Fernandez v. Brock

822 F.2d 865, 56 U.S.L.W. 2116
Court of Appeals for the Ninth Circuit·Decided July 20, 1987·No. No. 86-2033·Published·Cited by 2 cases

Opinion

WALLACE, Circuit Judge:

Four migrant farmworkers (farmworkers) appeal the district court’s order granting summary judgment to the Secretary of the Treasury and other federal officials and agencies (collectively “Secretary”). The farmworkers sought an order compelling the Secretary to promulgate regulations under the Employee Retirement Income Security Act of 1974 (ERISA), 29 U.S.C. §§ 1001-1461, that would govern pension plans for seasonal workers. We have jurisdiction pursuant to 28 U.S.C. § 1291 and conclude that the farmworkers do not have standing to bring this action.

I

The farmworkers have been employed for several summers as seasonal farm-workers by Kawahara, a strawberry grower. Kawahara maintains a pension plan for his employees. The farmworkers, however, have seldom been eligible to partic[867] ipate in the plan because they customarily were not employed at least 1,000 hours per year, the threshold set by Kawahara for participation. Moreover, the farmworkers accrued and vested few benefits because they rarely met the plan’s thresholds for accrual and vesting.

ERISA does not require employers to provide employees with pension plans, but it does require employers with plans to meet ERISA’s minimum standards for participating in the plan, accrual of benefits, and vesting of benefits. ERISA requires that an employee must be eligible to participate in a plan after “he completes 1 year of service,” which, for ordinary workers, is defined as 1,000 hours of employment in a 12-month period. 29 U.S.C. § 1052(a)(3)(A). Similarly, ERISA requires that an employee accrue benefits after a “year of participation,” defined as 1,000 hours of employment in a 12-month period. 29 U.S.C. § 1054(b)(3)(C). ERISA requires that benefits vest after a number of years of participation, according to varying formulas. 29 U.S.C. § 1053.

The statute declares, however, that “[i]n case of any seasonal industry where the customary period of employment is less than 1,000 hours during a calendar year, the term ‘year of service’ shall be such period as may be determined under regulations prescribed by the [Secretary].” 29 U.S.C. § 1052(a)(3)(B). The statute similarly provides for the promulgation of regulations governing the accrual and vesting periods for seasonal workers’ benefits. See 29 U.S.C. §§ 1053(b)(2)(C), 1054(b)(3)(D).

The farmworkers filed suit in district court seeking mandamus, declaratory, and injunctive relief. They contend that the Secretary has a duty to promulgate regulations under ERISA governing the participation, accrual, and vesting thresholds for seasonal workers. The Secretary moved for summary judgment on the grounds that the farmworkers lacked standing and that the statute did not obligate the Secretary to issue seasonal worker rules. The district court held that the farmworkers had standing but granted summary judgment after concluding that the Secretary’s authority to issue the regulations was discretionary.

II

A federal court’s “judicial Power” extends to “Cases ... arising under ... the Laws of the United States.” . U.S. Constitution, art. Ill, sec. 2. It is not enough that a litigant claims that a violation of federal law has occurred; the litigant must have “standing” to invoke the power of a federal court. “Otherwise, the power ‘is not judicial ... in the sense in which judicial power is granted by the Constitution to the courts of the United States.’ ” Valley Forge Christian College v. Americans United for Separation of Church and State, Inc., 454 U.S. 464, 471, 102 S.Ct. 752, 757, 70 L.Ed.2d 700 (1982) (Valley Forge), quoting United States v. Ferreira, 54 U.S. (13 How.) 40, 48, 14 L.Ed. 42 (1852). In this case, we need only be concerned with those aspects of standing derived directly from the Constitution, although the doctrine of standing also encompasses several judicially imposed “prudential” requirements. See id. at 471-72, 102 S.Ct. at 758. Standing for purposes of the Constitution is present when a plaintiff suffers actual or threatened “[1] personal injury [2] fairly traceable to the defendant’s allegedly unlawful conduct and [3] likely to be redressed by the requested relief.” Allen v. Wright, 468 U.S. 737, 751, 104 S.Ct. 3315, 3324, 82 L.Ed.2d 556 (1984) (Allen).

The question of standing in this case was raised as part of the Secretary’s motion for summary judgment. Ordinarily, a plaintiff opposing a motion for summary judgment on this issue would have to support, with affidavits or other evidence, the factual allegations underlying the assertion of standing because such allegations must ultimately be proven for a plaintiff to prevail. See Gladstone, Realtors v. Village of Bellwood, 441 U.S. 91, 115 & n. 31, 99 S.Ct. 1601, 1616 & n. 31, 60 L.Ed.2d 66 (1979) (Gladstone). For purposes of the present appeal, however, we will “ ‘accept as true all material allegations of the complaint ... ’ as standing was challenged largely on [868] the basis of the pleadings.” Id. at 109, 99 S.Ct. at 1612, quoting Warth v. Seldin, 422 U.S. 490, 501, 95 S.Ct. 2197, 2206, 45 L.Ed.2d 343 (1975). In reviewing a summary judgment, whether standing exists is a question of law we review de novo. Bruce v. United States, 759 F.2d 755, 758 (9th Cir.1985). The farmworkers argue that they have suffered two injuries traceable to the Secretary that will be redressed by ordering the Secretary to promulgate regulations. We consider each of these alleged injuries in turn.

A.

The farmworkers contend that the primary injury they have suffered is the violation of their statutory rights under ERISA. To support their contention that this amounts to a cognizable “personal injury” for article III purposes, they cite language from Alvarez v. Longboy, 697 F.2d 1333 (9th Cir.1983) {Alvarez). There, we stated that “Congress may enact statutes creating legal rights, the invasion of which creates standing, even though no injury would exist without the statute.” Id. at 1338, quoting Linda R.S. v. Richard D., 410 U.S. 614, 617 n. 3, 93 S.Ct. 1146, 1148 n. 3, 35 L.Ed.2d 536 (1973) (dicta).

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Fernandez v. Brock, 822 F.2d 865, 56 U.S.L.W. 2116 (9th Cir. 1987).

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