Claims of deplorable working and living conditions for migrant workers at DeCoster Egg Farms, a large Maine employer, were made in a civil rights action filed in May of 1998. The thrust of the complaint was that workers of Mexican descent, be they American or Mexican citizens, were treated harshly because of their Mexican background, and that white, non-Mexican workers fared better. The primary cause of action asserted violations of the workers’ civil rights under 42 U.S.C. § 1981. The complaint also asserted other claims, including claims of unsafe and unsanitary housing under the Migrant and Seasonal Agricultural Worker Protection Act, 29 U.S.C. § 1801
et seq.
The complaint was filed by fourteen individuals, who proposed to represent a class of “all former and
The other plaintiff was the Government of Mexico, the Estados Unidos Mexicanos, which said it was appearing in its parens patriae capacity to protect its citizens and its own quasi-sovereign interests. It is unusual for a foreign nation to claim standing under the parens patriae doctrine; more common is the appearance of other nations in suits to protect their own distinct interests or as amicus curiae in actions that may affect them.
See, e.g., National Foreign Trade Council v. Natsios,
The Doctrine of Parens Patriae
“Parens patriae means literally ‘parent of the country.’ ”
Alfred L. Snapp & Son, Inc. v. Puerto Rico,
In order to maintain [a parens patriae] action, the State must articulate an interest apart from the interests of particular private parties, i.e., the State must be more than a nominal party. The State must express a quasi-sovereign interest. Although the articulation of such interests is a matter for case-by-case development — neither an exhaustive formal definition nor a definitive list of qualifying interests can be presented in the abstract — certain characteristics of such interests are so far evident. These characteristics fall into two general categories. First, a State has a quasi-sovereign interest in the health and well-being — both physical and economic — of its residents in general. Second, a State has a quasi-sovereign interest in not being discriminatorily denied its rightful status within the federal system.
The question here presented is whether a foreign nation which asserts only quasi-sovereign interests and not its own proprietary or sovereign interests should be afforded standing as parens patriae. We consider this to be a question of prudential standing, and not an Article III question.
See, e.g., Valley Forge Christian College v. Americans United for Separation of Church and State, Inc.,
Supreme Court Doctrine
The Supreme Court has never recognized parens patriae standing in a foreign nation where only quasi-sovereign interests are at stake. The justifications offered to support parens patriae standing in the individual States of the Union are not applicable here. Further, several doctrines of judicial restraint counsel against recognition of such standing.
Standing of foreign nations to bring suit in the federal courts has been recognized in cases in which the foreign nation has suffered a direct injury. “There is no question but that foreign States may sue private parties in the federal courts.”
Principality of Monaco v. Mississippi,
There is no argument made here that Mexico could meet normal standing requirements applied to individuals or domestic corporations. Indeed, there is some danger that Mexico “advances abstract questions of wide public significance essentially amounting to generalized grievances more appropriately addressed to the representative branches.”
Benjamin v. Aroostook Med. Ctr., Inc.,
Mexico’s argument is based on the Supreme Court’s recognition of standing in the States of the Union under the parens patriae doctrine. By analogy, Mexico says, it should be treated in like manner. Such an analogy is not implausible; indeed, in granting parens patriae standing to the States, the Supreme Court has analogized the States to foreign nations.
See Missouri v. Illinois,
The primary justification for recognizing parens patriae standing in the States, repeated throughout a century’s Supreme Court caselaw, derives from important principles underlying our federal system. First, the States have surrendered certain aspects of their sovereignty to the federal government and, in return, are given recourse to solve their problems with other States. In
Missouri v. Illinois, supra,
the Court recognized parens patri-ae standing-in the State of Missouri to sue the State of Illinois for sending sewage into the Mississippi River that poisoned its drinking water, endangered the health of its residents, and impaired the commercial value of its towns and cities.
See Missouri,
If Missouri were an independent and sovereign State all must admit that she could seek a remedy by negotiation, and, that failing, by force. Diplomatic powers and the right to make war having been surrendered to the general government, it was to be expected that upon the latter would be devolved the duty of providing a remedy....
Id.
at 241,
Mexico stresses that it has sued private parties, not a State, as defendants, and turns for support to a subcategory of cases in which the Supreme Court has recognized parens patriae standing in States to sue private companies, not other States. That aspect of the doctrine originated in Tennessee Copper Co., supra. There Georgia was permitted to sue for injunc-tive relief against defendant copper companies that allegedly discharged noxious gasses over Georgia. Again, the Court rested its extension of the doctrine on federalism grounds:
When the states by their union made the forcible abatement of outside nuisances impossible to each, they did not thereby agree to submit to whatever might be done. They did not renounce the possibility of making reasonable demands on the ground of their still remaining quasi-sovereign interests; and the alternative to force is a suit in this court.
Nonetheless, Mexico says that under
Snapp,
a more recent case, its standing must be recognized.
