Martínez-Rodríguez v. Giles

Decision Date18 April 2022
Docket Number19-35526
Citation31 F.4th 1139
Parties Cesar MARTÍNEZ-RODRÍGUEZ; Dalia Padilla-López; Mayra Múñoz-Lara; Brenda Gastélum-Sierra; Leslie Ortiz-García; Ricardo Neri-Camacho, Plaintiffs-Appellants, v. Curtis GILES, an individual; David Funk, an individual; Funk Dairy, Inc., an Idaho corporation; Shoesole Farms, Inc., an Idaho corporation; Does, 1–10, Defendants-Appellees.
CourtU.S. Court of Appeals — Ninth Circuit

Edgar Iván Aguilasocho (argued) and Mario Martinez, Martinez Aguilasocho Law Inc., Bakersfield, California; Natalie Camacho Mendoza, Camacho Mendoza Law, Boise, Idaho; for Plaintiffs-Appellants.

David P. Claiborne (argued) and Katie L. Vendenberg, Sawtooth Law Offices PLLC, Boise, Idaho, for Defendants-Appellees.

Stuart A. Raphael, Hunton Andrews Kurth LLP, Washington, D.C.; Sarah L. Bessell, Human Trafficking Legal Center, Washington, D.C.; for Amicus Curiae Human Trafficking Legal Center.

Melia Amal Bouhabib and Elizabeth Leiserson, Texas RioGrande Legal Aid Inc., Nashville, Tennessee, for Amicus Curiae Aurora Bedolla.

Before: Marsha S. Berzon and Daniel P. Collins, Circuit Judges, and Jennifer Choe-Groves,* Judge.

COLLINS, Circuit Judge:

Plaintiffs are six citizens of Mexico who were recruited to work as "Animal Scientists" at Defendant Funk Dairy, Inc. ("Funk Dairy") in Idaho under the "TN Visa" program for "professional" employees, established under the North American Free Trade Agreement ("NAFTA"). But when Plaintiffs arrived at the dairy to perform such professional services, they were instead required to work substantially as general laborers. After leaving Funk Dairy's employ, Plaintiffs brought this suit alleging a variety of claims under federal and Idaho law. In particular, Plaintiffs alleged that Defendants' bait-and-switch tactics violated applicable federal statutory prohibitions on forced labor by, inter alia , abusing the TN Visa program in order to coerce Plaintiffs to provide menial physical labor. The district court, however, granted summary judgment to Defendants on the federal claims and declined to retain supplemental jurisdiction over the state law claims.

For purposes of their summary judgment motion, Defendants expressly conceded that all Plaintiffs believed that their ability to remain lawfully in the U.S. depended on their continued employment at Funk Dairy. In light of that concession and our obligation to construe the evidence in the light most favorable to Plaintiffs, we conclude that a reasonable jury could find that Funk Dairy knowingly obtained Plaintiffs' labor by abusing the TN Visa process in order to exert pressure on Plaintiffs to provide labor that was substantially different from what had been represented to them and to federal consular officials. So construed, Funk Dairy's conduct violated the provisions of Chapter 77 of Title 18 of the U.S. Code that prohibit forced labor and trafficking of persons into forced labor. See 18 U.S.C. §§ 1589(a)(3), 1590(a). Plaintiffs therefore asserted triable causes of action under the civil suit provision of Chapter 77. See 18 U.S.C. § 1595(a).

Because the district court erred in dismissing Plaintiffs' federal claims, we also reverse its decision to decline supplemental jurisdiction over Plaintiffs' state law claims. See 28 U.S.C. § 1367(c)(3).

Accordingly, we reverse the district court's judgment and remand the case.

I

Because we are reviewing a grant of summary judgment for Defendants, we recount the facts of this case in the light most favorable to Plaintiffs. See Tuuamalemalo v. Greene , 946 F.3d 471, 474 (9th Cir. 2019).

A

Defendant Funk Dairy, which is owned by Defendant David Funk and his wife, is a dairy operation near the town of Murtaugh in Twin Falls County, Idaho. The dairy's principal business is producing and selling raw milk, and its operations are managed by the Funks' son-in-law, Defendant Curtis Giles. The Funks also own and operate a separate entity, Defendant Shoesole Farms, Inc., which has farmland nearby. Funk Dairy buys feed from Shoesole Farms, Inc., and in return, it supplies the farm with manure to use as fertilizer. Giles, however, is not involved with the management of Shoesole Farm, Inc.

In April 2013, U.S. Immigration and Customs Enforcement ("ICE") completed an audit of Funk Dairy and concluded that 78 percent of its employees were aliens who lacked sufficient documentation to confirm their eligibility to work in the U.S. In 2014, in order to address "labor issues" in Idaho and to recruit and retain employees, Giles inquired about the "TN Visa" program that he had heard about while attending conferences. To set the subsequent events concerning Funk Dairy's use of the TN Visa program in context, we first briefly recount the basic contours of that program.

