621 F. App'x 70

Kathleen WHELEHAN, Plaintiff-Appellant, v. BANK OF AMERICA PENSION PLAN FOR LEGACY COMPANIES-FLEET-TRADITIONAL BENEFIT, Trustees of the Bank of America Pension Plan for Legacy Companies-Fleet-Traditional Benefit, and Bank of America, Defendants-Appellees.*

No. 14-3438-cv.

United States Court of Appeals, Second Circuit.

Oct. 30, 2015.

*71. Michael T. Harren, Trevett Cristo, Sal-zer & Andolina P.C., Rochester, NY, for Plaintiff-Appellant.

Beth L. Kaufman (Paulette J. Morgan, on the brief), Schoeman Updike Kaufman & Stern LLP, New York, NY, for Defendants-Appellees.

PRESENT: AMALYA L. KEARSE, RALPH K. WINTER and JOSÉ A. CABRANES, Circuit Judges.

SUMMARY ORDER

Plaintiff-appellant Kathleen Whelehan appeals the District Court’s • March 17, 2014 order denying her motion for partial summary judgment and request for further discovery and granting summary judgment in favor of defendants-appellees Bank of America Pension Plan for Legacy Fleet — Traditional Benefit (“Plan”), Trustees of the Bank of America Pension Plan for Legacy Fleet — Traditional Benefit, and Bank of America (jointly, “defendants”), as well as the District Court’s August 29, 2014 order denying Whelehan’s motion for reconsideration. We assume the parties’ familiarity with the underlying facts and the case’s procedural history.

On appeal, Whelehan contends that the District Court improperly overlooked genuine issues of material fact in granting summary judgment dismissing her claims for benefits and breach of fiduciary duty under the Employee Retirement Income Security Act of 1974 (“ERISA”) and erroneously determined that defendants had not violated ERISA by denying her request for certain documents. In any event, she argues, the District Court should have permitted her to augment the factual record through discovery before granting summary judgment.

Reviewing the District Court’s grant of summary judgment de novo, Amaker v. Foley, 274 F.3d 677, 680 (2d Cir.2001), and its denial of additional discovery for abuse of discretion, Paddington Partners v. Bouchard, 34 F.3d 1132, 1137 (2d Cir.1994), we affirm.

In Whelehan’s leading argument, she asserts that genuine issues of material fact preclude a judicial determination that the denial of her claim for pension benefits by the Bank of America Benefits Appeals Committee (“Appeals Committee”) was not arbitrary and capricious.1 Whelehan takes the position that to render a reasoned decision denying her claim, the Appeals Committee was obliged to undertake a full investigation of her employment history, document its efforts and findings, and demonstrate that under the Plan, a person with such a history is not entitled to benefits. Absent record evidence showing that the Appeals Committee undertook this operation, she urges, defendants are not entitled to summary judgment.

This argument is not persuasive. It is an ERISA claimant’s burden to establish *72an entitlement to benefits, and “administrators may exercise their discretion in determining whether a claimant’s evidence is. sufficient to support his claim.” Roganti v. Metro. Life Ins. Co., 786 F.3d 201, 212 (2d Cir.2015). In this case the Appeals Committee determined that Whe-lehan’s meager evidentiary showing failed to establish that she became eligible for Plan benefits at Security Trust Company,2 participated in the Plan, and accrued a vested benefit.3 See generally Jiras v. Pension Plan of Make-Up Artist & Hairstylists Local 798, 170 F.3d 162, 166 (2d Cir.1999) (upholding the plan administrator’s refusal to increase a benefits award under arbitrary and capricious review, when the claimant “offered no documentation as to any collective bargaining agreements or [employer contributions]” and “the only affidavit supporting his position was unsubstantiated” and came from an unreliable witness). Rather than point to evidence in the administrative record undermining the Appeals Committee’s decision, Whelehan demands that defendants produce evidence supporting it. This misapprehends ERISA’s assignment of burdens and the scope of judicial review. “[A] district court’s review under the arbitrary and capricious standard is limited to the administrative record.” Miller, 72 F.3d at 1071. Whelehan had the opportunity to compile an evidentiary record demonstrating her entitlement to benefits — an opportunity that she was informed included the right to obtain relevant documents from the Plan administrator, without cost — but the Appeals Committee concluded that she had not done so. In view of Whelehan’s lackluster submission, which the District Court quite accurately characterized as a “motley array of uncertified, ambiguous documents,” this conclusion was not arbitrary and capricious.

