence in the Shoshone-Bannock Treaty itself that Congress intended the treaty right to continue in "perpetuity."
Id
., at 514-515,
More than a century after
Race Horse
and four years after
Repsis
relied on that decision, however,
Mille Lacs
undercut both pillars of
Race Horse
's reasoning.
Mille Lacs
considered an 1837 Treaty that guaranteed to several bands of Chippewa Indians the privilege of hunting, fishing, and gathering in ceded lands " 'during the pleasure of the President.' "
Mille Lacs
approached the question before it in two stages. The Court first asked whether the Act admitting Minnesota to the Union abrogated the treaty right of the Chippewa bands. Next, the Court examined the Chippewa Treaty itself for evidence that the parties intended the treaty right to expire at statehood. These inquires roughly track the two lines of analysis in
Race Horse
. Despite these parallel analyses, however, the
Mille Lacs
Court refused Minnesota's invitation to rely on
Race Horse
, explaining that the case had "been qualified by later decisions."
To begin with, in addressing the effect of the Minnesota Statehood Act on the Chippewa Treaty right, the
Mille Lacs
Court entirely rejected the "equal footing" reasoning applied in
Race Horse
. The earlier case concluded that the Act admitting Wyoming to the Union on an equal footing "repeal[ed]" the Shoshone-Bannock Treaty right because the treaty right was "irreconcilable" with state sovereignty over natural resources.
Race Horse
,
*1696
In lieu of adopting the equal-footing analysis, the Court instead drew on numerous decisions issued since
Race Horse
to explain that Congress "must clearly express" any intent to abrogate Indian treaty rights.
The
Mille Lacs
Court then turned to what it referred to as
Race Horse
's"alternative holding" that the rights in the Shoshone-Bannock Treaty "were not intended to survive Wyoming's statehood."
Maintaining its focus on the treaty's language,
Mille Lacs
distinguished the Chippewa Treaty before it from the Shoshone-Bannock Treaty at issue in
Race Horse
. Specifically, the Court noted that the Shoshone-Bannock Treaty, unlike the Chippewa Treaty, "tie[d] the duration of the rights to the occurrence of some clearly contemplated event[s]"-
i
.
e
., to whenever the hunting grounds would cease to "remai[n] unoccupied and owned by the United States."
In sum,
Mille Lacs
upended both lines of reasoning in
Race Horse
. The case established that the crucial inquiry for treaty termination analysis is whether Congress has expressly abrogated an Indian treaty right or whether a termination point identified in the treaty itself has been satisfied. Statehood is irrelevant to this analysis unless a statehood Act otherwise demonstrates Congress' clear intent to abrogate a treaty, or statehood appears as a termination point in the treaty. See
Even Wyoming concedes that the Court has rejected the equal-footing reasoning in Race Horse , Brief for Respondent 26, but the State contends that Mille Lacs reaffirmed the alternative holding in Race Horse that the Shoshone-Bannock Treaty right (and thus the identically phrased right in the 1868 Treaty with the Crow Tribe) was intended to end at statehood. We are unpersuaded. As explained above, although the decision in Mille Lacs did not explicitly say that it was overruling the alternative ground in Race Horse , it is impossible to harmonize Mille Lacs ' analysis with the Court's prior reasoning in Race Horse . 1
We thus formalize what is evident in
Mille Lacs
itself. While
Race Horse
"was not expressly overruled" in
Mille Lacs
, "it must be regarded as retaining no vitality" after that decision.
Limbach v. Hooven & Allison Co.
,
B
Because this Court's intervening decision in Mille Lacs repudiated the reasoning on which the Tenth Circuit relied in Repsis , Repsis does not preclude Herrera from arguing that the 1868 Treaty right survived Wyoming's statehood.
Under the doctrine of issue preclusion, "a prior judgment ... foreclos[es] successive litigation of an issue of fact or law actually litigated and resolved in a valid court determination essential to the prior judgment."
New Hampshire v. Maine
,
*1698
We conclude that a change in law justifies an exception to preclusion in this case. There is no question that the Tenth Circuit in
Repsis
relied on this Court's binding decision in
Race Horse
to conclude that the 1868 Treaty right terminated upon Wyoming's statehood. See
C
We now consider whether, applying Mille Lacs , Wyoming's admission to the Union abrogated the Crow Tribe's off-reservation treaty hunting right. It did not.
