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ABSENT CLASS MEMBERS
see also CLASS MEMBERS
counterclaims against, 7.7
cy pres distributions, 14.9.3
discovery by defendant, 8.4.3
due process, 13.2, 18.1.3.1
duty owed by counsel to, claims released, 14.7.10.1
duty owed by named plaintiff to, 7.3.1
statement of duty, sample agreement, Appx. E.2
injury suffered, 4.4
intervention rights, 10.3.4.8
notice rights, 13.2
opt-out rights, 10.1, 18.1.3.2
(b)(2) certifications, 10.5.4.2
party status, 7.7, 8.4.3
releases
NACA guidelines, 14.7.10.2
overbroad releases, 14.7.10.1
res judicata, 18
settlement prior to certification, effect, 14.2.1
notice of settlement, 13.1.7
ACTIONS
class actions see CLASS ACTIONS
individual actions
certification refused, jurisdiction, 2.4.2.1
federal court jurisdiction, 2.2, 2.3, 2.6
opt-outs, representing, 14.7.13, 16.5
opt-outs, rights, 18.1.3.2
related claims, 18.1
“mass actions,” 2.4.4.3
parens patriae actions, 2.4.4.4
“same cause of action,” 18.1.4, 18.1.5
ADDRESSES
class mailings, return address, 13.5.4
class members
e-mail address, 13.6.4
reasonable effort, 13.2
updating, 13.5.2, 13.5.3, 16.6.5
websites, see WEB RESOURCES
ADMINISTRATORS
see CLASS ACTION ADMINISTRATOR
ADMISSIONS
requests for admissions, 8.1.10
AFFIDAVITS
motion for summary judgment, attacking, 7.6
AGREEMENTS
binding arbitration, see ARBITRATION CLAUSES
class settlement, see STIPULATION OF PROPOSED SETTLEMENT
fee agreements, see under ATTORNEY FEES AND COSTS
future representation, 14.7.13
sample agreements
class action authorization, Appx. E.1
co-counsel agreement, Appx. E.3
named plaintiff’s statement of duty, Appx. E.2
settlement, see STIPULATION OF PROPOSED SETTLEMENT
ANNIHILATING DAMAGES
see also CLASS DAMAGES
avoiding potential, 1.7.7.4
multistate actions, 10.6.2.5.5
APPEALS
class certification rulings, 12
circuit court standards, 12.3
generally, 12.1
interlocutory appeals, 11.5, 12.2
mootness concerns, 12.4
reassignment on remand, 12.5
standard of review, 12.1
tolling of statute of limitations, 11.1.2
class settlement
appeal bond requirement, 15.5.13.2
rights of objectors, 15.5.9.2, 15.5.13.1
standard of review, 15.5.13.3
NACA guidelines, Appx. D
remand to state court, 2.4.4.5
ARBITRATION CLAUSES
see also CLASS-WIDE ARBITRATION
class action bans, 1.7.2
CFPB proposed rule, 1.7.2.2
challenging, 1.7.2.4
class-wide arbitration bans, 1.7.2.3
motion to dismiss based on, 7.1, 7.4.2
unconscionability, 2.1, 7.4.2
court forum selection, effect on, 2.1
defense tactics, 7.1, 7.4.2
ATTORNEY-CLIENT PRIVILEGE
see also ATTORNEYS; CLASS COUNSEL
deposition of named plaintiff, objections based on, 9.5.2
examples of objectionable questions, 9.5.3
interrogatories and document requests, 8.4.1
fee agreements, 8.4.4
ATTORNEY FEES AND COSTS
see also ATTORNEYS; CLASS COUNSEL
advancing, 1.3.1, 10.3.4.4
questions at deposition, 9.4.4, 9.5.5
applying for, 19.4
assignment of rights agreements, 14.10.2
tax consequences, 19.6.5
Buckhannon decision, 19.2.2.1
state court actions, application, 19.2.2.2
burden, see BURDEN OF COST
calculation of fees
choice of law, 9.3.2
common fund doctrine, 19.1.2, 19.3
compensable time, 19.3.6.3
competing methods, 14.10.3, 19.3.3
general considerations, 19.3.1
hourly rate, 19.3.6.2
