9.4 Cases under § 502(a)(1)(B) of the Employee Retirement Income Security Act of 1974 (ERISA), 29 U.S.C. § 1132(a)(1)(B)

Unless otherwise ordered by the court, the following procedures shall govern all actions that include one or more claims under § 502(a)(1)(B), including removed cases in which an ERISA claim is pled and removed or diversity cases in which the court subsequently determines that ERISA preempts the state law claims.

(a) The Administrative Record

The defendant shall serve and file a copy of the administrative record with its answer.  In those cases in which the court determines ERISA preempts state law claims and orders the plaintiff to file an amended complaint setting forth an ERISA claim, the defendant shall serve and file the administrative record with its answer to the amended complaint. The administrative record shall consist of all relevant plan documents and any documents submitted, considered, or generated in the course of making the benefit determination.  Any motion to modify the administrative record shall be served and filed within fourteen (14) days after the administrative record is served.

(b) Joint Statement of Material Facts

Within thirty (30) days after the filing of the administrative record or the court’s ruling on any motion to modify the administrative record, whichever is later, the plaintiff shall serve on the defendant a proposed joint statement of material facts.  This statement shall be in narrative form, contain record citations, summarize all procedural developments, and describe all facts pertinent to the resolution of the case.   Within fourteen (14) days after the proposed joint statement of material facts is served, the defendant shall inform the plaintiff of any proposed additions or deletions to the joint statement.  Within fourteen (14) days after service of the defendant’s proposed additions and deletions, the plaintiff shall serve and file a joint statement of material facts containing all agreed-upon facts and record citations.  If any material facts remain in dispute, the parties shall each file a list of disputed facts, including record citations, within fourteen (14) days after the joint statement of material facts is filed by the plaintiff.

(c) Decision Memoranda

Within thirty (30) days after the joint statement of material facts is filed, plaintiff shall serve and file a motion for judgment on the administrative record and a supporting memorandum.  Within thirty (30) days after plaintiff’s motion for judgment on the administrative record is filed, defendant shall serve and file its motion for judgment on the administrative record and a supporting memorandum.  The defendant’s motion and memorandum shall respond to the specific issues raised in the plaintiff’s motion and memorandum.  Plaintiff may file a reply memorandum pursuant to LR 7.1(e)(1).  Neither party shall file an objection to the other party’s motion.

(d) Discovery and Trial

Initial disclosure under Fed. R. Civ. P. 26(a) shall not be made, discovery shall not be permitted except as stated herein, and a trial date shall not be set prior to the court’s ruling on the motions for judgment on the administrative record.  Any party may move the court to permit limited discovery as permitted by case authority.

History

(Added 6/1/05; §§ (a), (b) and (d) amended 12/1/09; § (d) amended 12/1/15)