First, the Wyoming Statehood Act does not show that Congress intended to end the 1868 Treaty hunting right. If Congress seeks to abrogate treaty rights, "it must clearly express its intent to do so."
Mille Lacs
,
*1699
this Court's precedent requires.
Mille Lacs
,
Nor is there any evidence in the treaty itself that Congress intended the hunting right to expire at statehood, or that the Crow Tribe would have understood it to do so. A treaty is "essentially a contract between two sovereign nations."
Fishing Vessel Assn.
,
Just as in
Mille Lacs
, there is no suggestion in the text of the 1868 Treaty with the Crow Tribe that the parties intended the hunting right to expire at statehood. The treaty identifies four situations that would terminate the right: (1) the lands are no longer "unoccupied"; (2) the lands no longer belong to the United States; (3) game can no longer "be found thereon"; and (4) the Tribe and non-Indians are no longer at "peace ... on the borders of the hunting districts." Art. IV,
The historical record likewise does not support the State's position. See
Choctaw Nation v. United States
,
In the face of this evidence, Wyoming nevertheless contends that the 1868 Treaty expired at statehood pursuant to the Mille Lacs analysis. Wyoming does not argue that the legal act of Wyoming's statehood abrogated the treaty right, and it cannot contend that statehood is explicitly identified as a treaty expiration point. Instead, Wyoming draws on historical *1700 sources to assert that statehood, as a practical matter, marked the arrival of "civilization" in the Wyoming Territory and thus rendered all the lands in the State occupied. Brief for Respondent 48. This claim cannot be squared with Mille Lacs .
Wyoming's arguments boil down to an attempt to read the treaty impliedly to terminate at statehood, precisely as Mille Lacs forbids. The State sets out a potpourri of evidence that it claims shows statehood in 1890 effectively coincided with the disappearance of the wild frontier: for instance, that the buffalo were extinct by the mid-1870s; that by 1880, Indian Department regulations instructed Indian agents to confine tribal members " 'wholly within the limits of their respective reservations' "; and that the Crow Tribe stopped hunting off-reservation altogether in 1886. Brief for Respondent 47 (quoting § 237 Instructions to Indian Agents (1880), as published in Regulations of the Indian Dept. § 492 (1884)).
Herrera contradicts this account, see Reply Brief for Petitioner 5, n. 3, and the historical record is by no means clear. For instance, game appears to have persisted for longer than Wyoming suggests. See Dept. of Interior, Ann. Rep. of the Comm'r of Indian Affairs 495 (1873) (Black Foot: "On the other side of the river below, there are plenty of buffalo; on the mountains are plenty of elk and black-tail deer; and white-tail deer are plenty at the foot of the mountain"). As for the Indian Department Regulations, there are reports that a group of Crow Tribe members "regularly hunted along the Little Bighorn River" even after the regulation the State cites was in effect. Hoxie, Parading Through History, at 26. In 1889, the Office of Indian Affairs wrote to U.S. Indian Agents in the Northwest that "[f]requent complaints have been made to this Department that Indians are in the habit of leaving their reservations for the purpose of hunting." 28 Cong. Rec. 6231 (1896).
Even assuming that Wyoming presents an accurate historical picture, the State's mode of analysis is severely flawed. By using statehood as a proxy for occupation, Wyoming subverts this Court's clear instruction that treaty-protected rights "are not impliedly terminated upon statehood."
Mille Lacs
,
Finally, to the extent that Wyoming seeks to rely on this same evidence to establish that all land in Wyoming was functionally "occupied" by 1890, its arguments fall outside the question presented and are unpersuasive in any event. As explained below, the Crow Tribe would have understood occupation to denote some form of residence or settlement. See
infra
, at 1701 - 1702. Furthermore, Wyoming cannot rely on
Race Horse
to equate occupation with statehood, because that case's reasoning rested on the flawed belief that statehood could not coexist with a continuing treaty right. See
Race Horse
,
Applying Mille Lacs , this is not a hard case. The Wyoming Statehood Act did not abrogate the Crow Tribe's hunting right, nor did the 1868 Treaty expire of its own accord at that time. The treaty itself defines the circumstances in which the right will expire. Statehood is not one of them.