Snapp
involved Puerto Rico’s participation in the Wagner-Peyser Act, 29 U.S.C. § 49
et seq.,
which had mandated the establishment of a nationwide employment system and encouraged the States to participate in that system if authorized by the Secretary of Labor.
See Snapp,
The Court recognized parens patriae standing in Puerto Rico.
Id.
at 608,
We do not read Snapp as establishing parens patriae standing in a State in the absence of federalism concerns where the quasi-sovereign interest at stake is the prevention of discrimination against that State’s citizens. Indeed, it remains questionable whether Snapp would permit a State to seek parens patriae standing on the basis Mexico asserts here because States are not assigned a special role in the enforcement of 42 U.S.C. § 1981, unlike the special role they are assigned under the Wagner-Peyser Act, 29 U.S.C. § 49 et seq., which was at issue in Snapp. But even if States could bring suits such as this one, Mexico’s claim would still fail. By definition, a foreign nation has no cognizable interests in our system of federalism. And such interests are a critical element of parens patriae standing.
Nor is Mexico’s position supported by adherence to any principle of customary international law. Such a principle would provide an arguable basis on which to grant standing. Mexico, however, has admitted that it knows of no such principle recognizing parens patriae standing in foreign nations and we likewise have found none.
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Instead, Mexico points hopefully to the principle of comity. The principle is well recognized but beside the point. Comity permits foreign nations to sue in our courts if they meet the normal standing requirements imposed on individ
Moreover, the granting of parens patriae status to foreign nations would raise concerns beyond the lack of support for such status in precedent or prior reasoning. One particularly compelling concern was thoughtfully articulated by the district court. The conduct of the foreign affairs of this country is committed to the Executive and to the Congress. This division of power should give courts pause before entering this arena, absent guidance from those other two branches. Care should be taken not to impinge on the Executive’s treaty-making prerogatives or to assume that courts have the institutional competence to perform functions assigned elsewhere by the Constitution.
See United States v. Kin-Hong,
Mexico says that these concerns are alleviated by the act of state doctrine and the political question doctrine. It is difficult to see what the act of state doctrine, which has traditionally precluded review by United States courts of official acts by foreign states,
see Oetjen v. Central Leather Co.,
In addition, other reasons for caution stem from the rules and procedures within the federal judiciary. As the Eighth Circuit noted in denying parens patriae status to foreign governments in a Sherman Act case, class actions are often the preferable vehicle to pursue claims on behalf of a country’s citizens.
See Pfizer, Inc. v. Lord, 522
F.2d 612, 617-18 (8th Cir.1975) (“th[e] strong preference for class actions over Parens patriae has been repeatedly expressed”),
cert. denied,
Mexico says that there is no potential for conflict because it seeks only declaratory and injunctive relief whereas the individual plaintiffs seek primarily monetary compensation. In fact, the individual plaintiffs also sought injunctive relief, particularly on behalf of the putative class.
See Ramirez,
To summarize, we have looked to Supreme Court precedent and doctrine to see whether there is warrant to extend parens patriae standing to a foreign nation in this action. There is no direct precedent allowing for such status and the federalism concerns that animate recognition of par-ens patriae status in the States are simply absent. Moreover, there are reasons for the courts not to recognize such standing, reasons stemming from the assignment of the foreign relations powers to the other branches. There are other reasons having to do with prudential considerations within the courts themselves, concerns about avoiding conflict with the class action rules and about undermining the role of the individual plaintiffs. All of these reasons may be overcome should the Supreme Court or other two branches decide these policy concerns differently. But the Supreme Court has not yet done so, and we thus turn to the other two branches.
The Coordinate Branches
What is left is the question of whether the Executive or the Congress has given any guidance on the issue before us.
No party contends that Congress took a position on the topic in the definition of the word “persons” within the meaning of the Civil Rights Act, 42 U.S.C. § 1981. Nor does Mexico point to a treaty or executive agreement affording it special, parens pat-riae standing. Further, Mexico points to no statute recognizing such standing. By contrast, Congress has expressly authorized the United States, by its Attorney General, to enforce federal statutes and some Fourteenth Amendment rights. See, e.g., Civil Rights Act of 1964, 42 U.S.C. § 2000a-5 (1994) (authorizing suits for in-junctive relief to enforce an individual’s right to equal enjoyment of public accommodations); id. § 2000e-5 (authorizing suits for injunctive relief from discriminatory employment practices); cf. Larry W. Yackle, A Worthy Champion for Fourteenth Amendment Rights: The United States in Parens Patriae, 92 Nw. U.L.Rev. Ill, 114 (1997) (advocating parens patriae suits by the United States to enforce the Fourteenth Amendment).
To the contrary, the defendants say, Congress and the President have indicated that disputes such as these are not to be heard by the courts but are instead to be governed by the North American Free Trade Agreement (“NAFTA”) and, more specifically, by the so-called labor “side agreement.”
See North American Agreement on Labor Cooperation,
Sept. 8, 9, 12, and 14, 1993, 32 I.L.M. 1499 (1993)
Finally, the district court commendably invited comment from the U.S. Department of State. The State Department, however, declined to comment, and thus, again, there is no indication of support by the Executive Branch for Mexico’s position.
