Employee Benefits Law (ERISA)
University of Houston Law Center
Fall 2016
Instructor:
Stephen Wm. Smith
U.S. Magistrate Judge
Southern District of Texas
515 Rusk Ave, 7 th Floor
Houston, TX 77002
Stephen_smith@txs.uscourts.gov
Office Hours:
By appointment
Day/Time:
Th 4:00 pm – 5:50 pm
Location:
TBA
Required Texts:
Pension and Employee Benefit Law (6 th ed. 2015) by Langbein, Pratt,
Stabile & Stumpf; Pension and Employee Benefit Statutes and
Regulations Selected Sections, by Pratt.
Course
Description:
Employee Benefit Law is a two-credit hour course designed to provide
an overview of the basic federal law governing employee benefits, the
Employee Retirement Income Security Act (ERISA). Among topics
covered will be the distinction between defined benefit and defined
contribution plans; pension plan rules concerning accrual, vesting, and
non-forfeiture; employer reporting and disclosure obligations; welfare
benefit plan regulation, including COBRA and the Affordable Care
Act; spousal and third party interests; fiduciary status and obligations;
judicial review of benefit denials; scope of available remedies; and
preemption. Emphasis will be placed on how ERISA impacts many
other areas of law, such as family law, labor and employment, health
law, trusts and estates, insurance, securities, corporate
merger/acquisitions, bankruptcy, and tax.
Grading:
Final letter grade will be based on the following:
Class participation 5%
Final exam
95%
Attendance:
Class attendance will be monitored.
SYLLABUS
Date
Topic
Readings 1
Week 1
8/25
Introduction
General themes/ Historical background
Legislative history/Structure of ERISA
Text 3-15,
67-79
Week 2
9/1
ERISA Plans in General
What is a “Plan”?/ Non-covered plans
84-103
Cases:
Musmeci v. Schwegmann’s, 332 F.3d 339-48 (5 th Cir. 2003)
Hansen v. Continental Ins. Co., 940 F.2d 971-78 (5 th Cir. 1991)
Week 3
9/8
Pension Plans
Defined benefit vs. defined contribution plans
Vesting, accrual, forfeiture rules
37-55
107-36
Week 4
9/15
Plan Amendment
Pension anti-reduction rule
Welfare plan amendments
143-61
860-67
Week 5
9/22
Spousal & Third Party Interests
Anti-alienation rule
221-54
Wrongdoing participants
266-78
Case:
Brown v. Continental Airlines, 647 F.3d 221 (5 th Cir. 2011)
Week 6
9/29
Health and Welfare Plans
COBRA coverage
Affordable Care Act
868-71
894-906
Week 7
10/6
Guest lecture
Ethical issues
TBD
1
Page cites are to main text, Pension and Employee Benefit Law (6th ed.) by Langbein, et al.
Week 8
10/13
ERISA Fiduciaries
Fiduciary status
475-91, 494-505
Fiduciary duties
507-14, 520-22, 528-36
Case:
Kujanek v. Houston Poly Bag, 658 F.3d 483 (5 th Cir. 2011)
Week 9
10/20
Benefit denials
Judicial review
Week 10
10/27
Plan interpretation
Written instrument rule
663-69
Oral modification & estoppel
669-81
Cases:
Koehler v. Aetna Health Inc., 683 F.3d 182 (5th Cir. 2012)
High v. E-Systems, 459 F.3d 573 (5 th 2006)
Week 11
11/3
Remedial scheme
Scope of available remedies
Attorney fees, limitations, and exhaustion
685-717
728-45
Week 12
11/10
Preemption
Express preemption under ERISA § 514(a)
Conflict preemption under ERISA § 502(a)
747-83
783-90
Week 13
11/17
Preemption (cont.)
Complete preemption and removal
Case: Aetna Health Inc. v. Davila,
Review for final exam
625-60
791-95
886-92
Make Up Days
11/29-12/1
Final Exam:
Dec. 8, 2016 at 6-8 pm
These assignments are subject to change during the semester.
S.W.S.
4/3/16