lodestar method, 19.2.1, 19.3.3, 19.3.6
NACA guidelines, 19.3.1, 19.3.5.2.5
percentage approach, 19.3.3, 19.3.4, 19.3.5
percentage benchmarks, 19.3.5.1
reasonable fee, 19.2.1
settlements, 14.10.3
time records, 19.3.6.4
value of fund, establishing, 19.3.5.2
“catalyst” rule, 19.2.2.1, 19.2.2.2
choice of law, 19.3.2
“civil rights” cases, 19.6.5.2
class representative, ability to pay, 10.3.4.4
discovery by defendant, 8.4.4
“clear sailing” agreements, 14.10.1
co-counsel, division among, 19.5
disclosure to court, 19.5.2
sample co-counsel agreement, Appx. E.3
common benefit theory, 19.1.2
common fund payments, 19.1.2, 19.3
negotiation, 14.10.1
tax consequences, 19.6
compensable time, 19.3.6.3
time records, 19.3.6.4
consent decrees, 19.2.2.1
contingent fee arrangements, 19.6.1, 19.6.2
costs, deduction before calculation, 19.3.5.2.7
coupon settlements, 14.8.4, 19.3.5.2.3
unused coupons, 14.9.6
court approval, 14.10.1, 19.4.2
cy pres distributions, 14.9.6
disclosure, 19.4.2, 19.5.2
equitable relief situations, 19.3.5.2.5
excessive fees, 14.7.9, 19.3.1
federal diversity jurisdiction calculations, 2.3.3.7
fee agreements
assignment of rights, 14.10.2, 19.6.5
co-counsel, disclosure, 19.5.2
co-counsel, sample agreement, Appx. E.3
discovery by defendant, 8.4.4, 9.4.3
no waiver provision, 14.10.2
sample agreement, Appx. E.1
fee negotiations
approval of negotiated fee, 14.10.1, 19.4.2
circumstances, 19.4.1
fee-shifting statutes, 14.10.1
lump sum offers, 14.10.2
NACA guidelines, 14.10.1
percentage cases, 19.3.5
separate negotiation, 14.10.1
fee petition
objector’s counsel, 15.5.12
timing, 19.4.1
fee-shifting statutes, 14.10.1, 19.2
Buckhannon decision, 19.2.2.1
greater than class recovery, 14.7.9
hourly rates, 19.3.6.2
lump sum offers, 14.10.2
multipliers, 19.3.6.5
fee-shifting statutes, use, 19.2.1
multistate actions, 19.2.1
NACA guidelines, Appx. D
“negative value” cases, 19.1.2
non-cash recoveries, 14.8.4, 19.3.4, 19.3.5.2.1, 19.3.5.2.3, 19.3.5.2.5
notice to class, 19.4.2
objectors to settlement, 15.5.12
offers of judgment, rejection, 7.3.2.1
opt-outs, subsequent claims, 18.1.3.2
prevailing party, 19.2.1, 19.2.2.1, 19.3.6.3, 19.6.5
reimbursement for expenses, 14.7.9
remand of removed case, 2.4.4.6
right to, 19.1
risk multipliers, 19.2.1, 19.3.6.5
settlements
administrative costs, 14.7.8
approval, 19.4.2
Buckhannon decision, 19.2.2.1
expenses, reimbursement, 14.7.9
lodestar method, use, 19.3.6
lump sum settlements, 14.10.2
method of determining, 14.10.3
negotiating, 14.10, 19.4.1
notice to class, 19.4.2
objectors, right to fees, 15.5.12
post-settlement work, 14.10.5
“quick pay” provisions, 14.10.4
right to, 19.2.2
scrip settlements, 14.8.4, 19.3.5.2.3, 19.3.5.2.5
separate negotiations, 14.10.1
state court actions, 19.2.2.2
statutory fee awards, 19.2
additional to common fund, 19.3.5.2.2
tax consequences, 19.6.5
supplemental fees, 14.8.4
tax consequences, 19.6
“civil rights” cases, 19.6.5.2
contingent fee arrangements, 19.6.1, 19.6.2
statutory fee awards, 19.6.5
time records, 19.3.6.4
unclaimed cash awards, 19.3.5.2.6
waiver of fees, agreement not to, 14.10.2
ATTORNEYS
agreements not to represent, 14.7.13
class counsel, see CLASS COUNSEL
communication with class members by defense, 6.4
allowable, 6.4.2
