BOLGER, Justice.
Under the doctrine of tribal sovereign immunity, an Indian tribe is immune from suit unless Congress has authorized the suit or the tribe has waived its immunity. Relying on this doctrine, the superior court dismissed a complaint by Douglas Indian Association against Central Council of Tlingit and Haida Indian Tribes of Alaska and two Central Council officials. Douglas now argues that the superior court's action was premature because sovereign immunity is an affirmative defense that should be resolved following discovery. But the federal courts recognize that tribal sovereign immunity is a jurisdictional
Douglas alleges the following facts in its complaint. Both Douglas and Central Council are federally recognized Indian tribes located in Juneau. Between 2005 and 2012, both tribes were eligible to receive tribal transportation funds from the federal government. Central Council formed a consortium to administer these funds on behalf of individual tribes. Douglas accepted Central Council's invitation to join the consortium, and the two tribes signed a Memorandum of Agreement in August 2006.
Douglas attached the Agreement as an exhibit to its complaint. The Agreement provided that upon Douglas's withdrawal from the consortium, Douglas's funds would be administered in accordance with the federal regulations that govern such withdrawals.
According to Douglas's complaint, the consortium did not undertake any of Douglas's transportation projects or use any of Douglas's funds for Douglas's benefit. Central Council representatives told Douglas that the funds were maintained in a separate savings account and had not been expended. Douglas withdrew from the consortium in January 2012 and asked Central Council to remit Douglas's funds, but Central Council neither remitted the funds nor provided an accounting.
In April 2015 Douglas filed suit against Central Council and two of its tribal officials, President Richard Peterson and Tribal Transportation Manager William Ware, in their individual and official capacities. Douglas sought a declaration that Central Council owed a fiduciary duty to Douglas under a trust or agency theory and requested injunctive relief against the tribal officials "enjoining any action inconsistent with the court's declaratory judgment." Douglas also sought specific performance and damages from Central Council. Nowhere in its complaint did Douglas allege that Central Council had waived its sovereign immunity or Congress had abrogated it. Nor did Douglas make any allegations about Peterson and Ware other than to state their names and titles.
Central Council resisted Douglas's attempts to engage in discovery and filed a motion to dismiss for lack of subject matter jurisdiction under Alaska Civil Rule 12(b)(1), asserting tribal sovereign immunity. Douglas opposed the motion, arguing that sovereign immunity is an affirmative defense that can be raised only after discovery in an Alaska Civil Rule 56 motion for summary judgment, not a jurisdictional bar that can be raised via Rule 12(b)(1); that it was at least entitled to jurisdictional discovery; and that sovereign immunity did not protect the tribal officials from suit.
The superior court granted Central Council's motion to dismiss, and Douglas appeals. Tanana Chiefs Conference filed an amicus curiae brief in support of Central Council's position.
We review issues of sovereign immunity de novo.
Douglas renews its arguments on appeal. First, Douglas argues that under Alaska law, tribal sovereign immunity, like state sovereign immunity, is an affirmative defense rather than a jurisdictional bar, meaning that it should be "raised in a Rule 56 motion for summary judgment after discovery" rather than a Rule 12(b)(1) motion to dismiss. Second, Douglas argues that even if tribal sovereign immunity is a jurisdictional bar, the superior court should have granted Douglas's request for jurisdictional discovery as to whether Central Council may have waived its sovereign immunity or whether the tribal officials may have acted ultra vires. Finally, Douglas argues that even if Central Council is protected by sovereign immunity, Douglas should still be permitted to sue Peterson and Ware, the two tribal officials, for declaratory and injunctive relief.
The parties do not dispute that Central Council is a federally recognized tribe, that federally recognized tribes are entitled to tribal sovereign immunity, and that under federal law, tribal sovereign immunity may be raised prior to discovery in a Rule 12(b)(1) motion to dismiss for lack of subject matter jurisdiction. Their dispute is whether Alaska should follow this federal rule. For the reasons discussed below, we hold that under Alaska law, tribal sovereign immunity is a jurisdictional bar that may be invoked by a sovereign defendant in a Rule 12(b)(1) motion to dismiss.
Under the doctrine of tribal sovereign immunity, an Indian tribe is immune from suit unless Congress has authorized the suit or the tribe has waived its immunity.
"[T]ribal immunity `is a matter of federal law and is not subject to diminution by the States.'"
Douglas relies primarily on our decision in Sea Hawk Seafoods v. State.
Douglas argues that Sea Hawk Seafoods states a general rule of Alaska procedure that applies to all forms of sovereign immunity, including tribal sovereign immunity. We disagree. Douglas minimizes the "few, limited, distinctions between state and tribal sovereign immunity" as relating primarily to the states' participation in the Constitutional Convention. But Douglas ignores the specific situation in Alaska: Our state constitution expressly provides for suits against the State.
We instead take guidance from federal law and the Ninth Circuit's analysis in Pistor v. Garcia.