III
We turn next to the question whether the 1868 Treaty right, even if still valid after Wyoming's statehood, does not protect hunting in Bighorn National Forest because the forest lands are "occupied." We agree with Herrera and the United States that Bighorn National Forest *1701 did not become categorically "occupied" within the meaning of the 1868 Treaty when the national forest was created. 5
Treaty analysis begins with the text, and treaty terms are construed as " 'they would naturally be understood by the Indians.' "
Fishing Vessel Assn.
,
That interpretation follows first and foremost from several cues in the treaty's text. For example, Article IV of the 1868 Treaty made the hunting right contingent on peace "among the whites and Indians on the borders of the hunting districts," thus contrasting the unoccupied hunting districts with areas of white settlement.
*1702
II, VI,
Historical evidence confirms this reading of the word "unoccupied." At the treaty negotiations, Commissioner Taylor commented that "settlements ha[d] been made upon [Crow Tribe] lands" and that "white people [were] rapidly increasing and ... occupying all the valuable lands." Proceedings 86. It was against this backdrop of white settlement that the United States proposed to buy "the right to use and settle" the ceded lands, retaining for the Tribe the right to hunt. Ibid . A few years after the 1868 Treaty signing, a leader of the Board of Indian Commissioners confirmed the connection between occupation and settlement, explaining that the 1868 Treaty permitted the Crow Tribe to hunt in an area "as long as there are any buffalo, and as long as the white men are not [in that area] with farms." Dept. of Interior, Ann. Rep. of the Comm'r of Indian Affairs 500.
Given the tie between the term "unoccupied" and a lack of non-Indian settlement, it is clear that President Cleveland's proclamation creating Bighorn National Forest did not "occupy" that area within the treaty's meaning. To the contrary, the President "reserved" the lands "from entry or settlement." Presidential Proclamation No. 30,
Wyoming's counterarguments are unavailing. The State first asserts that the forest became occupied through the Federal Government's "exercise of dominion and control" over the forest territory, including federal regulation of those lands. Brief for Respondent 56-60. But as explained, the treaty's text and the historical record suggest that the phrase "unoccupied lands" had a specific meaning to the Crow Tribe: lack of settlement. The proclamation of a forest reserve withdrawing land from settlement would not categorically transform the territory into an area resided on or settled by non-Indians; quite the opposite. Nor would the restrictions on hunting in national forests that Wyoming cites. See Appropriations Act of 1899, ch. 424,
Wyoming also claims that exploitative mining and logging of the forest lands prior to 1897 would have caused the Crow Tribe to view the Bighorn Mountains as occupied. But the presence of mining and logging operations did not amount to settlement of the sort that the Tribe would have understood as rendering the forest occupied. In fact, the historical source on which Wyoming primarily relies indicates that there was "very little" settlement of Bighorn National Forest around the time the forest was created. Dept. of Interior, Nineteenth Ann. Rep. of the U.S. Geological Survey 167 (1898).
Considering the terms of the 1868 Treaty as they would have been understood by the Crow Tribe, we conclude that the creation *1703 of Bighorn National Forest did not remove the forest lands, in their entirety, from the scope of the treaty.
IV
Finally, we note two ways in which our decision is limited. First, we hold that Bighorn National Forest is not categorically occupied, not that all areas within the forest are unoccupied. On remand, the State may argue that the specific site where Herrera hunted elk was used in such a way that it was "occupied" within the meaning of the 1868 Treaty. See
State v. Cutler
,
Second, the state trial court decided that Wyoming could regulate the exercise of the 1868 Treaty right "in the interest of conservation." Nos. CT-2015-2687, CT-2015-2688, App. to Pet. for Cert. 39-41; see
Antoine
,
* * *
The judgment of the Wyoming District Court of the Fourth Judicial District, Sheridan County, is vacated, and the case is remanded for further proceedings not inconsistent with this opinion.
It is so ordered.
Justice ALITO, with whom THE CHIEF JUSTICE, Justice THOMAS, and Justice KAVANAUGH join, dissenting.