Neither did the District Court err in granting summary judgment for defendants on Whelehan’s claims for breach of fiduciary duty. A claim under ERISA § 502(a)(2), 29 U.S.C. § 1132(a)(2), “may not be made for individual relief, but instead [is] ‘brought in a representative capacity on behalf of the plan.’ ” Coan v. Kaufman, 457 F.3d 250, 257 (2d Cir.2006) (quoting Mass. Mut. Life Ins. Co. v. Russell, 473 U.S. 134, 142 n. 9, 105 S.Ct. 3085, 87 L.Ed.2d 96 (1985)). Whelehan seeks only individual relief and therefore may not proceed under § 502(a)(2). Similarly, to the extent that Whelehan may have intended to invoke ERISA § 502(a)(3), 29 U.S.C. § 1132(a)(3), that section may not be relied on by a claimant to pursue relief — in this case, pension benefits — available under a separate ERISA provision. Varity Corp. v. Howe, 516 U.S. 489, 515, 116 S.Ct. 1065, 134 L.Ed.2d 130 (1996) (“[W]here Congress elsewhere provided adequate relief for a beneficiary’s injury ... relief [under § 502(a)(3) ] normally would not be ‘appropriate.’ ”).

Whelehan next argues that the District Court erred in granting summary judg*73ment on her second cause of action, in which she sought damages under 29 U.S.C. § 1132(c)(1) on the ground that defendants refused to furnish her with Plan documents on request (as required by 29 U.S.C. § 1024(b)(4)). Whelehan was entitled to relief on this claim only if she requested information from the Plan administrator, the administrator refused to furnish it, the administrator was obliged to furnish it because Whelehan qualified as a “participant” or “beneficiary,” and the administrator’s refusal did not result from matters reasonably beyond its control. 29 U.S.C. § 1132(c)(1). It appears that Whe-lehan’s attorney requested “certain documents” from the Appeals Committee in January 2013, J.A. 30-31, ¶ 36, but the administrative proceedings had been concluded in August 2012, and there is no evidence in the record that Whelehan requested Plan documents from the Plan administrator at any point during those proceedings.4 Accordingly, the District Court did not err in granting summary judgment for defendants on this claim.

Finally, we conclude that the District Court did not abuse its discretion in denying Whelehan’s request for further discovery. A litigant may resist a summary judgment motion by asserting the need for additional discovery, but in so doing must comply with the requirements of Federal Rule of Civil Procedure 56(d) by submitting an affidavit that includes “the nature of the uncompleted discovery; how the facts sought are reasonably expected to create a genuine issue of material fact; what efforts the affiant has made to obtain those facts; and why those efforts were unsuccessful.” Paddington Partners, 34 F.3d at 1138 (discussing materially identical prior versión of Rule 56(d)). Here, Whelehan did not submit an affidavit at all in responding to defendants’ motion — she merely asked for further discovery in her responsive filing — and this alone was reason to deny her request. See id. at 1137. Moreover, as the District Court noted, the documents Whelehan sought could not have given rise to a genuine issue of material fact: the District Court’s review of the Appeals Committee’s decision was limited .to the administrative record.5 Miller, 72 F.3d at 1071. For this reason, too, the District Court acted well within its discretion in denying Whelehan’s procedurally improper request for discovery, as well as *74in declining to consider the untimely affidavit she filed in connection with her motion for reconsideration.

CONCLUSION

We have reviewed all of Whelehan’s arguments on appeal and find them to be without merit. We thus AFFIRM the March 17, 2014 and August 29, 2014 orders of the District Court.

Whelehan v. Bank of America Pension Plan for Legacy Companies-Fleet-Traditional Benefit
621 F. App'x 70

Case Details

Name
Whelehan v. Bank of America Pension Plan for Legacy Companies-Fleet-Traditional Benefit
Decision Date
Oct 30, 2015
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621 F. App'x 70

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United States

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