Mexico’s final arguments, which are based in policy, are not insignificant. More than one thousand workers of Mexican descent worked at DeCoster between 1992 and 1996. Many of these transitory workers are poor, are isolated both geographically and culturally, are economically dependent on their employer, and are in a poor position to obtain legal sendees or to work with counsel. Amicus Farmworker Justice Fund, Inc. also points to decreased efforts by federal agencies charged with enforcing wage and hour laws in agriculture.
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Mexico, however, is not left powerless to address these concerns. As the district court suggested, Mexico could financially support the plaintiffs in their efforts or seek to participate as amicus. Moreover, the alleged violations may be entirely appropriate for Mexico to raise with the United States though
The judgment of dismissal as to Mexico as a party plaintiff is affirmed. No costs to either party.
Notes
. Austin J. DeCoster owned DeCoster Egg Farm individually until 1997. Originally, the . complaint named as defendants Mr. DeCoster and two successor companies, Quality Egg of New England, LLC, and Maine AG, LLC. Although plaintiffs later added other successor companies, those companies did not move to dismiss Mexico from the case and are not appellees in this appeal.
. The district court has since denied class action certification and granted defendants’ motion for summary judgment as to some of plaintiffs' claims.
See Ramirez v. DeCoster,
. A State's quasi-sovereign interest is thus distinct from, for example, its sovereign interest in protecting and maintaining its boundaries and its proprietary interest in owning land or conducting a business venture.
See Snapp,
. The parens patriae action has its roots in the common-law concept of the "royal prerogative,” that is, the power of the king, as “father of the country,” to act as the guardian for those under legal disabilities to act for themselves.
See Hawaii v. Standard Oil Co.,
. The antitrust field has its own rules. Even a State of the Union may not bring such actions in a parens patriae capacity claiming general injury to its economy because it has not, in that capacity, suffered an injury to its business or property within the meaning of § 4 of the Clayton Act, IS U.S.C. § 15.
See Kansas v. UtiliCorp United, Inc.,
. Of course, for the Court to exercise original jurisdiction, such actions must meet the Article III standing requirements and be "susceptible of judicial solution.”
Louisiana v. Texas,
. Furthermore, federalism concerns can also limit a State's parens patriae standing when the suit seeks to enforce its citizens’ rights "in respect of their relations with the federal government,” where it is the United States, and not the State, that represents them as parens patriae.
Massachusetts v. Mellon,
.Federalism concerns also underlay the subsequent extension of parens patriae standing to actions involving direct economic harm.
See Pennsylvania R.R. Co.,
. Indeed, Puerto Rico had alleged, inter-alia, that the discrimination by Virginia growers deprived it of "its right to effectively participate in the benefits of the Federal Employment Service System of which it is a part."
Id.
at 598,
. Parens patriae is not mentioned as an established principle of international law in either the Restatement (Third) of Foreign Relations Law of the United States (1987) or any major treatise in the field.
. The Court’s more recent justification for the doctrine as an expression of the domestic separation of powers further undermines Mexico’s argument here.
See
W.S.
Kirkpatrick & Co., Inc. v. Environmental Tectonics Corp., Intl.,
. While there is the problem of overlap and potential conflict whenever parens patriae standing is allowed,
cf. Pfizer,
. Following ministerial consultations, a single Party may initiate the establishment of an Evaluation Committee of Experts, which in turn performs an independent, non-adversarial analysis and then provides recommendations covering all three Parties’ labor law enforcement in the particular area in issue. See id. arts. 23-26, 32 I.L.M. at 1508-09.
In addition to providing for these ministerial consultations, the NAALC also allows private parties to file submissions for review by a National Administrative Office (NAO) established within the respective federal department of labor of each member State. See id. arts. 15-16, 21, 32 I.L.M. at 1507-08. The NAO investigates the submission (which investigation, in the United States, includes holding a public hearing) and issues a report. See generally Clyde Summers, NAFTA’s Labor Side Agreement and International Labor Standards, 3 J. Small & Emerging Bus. L. 173 (1999).
. Similarly, the scope of NAALC review extends to another Party's "labor law, its administration, or labor market conditions in its territory.” Id. art. 21, 32 I.L.M. at 1507.
. To the extent that Mexico believes that the United States has failed to enforce its labor laws against defendants, it appears that Mexico may use the mechanisms set forth in the NAALC. Although NAALC's arbitration mechanism would not seem to encompass the instant allegations of racial discrimination against defendants, see id. art. 29, 32 I.L.M. at 1509-10. (limiting the scope of arbitration to "the alleged persistent pattern of failure by the Party complained against to effectively enforce its occupational safety and health, child labor or minimum wage technical labor standards”), Mexico could still pursue these claims through the process of ministerial consultation described above.
. We acknowledge with appreciation the amicus briefs submitted by both the Farm-worker Justice Fund, Inc. and the New England Legal Foundation.