The Court's opinion in this case takes a puzzling course. The Court holds that members of the Crow Tribe retain a virtually unqualified right under the Treaty Between the United States of America and the Crow Tribe of Indians (1868 Treaty) to hunt on land that is now part of the Bighorn National Forest. This interpretation of the treaty is debatable and is plainly contrary to the decision in
Ward v. Race Horse
,
That judgment was based on two independent grounds, and the Court deals with only one of them. The Court holds that the first ground no longer provides an adequate reason to give the judgment preclusive effect due to an intervening change in the legal context. But the Court sidesteps the second ground and thus leaves it up to the state courts to decide whether the Repsis judgment continues to have binding effect. If it is still binding-and I think it is-then no member of the Tribe will be able to assert the hunting right that the Court addresses. Thus, the Court's decision to plow ahead on the treaty-interpretation issue is hard to understand, and its discourse on that issue is likely, in the end, to be so much wasted ink.
I
A
As the Court notes, the Crow Indians eventually settled in what is now Montana,
*1704
where they subsequently came into contact with early white explorers and trappers. F. Hoxie, The Crow 26-28, 33 (1989). In an effort to promote peace between Indians and white settlers and to mitigate conflicts between different tribes, the United States negotiated treaties that marked out a territory for each tribe to use as a hunting district. See 2 C. Kappler, Indian Affairs: Laws and Treaties 594 (2d ed. 1904) (Kappler). The Treaty of Fort Laramie of 1851 (1851 Treaty),
As white settlement increased, the United States entered into a series of treaties establishing reservations for the Crow and neighboring tribes, and the 1868 Treaty was one such treaty.
Shortly after the signing of the 1868 Treaty, Congress created the Wyoming Territory, which was adjacent to and immediately south of the Crow Tribe's reservation. The Act creating the Territory provided that "nothing in this act shall be construed to impair the rights of person or property now pertaining to the Indians in said Territory, so long as such rights shall remain unextinguished by treaty between the United States and such Indians." Act of July 25, 1868, ch. 235,
These enactments did not end legal conflicts between the white settlers and Indians. Almost immediately after Wyoming's admission to the Union, this Court had to determine the extent of the State's regulatory power in light of a tribe's reserved hunting rights. A member of the Shoshone-Bannock Tribes named Race Horse had been arrested by Wyoming officials for taking elk in violation of state hunting laws.
Race Horse
,
This Court rejected Race Horse's argument, holding that the admission of Wyoming to the Union terminated the hunting right.
First, the Court held that Wyoming's admission necessarily ended the Tribe's hunting right because otherwise the State would lack the power, possessed by every other State, "to regulate the killing of game within [its] borders." Ibid . Limiting Wyoming's power in this way, the Court reasoned, would contravene the equal-footing doctrine, which dictates that all States enter the Union with the full panoply of powers enjoyed by the original 13 States at the adoption of the Constitution. Ibid . Under this rationale, the Act of Congress admitting Wyoming could not have preserved the hunting right even if that had been Congress's wish.
After providing this basis for its holding, however, the Court quickly turned to a second ground, namely, that even if Congress could have limited Wyoming's authority in this way, it had not attempted to do so.
Id
., at 515,
Race Horse
did not mark a final resolution of the conflict between Wyoming's regulatory power and tribal hunting rights. Nearly a century later, Thomas Ten Bear, a member of the Crow Tribe, crossed into Wyoming to hunt elk in the Bighorn National Forest, just as Herrera did in this case. Wyoming game officials cited Ten Bear, and he was ultimately convicted of hunting elk without the requisite license.
2
Ten Bear, like Race Horse before him, filed a lawsuit in federal court disputing Wyoming's authority to regulate hunting by members of his Tribe.
Crow Tribe of Indians v. Repsis
,
The District Court found that challenge indistinguishable from the one addressed in
Race Horse
. The District Court noted that Race Horse had pointed to "identical treaty language" and had "advanced the identical contention now made by" Ten Bear and the Tribe.
Repsis
,
The Tenth Circuit affirmed that judgment on two independent grounds. First, the Tenth Circuit agreed with the District Court that, under
Race Horse
, "[t]he Tribe's right to hunt reserved in the Treaty
*1706
with the Crows, 1868, was repealed by the act admitting Wyoming into the Union."
