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Emilia ROMANELLA, Plaintiff-Appellant, v. Richard HAYWARD; Mashantucket Pequot Tribal Nation, a federally recognized tribe that owns reservation lands and non-reservation lands in Ledyard, Connecticut; Richard Libby, Director of Maintenance, Defendants-Appellees

United States Court of Appeals for the Second Circuit1997-05-23No. No. 1366, Docket 96-9222
114 F.3d 15

Summary

Holding. The court affirmed the dismissal, holding that an Indian tribe is not a citizen of any state for purposes of diversity jurisdiction under 28 U.S.C. § 1332(a), and therefore the federal district court lacked subject-matter jurisdiction over the negligence action.

Emilia Romanella sued Richard Hayward and the Mashantucket Pequot Tribal Nation for negligence, but the district court dismissed for lack of diversity jurisdiction. Romanella appealed, arguing the tribal nation should be treated as an unincorporated association and thus a citizen of Connecticut. The appellate court rejected this argument, holding that Indian tribes do not qualify as citizens of any state for diversity jurisdiction purposes. The court emphasized that tribes possess a unique status as sovereign political entities predating the federal government, making them fundamentally different from ordinary unincorporated associations.

The court noted that other domestic sovereigns—namely the states themselves—cannot be parties to diversity suits, and Indian tribes warrant similar treatment given their distinctive legal status. The court applied a strict construction of the diversity statute and declined to extend its scope to cases involving tribal nations. The court suggested Romanella could pursue her claim in Connecticut state court if diversity jurisdiction were unavailable in federal court.

Summary generated by law.co from the public-domain opinion. The opinion text itself is public domain.

Key issues

  • Whether an Indian tribe qualifies as a citizen of a state for diversity jurisdiction
  • Whether an Indian tribe can be treated as an unincorporated association
  • Proper construction of the diversity statute in light of tribal sovereign status

Procedural posture

Plaintiff-appellant appealed the district court's dismissal of a negligence action on jurisdictional grounds.

Authorities cited

No cited authorities resolved to law.co cases yet.

Opinion

majority opinion

PER CURIAM:

Emilia Romanella appeals from Judge Nevas’s dismissal of her negligence action on grounds of lack of diversity jurisdiction and Indian tribal sovereign immunity. We agree that an Indian tribe is not a citizen of any state for purposes of diversity jurisdiction and affirm for substantially the reasons stated by the district court. See Romanella v. Hayward, 933 F.Supp. 163, 165-67 (D.Conn.1996). The district court was correct in treating the tribe as an indispensable party and holding that it could exercise diversity jurisdiction only if the tribe — whose reservation is wholly located in Connecticut — were a citizen of Connecticut. Id. at 166. Because the lack of diversity of citizenship is a fatal bar to the exercise of jurisdiction, we need not reach the question of whether sovereign immunity would bar Romanella’s suit.

We write further only to underline that the conclusion that an Indian tribe is not a citizen of any state is reinforced by the requirement that we strictly construe the diversity statute. See Healy v. Ratta, 292 U.S. 263, 270, 54 S.Ct. 700, 703, 78 L.Ed. 1248 (1934); see also Indianapolis v. Chase Nat’l Bank, 314 U.S. 63, 76, 62 S.Ct. 15, 20, 86 L.Ed. 47 (1941); Gilman v. BHC Securities, Inc., 104 F.3d 1418, 1428 (2d Cir.1997). Romanella asks us to treat the tribe as an unincorporated association, but in light of Indian tribes’ status as “ ‘distinct, independent political communities, retaining their original natural rights,”’ Reich v. Mashantucket Sand & Gravel, 95 F.3d 174, 178 (2d Cir.1996) (quoting Worcester v. Georgia, 31 U.S. (6 Pet.) 515, 559, 8 L.Ed. 483 (1832), and citing Cherokee Nation v. Georgia, 30 U.S. (5 Pet.) 1, 16, 8 L.Ed. 25 (1831)), and their “unique status as ... aboriginal entities]” antedating the federal government, id., it is doubtful at best whether an Indian tribe could be considered a citizen of any. state. Indeed, other domestic sovereigns — i.e. the states themselves — cannot sue or be sued in diversity. Because the case for considering an Indian tribe a citizen of a state is tenuous at best, the diversity statute’s provision for suits between citizens of different states, 28 U.S.C. § 1332(a), strictly construed, cannot be said to embrace suits involving Indian tribes.

Nor is this result unusual. We have found a lack of jurisdiction based on a strict construction of the diversity statute even where the Congressional rationale for not providing for diversity jurisdiction is far less clear than in this case. See Cresswell v. Sullivan & Cromwell, 922 F.2d 60 (2d Cir.1990) (holding that diversity fails in suit involving United States citizens domiciled abroad). Romanella argues that our construction of the diversity statute deprives her of any judicial remedy. However, assuming arguendo that Romanella’s suit is not barred by tribal sovereign immunity, there is no reason that she cannot seek relief in state court. If, on the other hand, the Connecticut state courts would for any reason deny relief, then we also must deny relief. See Angel v. Bullington, 330 U.S. 183, 191-92, 67 S.Ct. 657, 661-62, 91 L.Ed. 832 (1947) (holding that federal court sitting in diversity must follow state law and policy and therefore cannot give that which state has withheld).

We therefore affirm.