improper, 6.4
non-communication orders, 6.4.2
post-certification, 6.4.4
potential problems, 6.4.1
pre-certification, 6.4.3
communication with putative members by plaintiff, 6.4.2
delay tactics, ethical constraints, 7.2
fees, see ATTORNEY FEES AND COSTS
legal services attorneys, see LEGAL SERVICES ATTORNEYS
malpractice, see LEGAL MALPRACTICE
objections to settlement, advising, 15.5.6, 15.5.7
opted-out class members, representing, 14.7.13, 16.5
preservation of evidence, litigation hold, 8.1.4.2
privilege, see ATTORNEY-CLIENT PRIVILEGE
Rule 26(f) conference, 6.2, 8.1.3
BAD FAITH
delaying tactics as, 7.2
BANKRUPTCY
class actions involving, federal jurisdiction, 2.2
debt forgiveness, tax consequences, 14.7.3.5.2
defendants, effect on settlement negotiations, 14.6
BIFURCATION
discovery between class and merits issues, 8.2.2
individual damages, 17.4.6.2
trial between liability and damages, 17.2.6
BONDS
settlement appeals, 15.5.13.2
BRIEFS
see CLASS BRIEFS
BURDEN OF COST
see also ATTORNEY FEES AND COSTS
addresses, updating, 13.5.2
administrative costs, 14.7.8
advancing by attorney, 1.3.1, 10.3.4.4
claims administration, 16.1
class list, assembling, 8.1.8.3, 13.5.1, 13.7
class notice, 13.7
combined notices, 13.1.4
fair conduct notices, 13.1.6
initial cost, 13.7.1
postjudgment, 13.1.6
recovery, 13.7.1
settlement notice, 13.7.2
shifting the burden, 13.7.2
class representative, 9.5.5, 10.3.4.4
deposition questions re, 9.5.5
reimbursement, 14.7.9
skip tracing, 13.5.2, 14.7.8
BURDEN OF PROOF
see also PROOF
choice-of-law issues, 10.6.2.5.2
class certification, 10.2
prerequisites to certification, 10.1
class size, 10.3.1
damages, 17.4.2
decertification, 11.5
federal diversity jurisdiction, 2.5
amount in controversy, 2.5.1
CAFA exceptions, 2.5.3
removal jurisdiction, 2.5.1.2, 2.5.2
non-communication orders, 6.4.2
numerosity, 10.3.1
protective order, 8.2.4
CANCELLATION
see EQUITABLE RELIEF
CASE LAW
see also RESEARCH AIDS
NCLC resources, 1.1.4
state-by-state analysis, Appx. C
CASE MANAGEMENT CONFERENCE
goals, 5.7
preservation orders prior to, 6.3.5
timing and procedure, 6.2
trial management plans, 11.1.3, 17.2.2, 17.2.3
types of orders available, 6.2
CERTIFICATE SETTLEMENTS
see SCRIP SETTLEMENTS
CERTIFICATION
see CLASS CERTIFICATION
CHARITABLE DISTRIBUTIONS
see CY PRES DISTRIBUTIONS
CHECKLISTS
class complaint, 5.9
class settlements
administrative aspects, 14.11
cy pres awards, 14.9.7
distribution of benefits, final class list, 16.6.3
CHECKS
distributing to class, 16.6.4
undeliverable, 16.6.5
CHOICE OF LAW
attorney fee computations, 19.3.2
contract provisions, 7.4.2
multistate actions, manageability, 10.6.2.5
CITIZENSHIP
federal diversity jurisdiction, 2.3.2, 2.4.2.3, 2.4.3.3.2
CIVIL RIGHTS ACTIONS
attorney fees, tax consequences, 19.6.5.2
class certification, 10.5.2.3, 10.5.3.1
class definition, 4.2
waiver of fees, 14.10.2
CLAIM FORMS
acknowledgment of receipt, 16.2
filing deadlines, 13.2
final distribution list, preparation, 16.6.3
non-filers, right to object, 15.5.3
opt-out choice, 13.4.2
processing, 16.2
settlement notice, inclusion in, 13.4.2
use, 13.4.2, 14.7.2.2
CLAIM SPLITTING
rule against, class action exception, 1.7.8.3, 5.6.2, 10.3.4.3
CLAIMS