Crow Tribe of Indians v. Repsis
,
B
The events giving rise to the present case are essentially the same as those in Race Horse and Repsis . During the winter of 2013, Herrera, who was an officer in the Crow Tribe's fish and game department, contacted Wyoming game officials to offer assistance investigating a number of poaching incidents along the border between Bighorn and the Crow Reservation. 3 After a lengthy discussion in which Herrera asked detailed questions about the State's investigative capabilities, the Wyoming officials became suspicious of Herrera's motives. The officials conducted a web search for Herrera's name and found photographs posted on trophy-hunting and social media websites that showed him posing with bull elk. The officers recognized from the scenery in the pictures that the elk had been killed in Bighorn and were able to locate the sites where the pictures had been taken. At those sites, about a mile south of the fence running along the Bighorn National Forest boundary, state officials discovered elk carcasses. The heads had been taken from the carcasses but much of the meat was abandoned in the field. State officials confronted Herrera, who confessed to the shootings and turned over the heads that he and his companions had taken as trophies. The Wyoming officials cited Herrera for hunting out of season.
Herrera moved to dismiss the citations, arguing that he had a treaty right to hunt in Bighorn. The trial court rejected this argument, concluding that it was foreclosed by the Tenth Circuit's analysis in Repsis, and the jury found Herrera guilty. On appeal, Herrera continued to argue that he had a treaty right to hunt in Bighorn. The appellate court held that the judgment in Repsis precluded him from asserting a treaty hunting right, and it also held, in the alternative, that Herrera's treaty rights did not allow him to hunt in Bighorn. This Court granted certiorari.
II
In seeking review in this Court, Herrera framed this case as implicating only a question of treaty interpretation. But unless the state court was wrong in holding that Herrera is bound by the judgment in Repsis , there is no reason to reach the treaty-interpretation question. For this reason, I would begin with the question of issue preclusion, and because I believe that Herrera is bound by the adverse decision on that issue in Repsis , I would not reach the treaty-interpretation issue.
A
It is "a fundamental precept of common-law adjudication" that "an issue once determined
*1707
by a competent court is conclusive."
Arizona v. California
,
Under federal issue-preclusion principles,
4
"once an issue is actually and necessarily determined by a court of competent jurisdiction, that determination is conclusive in subsequent suits based on a different cause of action involving a party to the prior litigation."
Montana v. United States
,
In
Repsis
, the central issue-and the question on which the Crow Tribe sought a declaratory judgment-was whether members of the Tribe "have an unrestricted right to hunt and fish on Big Horn National Forest lands."
B
The majority concludes otherwise based on an exception to issue preclusion that applies when there has been an intervening "change in the applicable legal context."
Ante
, at 1697 (internal quotation marks and alteration omitted). Specifically, the majority reasons that the
Repsis
judgment was based on
Race Horse
and that our subsequent decision in
Minnesota v. Mille Lacs Band of Chippewa Indians
,
The majority thinks that the exception applies because
Mille Lacs
effectively overruled
Race Horse
, even though it did not say that in so many words. But that is a questionable interpretation. The fact of the matter is that the
Mille Lacs
majority held back from actually overruling
Race Horse
, even though the dissent claimed that it had effectively done so. See
Mille Lacs
,
On this reading, it appears that Mille Lacs did not reject the second ground for the decision in Race Horse but simply found it inapplicable to the facts of the case at hand. I do not claim that this reading of Mille Lacs is indisputable, but it is certainly reasonable, and if it is correct, Mille Lacs did not change the legal context as much as the majority suggests. It knocked out some of Race Horse 's reasoning but did not effectively overrule the decision. Is that enough to eliminate the preclusive effect of the first ground for the Repsis judgment?
The majority cites no authority holding that a decision like
Mille Lacs
is sufficient to deprive a prior judgment of its issue-preclusive effect. Certainly,
Bies
,
supra
, upon which the majority relies, is not such authority. In that case, Bies had been convicted of murder and sentenced to death at a time when what was then termed "mental retardation" did not render a defendant ineligible for a death sentence but was treated as simply a mitigating factor to be taken into account in weighing whether such a sentence should be imposed. When Bies contested his death sentence on appeal, the state appellate court observed that he suffered from a mild form of intellectual disability, but it nevertheless affirmed his sentence. Years later, in
Atkins v. Virginia
,
This Court reversed, and its primary reason for doing so has no relation to the question presented here. We found that issue preclusion was not available to Bies because he had not prevailed in the first action; despite the state court's recognition of mild intellectual disability as a mitigating factor, it had affirmed his sentence. As we put it, "[i]ssue preclusion ... does not transform final judgment losers ... into partially prevailing parties."