B

The TN Visa program, established "pursuant to the provisions of Section D of Annex 1603" of NAFTA, allows a citizen of Mexico or Canada to be admitted to the United States for the purpose of "engag[ing] in business activities at a professional level as provided for in such Annex." See 8 U.S.C. § 1184(e)(2).1 The referenced Section D states that the program only applies to a "profession set out in Appendix 1603.D.1," see NAFTA, Annex 1603.D.1, December 17, 1992, 32 I.L.M. 612, 666, and that Appendix lists dozens of different professions, see NAFTA, Appendix 1603.D.1, 32 I.L.M. at 668–70. The work must be performed for "a United States entity," which may include an "individual," see 8 C.F.R. § 214.6(b), but that entity need not be the formal "employer" of the visa holder, see id. § 214.6(d)(3)(ii), (h)(1). A person granted a TN Visa may be admitted "for a period not to exceed three years." Id. § 214.6(e). The visa may be extended for additional periods of up to three years upon application of the "United States employer" of the beneficiary or, in the case of a foreign employer, the "United States entity" for which the work is performed. Id. § 214.6(h)(1). So long as the alien remains qualified for a TN Visa and "continues to be engaged in TN business activities for a U.S. employer or entity at a professional level," there "is no specific limit" on the number of extensions that may be granted. Id. § 214.6(h)(1)(iv).

A Mexican citizen must apply for the TN Visa "at a United States consular office" and "must present documentation sufficient to satisfy the consular officer ... [1] that the applicant is seeking entry to the United States to engage in business activities for a United States employer[ ] or entity[ ] at a professional level, and [2] that the applicant meets the criteria to perform at such a professional level." 8 C.F.R. § 214.6(d)(3). The proof "may be in the form of a letter from the prospective employer[ ] in the United States, and must be supported by diplomas, degrees or membership in a professional organization." Id. § 214.6(d)(3)(ii). The documentation must also address and "fully affirm" the following five points:

(1) the qualifying "profession" from the list in Appendix 1603.D.1;
(2) a "description of the professional activities, including a brief summary of daily job duties, if appropriate, in which the applicant will engage in [sic ] for the United States employer/entity";
(3) the "anticipated length of stay";
(4) the "educational qualifications or appropriate credentials" demonstrating that the alien "has professional level status"; and
(5) the "arrangements for remuneration for services to be rendered."

Id. § 214.6(d)(3)(ii)(A)(E).

After acquiring a TN Visa and coming to the United States, a TN Visa holder is allowed to seek to change employers if the worker finds a new employer eligible to sponsor him or her. See 8 C.F.R. § 214.6(i). An employer is not required to notify the Government when a worker with a TN Visa ends his or her employment. See U.S. Dep't of State, Foreign Affairs Manual , 9 FAM 402.17-5(A)(8) (2017 ed.) ("There is no requirement that the TN employer or worker notify the [Government] of the termination of the employment relationship.").

C

In the fall of 2014, Giles traveled to Mexico with the intention of recruiting workers for Funk Dairy who would qualify for visas under the TN Visa program. There, he recruited Plaintiffs César Martínez-Rodríguez ("Martínez"), Dalia Padilla-López ("Padilla"), Mayra Múñoz-Lara ("Múñoz"), Brenda Gastélum-Sierra ("Gastélum"), Leslie Ortiz-García ("Ortiz"), and Ricardo Neri-Camacho ("Neri"), who are all citizens of Mexico, to work for Funk Dairy. All of the Plaintiffs had completed four-year college degrees and were licensed to work in Mexico as either animal scientists or veterinarians.

Giles gave presentations at several different Mexican universities, describing employment opportunities at Funk Dairy. Although the presentations were nominally open to anyone interested in attending, Giles made clear that he was only interested in applicants who had already graduated and been licensed in veterinary medicine or animal science. Thus, for example, at the presentation Neri attended, there were initially 80 to 100 attendees, but most of them left early after they heard that Giles was only looking for veterinary doctors who had already graduated and had a license.

After attending one of these presentations, each Plaintiff was interviewed by Giles. During these interviews, Giles avoided providing specifics about the type of work that Plaintiffs would perform if they were hired by Funk Dairy. For example, when interviewing Gastélum, Giles "evaded [questions] regarding the activities of the job, the job duties and the details." Giles told Gastélum they "would talk about that later," after she arrived in Idaho. Giles similarly told Ortiz that they would discuss the specific tasks of her job after she was selected.

Despite Giles' evasive answers regarding the specific job duties, Plaintiffs developed, over the course of the hiring process, a general sense of what they thought the job would entail. Neri understood that the job would be "to...

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