Heimann v. National Elevator Industry Pension Fund

187 F.3d 493, 1999 WL 669186
CourtCourt of Appeals for the Fifth Circuit
DecidedAugust 30, 1999
Docket97-50165
StatusPublished
Cited by65 cases

This text of 187 F.3d 493 (Heimann v. National Elevator Industry Pension Fund) is published on Counsel Stack Legal Research, covering Court of Appeals for the Fifth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Heimann v. National Elevator Industry Pension Fund, 187 F.3d 493, 1999 WL 669186 (5th Cir. 1999).

Opinions

DENNIS, Circuit Judge:

Louis Heimann and his wife, Lou Heim-ann, appeal from the dismissal of their case for failure to state a claim upon which relief may be granted under Fed.R.Civ.P. 12(b)(6). They contend that the district court erred in deciding that the Employee Retirement Income Security Act of 1974 (“ERISA”) preempted their Texas state law claims for tortious interference with contract and intentional infliction of emotional distress. Aternatively, if the state law claims are preempted, they argue that their complaint states federal law claims upon which relief may be granted under ERISA §§ 502 (29 U.S.C. § 1132) and 510 (29 U.S.C. § 1140). We affirm the district court’s dismissal of the Heimanns’ state law tort claims because of preemption, but reverse the dismissal of their suit entirely because their petition states actionable federal ERISA claims, and remand the case to the district court for further proceedings.

I. FACTS AND PROCEDURAL HISTORY

Louis D. Heimann, the plaintiff appellant, was employed in the elevator industry for approximately 36 years and was a member of the International Union of Elevator Constructors (“IUEC”). During his years of employment, Mr. Heimann contributed to the National Elevator Industry Pension Fund and the National Elevator Industry Health Benefit Plan (“Plans”). It is undisputed that the Plans are governed by ERISA. Mr. Heimann is a participant and Mrs. Heimann is a beneficiary of the plans. Upon retirement, Mr. Heim-ann began to receive pension benefits from the Pension Fund and also obtained benefits from the Health Benefit Plan. The Plans specifically provide that benefits will be suspended if the retiree engages in work defined as “disqualifying employment.”

Under the facts as alleged by the Heim-anns, in March 1994, Mr. Heimann, while receiving benefits from the Plans, was hired by the University of Texas as an elevator inspector. The job does not fall within the Plans’ definition of disqualifying employment. Before taking the job, Mr. Heimann conferred with representatives of the Plans and was assured that it did not constitute disqualifying employment. Nevertheless, the IUEC, through its business agent, Ken Burkett, intentionally and maliciously misrepresented to the Plans that Heimann was engaging in disqualifying employment. The IUEC’s actions caused the Plans to suspend Mr. Heim-[499]*499ann’s pension benefits and terminate the Heimanns’ health benefits.

The Heimanns sued the Plans in federal court for wrongful termination of benefits (“Heimann /”). The Heimanns later brought suit in Texas state court against IUEC and Mr. Burkett for intentional infliction of emotional distress and tortious interference with contract (“Heimann II”). IUEC and Mr. Burkett removed Heimann II to federal court on the basis that the Heimanns’ state law causes of action were preempted by ERISA. Shortly after removal, Heimann I and Heim-ann II were consolidated.

IUEC and Burkett moved the district court to dismiss the Heimann’s state law claims on the grounds that they were preempted by ERISA and for failure to state an actionable claim under ERISA. The court adopted the recommendations of a magistrate judge and issued an “Order and Partial Judgment” dismissing Heim-ann II because of preemption and failure to state a claim, but retained jurisdiction over Heimann I.

The district court dismissed the plaintiffs’ claims in Heimann I, concluding that the Plans did not act wrongfully in terminating the Heimanns’ benefits. Subsequently, the parties settled the claims involved in Heimann I. The Heimanns appealed from the district court’s Rule 12(b)(6) dismissal of their claims against IUEC and Mr. Burkett in Heimann II.

II. ERISA COMPLETE PREEMPTION JURISDICTION

“[Ejvery federal appellate court has a special obligation to ‘satisfy itself not only of its own jurisdiction, but also that of the lower courts in a cause under review,’ even though the parties are prepared to concede it. Mitchell v. Maurer, 293 U.S. 237, 244, 55 S.Ct. 162, 79 L.Ed. 338 (1934). Juidice v. Vail, 430 U.S. 327, 331-332, 97 S.Ct. 1211, 51 L.Ed.2d 376 (1977) (standing).” (internal quotations omitted); Steel Co. v. Citizens For A Better Environment, 523 U.S. 83, 118 S.Ct. 1003, 1012, 140 L.Ed.2d 210 (1998) (quoting Arizonans for Official English v. Arizona, 520 U.S. 43, 70, 117 S.Ct. 1055, 137 L.Ed.2d 170 (1997)) (quoting Bender v. Williamsport Area School Dist., 475 U.S. 534, 541, 106 S.Ct. 1326, 89 L.Ed.2d 501 (1986)).

“[A]ny civil action brought in a State court of which the district courts of the United States have original jurisdiction, may be removed by the defendant or the defendants, to the district court of the United States for the district and division embracing the place where such action is pending.” 28 U.S.C. § 1441(a). The district courts have original jurisdiction over “federal question” cases; that is, those eases “arising under the Constitution, laws, or treaties of the United States.” 28 U.S.C. § 1331. It is well settled that a cause of action arises under federal law only when the plaintiffs well-pleaded complaint raises issues of federal law. Gully v. First National Bank, 299 U.S. 109, 57 S.Ct. 96, 81 L.Ed. 70 (1936); Louisville & Nashville R. Co. v. Mottley, 211 U.S. 149, 29 S.Ct. 42, 53 L.Ed. 126 (1908).

One oft-cited, yet often confused, corollary to the well-pleaded complaint doctrine “developed in the case law ... is that Congress may so completely preempt a particular area that any civil complaint raising this select group of claims is necessarily federal in character.” Metropolitan Life Insurance Co. v. Taylor, 481 U.S. 58, 63, 107 S.Ct. 1542, 95 L.Ed.2d 55 (1987). As this court has recently pointed out, confusion arises in distinguishing between the “complete preemption” described in Metropolitan Life which creates federal removal jurisdiction and the more common ordinary preemption which does not.1 See [500]*500McClelland v. GronwalDt, 155 F.3d 507, 515 (5th Cir.1998).

Ordinarily, the term federal preemption refers to ordinary preemption, which is a federal defense to the plaintiffs suit and may arise either by express statutory term or by a direct conflict between the operation of federal and state law. Being a defense, it does not appear on the face of a well-pleaded complaint, and, thus, does not authorize removal to a federal court. Id. at 516.

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Bluebook (online)
187 F.3d 493, 1999 WL 669186, Counsel Stack Legal Research, https://law.counselstack.com/opinion/heimann-v-national-elevator-industry-pension-fund-ca5-1999.