*1709
Bies
,
Only after providing this dispositive reason for rejecting the Sixth Circuit's invocation of issue preclusion did we go on to cite the Restatement's discussion of the change-in-law exception. And we then quickly noted that the issue addressed by the state appellate courts prior to
Atkins
("[m]ental retardation as a mitigator") was not even the same issue as the issue later addressed after
Atkins
.
Bies,
Although the majority in the present case believes that Mille Lacs unquestionably constitutes a sufficient change in the legal context, see ante , at 1698, there is a respectable argument on the other side. I would not decide that question because Herrera and other members of the Crow Tribe are bound by the judgment in Repsis even if the change-in-legal-context exception applies.
C
That is so because the Repsis judgment was based on a second, independently sufficient ground that has nothing to do with Race Horse , namely, that the Bighorn National Forest is not "unoccupied." Herrera and the United States, appearing as an amicus in his support, try to escape the effect of this alternative ground based on other exceptions to the general rule of issue preclusion. But accepting any of those exceptions would work a substantial change in established principles, and it is fortunate that the majority has not taken that route.
Unfortunately, the track that the majority has chosen is no solution because today's decision will not prevent the Wyoming courts on remand in this case or in future cases presenting the same issue from holding that the Repsis judgment binds all members of the Crow Tribe who hunt within the Bighorn National Forest. And for the reasons I will explain, such a holding would be correct.
1
Attempting to justify its approach, the majority claims that the decision below gave preclusive effect to only the first ground adopted by the Tenth Circuit in Repsis -that is, the ground that relied on Race Horse . Ante , at 1701, n. 5. But nowhere in the decision below can any such limitation be found. The Wyoming appellate court discussed the second ground for the Repsis judgment, see App. to Pet. for Cert. 22 ("[T]he creation of the Big Horn National Forest resulted in the 'occupation' of the land, extinguishing the off-reservation hunting right"), and it concluded that the judgment in Repsis , not just one of the grounds for that judgment, "preclude[s] Herrera from attempting to relitigate the validity of the off-reservation hunting right that was previously held to be invalid," App. to Pet. for Cert. 31. 6
*1710 2
Herrera takes a different approach in attempting to circumvent the effect of the alternative Repsis ground. When a judgment rests on two independently sufficient grounds, he contends, neither ground should be regarded as having an issue-preclusive effect. This argument raises an important question that this Court has never decided and one on which the First and Second Restatements of Judgments take differing views. According to the First Restatement, a judgment based on alternative grounds "is determinative on both grounds, although either alone would have been sufficient to support the judgment." Restatement of Judgments § 68, Comment n (1942). Other authorities agree. See 18 C. Wright, A. Miller, & E. Cooper, Federal Practice and Procedure § 4421, p. 613 (3d ed. 2016) (noting "substantial support in federal decisions" for this approach). 7 But the Second Restatement reversed this view, recommending that a judgment based on the determination of two independent issues "is not conclusive with respect to either issue standing alone." § 27, Comment i , at 259.
There is scant explanation for this change in position beyond a reference in the Reporter's Note to a single decision of the United States Court of Appeals for the Second Circuit.
Id
., Reporter's Note, Comment
i
, at 270 (discussing
Halpern v. Schwartz
,
The First Restatement has the more compelling position. There appear to be two principal objections to giving alternative grounds preclusive effect. The first is that the court rendering the judgment may not have given each of the grounds "the careful deliberation and analysis normally applied to essential issues."
Halpern
,
supra
, at 105. This argument is based on an
*1711
unjustified assessment of the way in which courts do their work. Even when a court bases its decision on multiple grounds, "it is reasonable to expect that such a finding is the product of careful judicial reasoning."
Jean Alexander Cosmetics, Inc. v. L'Oreal USA, Inc.
,
The other argument cited for the Second Restatement's rule is that the losing party may decline to appeal if one of the two bases for a judgment is strong and the other is weak. § 27, Comment i , at 259. There are reasons to be skeptical of this argument as well. While there may be cases in which the presence of multiple grounds causes the losing party to forgo an appeal, that is likely to be true in only a small subset of cases involving such judgments.