We find this analysis persuasive with respect to tribal sovereign immunity, as well as consistent with our precedent. Tribal sovereign immunity may be termed "quasi-jurisdictional" in Alaska because, as we have previously recognized, "subject matter jurisdiction is not waivable and can even be raised at a very late stage in the litigation,"
We respect Douglas's position as itself a tribal sovereign, which "believes that the transparency and accountability that come with providing discovery are consistent with the high standards it associates with sovereignty." But we are mindful of the concerns raised by amicus Tanana Chiefs Conference, representing rural tribes in interior Alaska, that "even `limited' discovery could be financially ruinous for many tribes in [the Conference's] region" as funds are shifted from critical programs and rural village economies to urban lawyers in Anchorage, Fairbanks, or Juneau. We find the latter consideration more compelling given that "protecting tribal assets has long been held crucial to the advancement of the federal policies advanced by immunity."
Douglas argues that even if tribal sovereign immunity is a jurisdictional bar, the superior court erred by denying Douglas jurisdictional discovery on two issues: (1) whether Central Council may have waived its sovereign immunity and (2) whether the tribal officials may have acted ultra vires. We conclude that the superior court did not abuse its discretion by denying discovery to Douglas.
The superior court found that Douglas "presented no substantive evidence as to waiver" and "alleged no specific ultra vires actions or continued violation of federal law on the part of [the tribal officials]." These statements are supported by the record. Douglas did not allege any waiver in its complaint; in fact, Douglas attached the Agreement expressly reserving Central Council's immunity. Nor did Douglas allege any ultra vires actions on the part of Peterson and Ware.
In its opposition to the motion to dismiss, Douglas described several broad categories of documents "that may contain a waiver of sovereign immunity" (emphasis added), but although Douglas provided theories for how these documents could contain evidence of waiver, Douglas did not allege any facts to show why they would.
Douglas argues that much of its requested discovery "would have been produced in routine [Alaska Civil] Rule 26 initial disclosures," but this begs the question; Douglas was not entitled to Rule 26 disclosures until the court determined it had jurisdiction to order such disclosures. Jurisdictional discovery may be appropriate in some cases involving tribal sovereign immunity,
Finally, Douglas argues that even if Central Council is protected by tribal sovereign immunity, Peterson and Ware are not immune from suit. Douglas offers two theories: (1) the officials could be sued for injunctive relief under Ex parte Young,
Douglas first argues that the tribal officials can be sued for injunctive relief under the doctrine of Ex parte Young. Under that doctrine, "immunity does not extend to officials acting pursuant to an allegedly unconstitutional statute."
Douglas has not alleged an ongoing violation of federal law. Instead, Douglas argues that the doctrine of Ex parte Young should be extended to reach tribal officials who allegedly violate state law. But we do not reach this question because regardless of the answer, Ex parte Young cannot be used
Douglas also argues that the tribal officials are not protected by the tribe's sovereign immunity because their actions were ultra vires, i.e. outside the scope of the officials' delegated authority. As the superior court recognized, an official acting "without any authority whatever" is not protected by sovereign immunity.
Douglas argues that it satisfied Alaska's lenient notice pleading standards under Rule 8 and that "[u]ltra vires actions are not one of the matters required to be plead with specificity by [Alaska Civil Rule] 9." But Douglas's focus on pleading standards is misplaced. Central Council did not move to dismiss Douglas's complaint based on Douglas's failure to satisfy Alaska's pleading standards; that is, Central Council did not file a Rule 12(b)(6) motion to dismiss for failure to state a claim upon which relief could be granted. Instead, as we explained earlier, Central Council properly filed a Rule 12(b)(1) motion to dismiss for lack of subject matter jurisdiction. Once the issue of the superior court's jurisdiction was raised, the court was then required to determine whether it had subject matter jurisdiction before it could allow further litigation to proceed — regardless of whether the facts supporting jurisdiction were alleged in the complaint or established in other pleadings.
The superior court properly conducted that analysis in this case. Central Council filed a motion challenging the court's jurisdiction, arguing that both Central Council and the tribal officials were protected by tribal sovereign immunity. Douglas was then given an opportunity to respond — to show why the court did, in fact, have subject matter jurisdiction. At this point in the litigation, Douglas should have made any legal arguments or factual allegations supporting the superior court's subject matter jurisdiction, such as facts supporting its theory that the tribal officials were acting outside the scope of their authority and were therefore not
The superior court's conclusion was correct. If Douglas wanted to establish the court's subject matter jurisdiction based on an ultra vires theory of avoiding tribal sovereign immunity, it was required to assert the legal and factual bases for that argument in response to Central Council's motion to dismiss for lack of subject matter jurisdiction. Because Douglas failed to do so, we affirm the superior court's dismissal of Douglas's claims.
For the reasons stated above, we AFFIRM the superior court's judgment dismissing the complaint.