Moreover, other aspects of issue-preclusion doctrine protect against giving binding effect to decisions that result from unreliable litigation. Issue preclusion applies only to questions "actually and necessarily determined,"
Montana
,
Finally, regardless of whether alternative grounds
always
have preclusive effect, it is sufficient to say that, at least in a declaratory judgment action, each conclusion provides an independent basis for preclusion. "Since the very purpose of declaratory relief is to achieve a final and reliable determination of legal issues, there should be no quibbling about the necessity principle. Every issue that the parties have litigated and that the court has undertaken to resolve is necessary to the judgment, and should be precluded." 18 Wright, Federal Practice and Procedure § 4421, at 630 ; see
Henglein v. Colt Industries Operating Corp.
,
D
Herrera and the United States offer a variety of other arguments to avoid the *1712 preclusive effect of Repsis , but all are unavailing.
Herrera contends that he is not bound by the
Repsis
judgment because he was not a party, but this argument is clearly wrong. Indian hunting rights, like most Indian treaty rights, are reserved to the Tribe as a whole. Herrera's entitlement derives solely from his membership in the Tribe; it is not personal to him. As a result, a judgment determining the rights of the Tribe has preclusive effect in subsequent litigation involving an individual member of the Tribe. Cf.
Hinderlider v. La Plata River & Cherry Creek Ditch Co.
,
Herrera also argues that a judgment in a civil action should not have preclusive effect in a subsequent criminal prosecution, but this argument would unjustifiably prevent the use of the declaratory judgment device to determine potential criminal exposure. The Declaratory Judgment Act provides an equitable remedy allowing a party to ask a federal court to "declare [the party's] rights" through an order with "the force and effect of a final judgment."
It is true that we have been cautious about applying the doctrine of issue preclusion in criminal proceedings. See
e.g.,
Currierv.Virginia
, 585 U.S. ----, ----,
We employ such caution because preclusion rests on "an underlying confidence that the result achieved in the initial litigation was substantially correct," and that confidence, in turn, is bolstered by the availability of appellate review.
Standefer v. United States
,
*1713 * * *
For these reasons, Herrera is precluded by the judgment in Repsis from relitigating the continuing validity of the hunting right conferred by the 1868 Treaty. Because the majority has chosen to disregard this threshold problem and issue a potentially pointless disquisition on the proper interpretation of the 1868 Treaty, I respectfully dissent.
Notably, the four Justices who dissented in
Mille Lacs
protested that the Court "effectively overrule[d]
Race Horse
sub silentio
."
The dissent does not disagree outright with this conclusion, noting only that "there is a respectable argument on the other side,"
post
, at 1709. The dissent argues that the cases cited above are distinguishable, but we do not read them as narrowly as does the dissent. We note, too, that the lower federal courts have long applied the change-in-law exception in a variety of contexts. See,
e.g
.,
Dow Chemical Co. v. Nova Chemicals Corp. (Canada)
,
We do not address whether a different outcome would be justified if the State had identified "compelling concerns of repose or reliance." See 18 C. Wright, A. Miller, & E. Cooper, Federal Practice and Procedure § 4425, p. 726 (3d ed. 2016). Wyoming here has not done so. The State suggests that public support for its conservation efforts may be jeopardized if it no longer has "unquestioned" authority over wildlife management in the Bighorn Mountains. Brief for Respondent 54. Wyoming does not explain why its authority to regulate Indians exercising their treaty rights when necessary for conservation is not sufficient to preserve that public support, see infra , at 1703. The State's passing reference to upsetting the settled expectations of private property owners is unconvincing because the 1868 Treaty right applies only to "unoccupied lands of the United States."
Recall also that the Act establishing the Wyoming Territory declared that the creation of the Territory would not "impair the rights of person or property now pertaining to the Indians in said Territory" unless a treaty extinguished those rights. Wyoming Territory Act,
Wyoming argues that the judgment below should be affirmed because the Tenth Circuit held in
Repsis
that the creation of the forest rendered the land "occupied," see
The Wyoming appellate court agreed with the State that "the primary issue in [Herrera's] case is identical to the
primary issue
in the
Repsis
case." No. 2016-242 (4th Jud. Dist., Sheridan Cty., Wyo., Apr. 25, 2017), App. to Pet. for Cert. 13 (emphasis added). That "primary issue" was the
Race Horse
ground of decision, not the "occupation" ground, which
Repsis
referred to as "an alternative basis for affirmance,"
Repsis
,
While the dissent questions whether forfeiture could have played a part in the state court's analysis given that the court invited the parties to submit supplemental briefs on preclusion, post , at 1709 - 1710, n. 6, the parties suggest that Wyoming failed adequately to raise the claim even in its supplemental brief. See Brief for Petitioner 49 ("the state made no such argument before" the state court); Brief for United States as Amicus Curiae 31 (noting ambiguity in the State's supplemental brief).
It can be "appropriate in special circumstances" for a court to address a preclusion argument
sua sponte
.
Arizona v. California
,
The Shoshone-Bannock Treaty reserved " 'the right to hunt on the unoccupied lands of the United States, so long as game may be found thereon, and so long as peace subsists among the whites and Indians on the borders of the hunting districts.' "
Race Horse
,
Wyoming officials enforce the State's hunting laws on national forest lands pursuant to a memorandum of understanding between the State and Federal Governments.
Crow Tribe of Indians v. Repsis
,
Such cooperative law enforcement is valuable because the Crow Reservation and Bighorn National Forest face one another along the border between Montana, where the Crow Reservation is located, and Wyoming, where Bighorn is located. Supra , at 1704. The border is delineated by a high fence intermittently posted with markers.
The preclusive effect of the judgment of a federal court is governed by federal law, regardless of whether that judgment's preclusive effect is later asserted in a state or federal forum.
Taylor v. Sturgell
,
Nor are the other cases cited by the majority more helpful to the Court's position.
Commissioner v. Sunnen
,
The decision below, in other words, held that the issue that was precluded was whether members of the Crow Tribe have a treaty right to hunt in Bighorn. The majority rejects this definition of the issue, and instead asks only whether the first line of reasoning in Repsis retains preclusive effect. Such hairsplitting conflicts with the fundamental purpose of issue preclusion-laying legal disputes at rest. If courts allow a party to escape preclusion whenever a decision on one legal question can be divided into multiple or alternate parts, the doctrine of preclusion would lose its value. The majority's "[n]arrower definition of the issues resolved augments the risk of apparently inconsistent results" and undermines the objectives of finality and economy served by preclusion. 18 C. Wright, A. Miller, & E. Cooper, Federal Practice and Procedure § 4417, p. 470 (3d ed. 2016).
The Court also hints that the state court might have thought that Wyoming forfeited reliance on issue preclusion, ante , at 1701, n. 5, but there is no basis for that suggestion. The Wyoming appellate court invited the parties to submit supplemental briefs on issue preclusion and specifically held that "it [was] proper for the Court to raise this issue sua sponte when no factual development is required, and the parties are given an opportunity to fully brief the issues." App. to Pet. for Cert. 10, n. 2.
See,
e.g.,
Jean Alexander Cosmetics, Inc. v. L'Oreal USA, Inc.
,
From the beginning of the
Repsis
litigation, Wyoming argued that Bighorn was occupied land, and the Tribe argued that it was not. Wyoming pressed this argument in its answer to the Tribe's declaratory judgment complaint. Record in No. 92-cv-1002, Doc. 29, p. 4. Wyoming reiterated that argument in its motion for summary judgment and repeated it in its reply.
Id
., Doc. 34, pp. 1, 6;
id
., Doc. 54, pp. 7-8. The Tribe dedicated a full 10 pages of its summary judgment brief to the argument that "[t]he Big Horn National Forest [l]ands [are] '[u]noccupied [l]ands' " of the United States.
Id
., Doc. 52, pp. 6-15. Both parties repeated these arguments in their briefs before the Tenth Circuit. Brief for Appellees 20-29 and Reply Brief for Appellants 2-3, and n. 6, in No. 94-8097 (1995). And the Tribe pressed this argument as an independent basis for this Court's review in its petition for certiorari, which this Court denied. Pet. for Cert. in
Crow Tribe of Indians
v.
Repsis
, O.T. 1995, No. 95-1560, pp. i, 22-24, cert. denied,
Nor is that the only distinction between those cases and this one. In both
Currier
and
Bravo-Fernandez
a party sought preclusion as to an element of the charged offense. The elements of the charged offense are not disputed here-Herrera's asserted treaty right is an affirmative defense. And while the State bears the burden of proof as to elements of the offense, under Wyoming law, the defendant asserting an affirmative defense must state a prima facie case before any burden shifts to the State. See
Duckett v. State
,
Reference
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