see CLAIM FORMS; CLAIM SPLITTING; CLAIMS ADMINISTRATION; CLASS ACTIONS; CLASS COMPLAINT; MULTIPLE CLAIMS
CLAIMS ADMINISTRATION
see also CLASS ACTION ADMINISTRATOR
administration plan, 16.1
class settlements, 14.7.6, 14.7.8
cost burden, 16.1
distribution of benefits, 16.6.4
individual damages, assessment, 10.6.3.6
inquiries, responding to, 16.3
overview, 16.1
problems with opt-outs or claims, 16.5
responses to notice, processing, 16.2
settlement website, 13.6.4, 16.4
undeliverable checks, dealing with, 16.6.5
CLASS ACTION ADMINISTRATOR
see also CLAIMS ADMINISTRATION
claims administration, duties, 16.2–16.4
final checklist, 16.6.3
generally, 16.2
payments to class members, 16.6.4
class list
compilation, 13.5.1
final distribution list, 16.6.3
maintaining, 16.2
class notice, mailing, 13.6.2
retaining, 16.1
class settlements, 14.7.6, 14.7.8
settlement website, maintenance, 13.6.4, 16.4
telephone inquiries, responding to, 13.6.4, 16.3
CLASS ACTION FAIRNESS ACT OF 2005 (CAFA)
amount in controversy, 2.4.2.4
burden of proof, 2.5.1
stipulations as to amount, 2.6
appeals, 2.4.4.5
attorney fees
coupon distributions, 14.8.4, 14.9.6, 19.3.5.2.3
wrongful removal, 2.4.4.6
avoiding, 2.6
drafting the complaint, 5.6.1
burdens of proof, 2.5
citizenship of class members, 2.3.2, 2.4.2.3, 2.4.3.3.2
class action definition, 2.4.2.1
citizenship based, 2.4.3.3.2
class size, application, 2.4.2.2
effective date, 2.3.1, 2.4.1, 2.4.2.5
exclusions, 2.4.3
burden of proof, 2.5.3
close nexus to forum state, 2.4.3.3
court discretion, 2.4.3.4
home state exception, 2.4.3.3.4
local controversy exception, 2.4.3.3.3
shareholder derivative suits, 2.4.3.2
small class actions, 2.4.2.2
State defendants, 2.4.3.1
federal court jurisdiction under, 2.4
declining, 2.4.3.3.1, 2.4.3.4
prerequisites, 2.4.2
jurisdiction prerequisites, 2.4.2
minimal diversity, 2.4.2.3
overview, 1.7.5, 2.4.1
remand to state court, 2.4.4.5
appeals, 2.4.4.5
attorney fees, 2.4.4.6
removal of state court actions, 2.4.4
avoiding, 2.6, 5.6.1
“mass actions,” 2.4.4.3
time limits, 2.4.4.2
settlements, application
attorney fees, 14.8.4, 19.3.5.2.3, 19.3.5.2.5
coupons, 14.8.1, 14.8.4, 14.9.6
geographic discrimination, prohibition, 14.7.5
notice requirements, 14.7.15, 18.1.3.1
text, Appx. B
CLASS ACTION GUIDELINES (NACA)
see NACA CONSUMER CLASS ACTION GUIDELINES
CLASS ACTION WEBSITES
class notice, posting, 13.6.4
helpful websites, 1.1.4
web addresses, Appx. F
setting-up a website, 13.6.4, 16.4
CLASS ACTIONS
adequacy of representation, 10.3.4
administrator, see CLASS ACTION ADMINISTRATOR
annihilating damages, effect, 1.7.7.4, 10.6.2.5.5
arbitration of, see CLASS-WIDE ARBITRATION
attorney fees, see ATTORNEY FEES AND COSTS
authorization, sample agreement, Appx. E.1
ban in contract, 1.7.2, 7.4.2
CFPB proposed rule, 1.7.2.2
challenging, 1.7.2.4
class-wide arbitration bans, 1.7.2.3
motion to dismiss based on, 7.1, 7.4.2
unconscionability, 2.1, 7.4.2
CAFA definition, 2.4.2.1, 2.4.4.4
case management conference, 6.2
case management plans, 11.1.3, 17.2.3
case selection, 1.7
arbitration clauses, 1.7.2
class representative, qualities, 1.9.1
defendant, investigating, 1.8
facts underlying claim, 1.7.7.3, 1.9.1
cause of action, 18.1.4
certification, see CLASS CERTIFICATION
challenges facing, 1.3
choice of law, see CHOICE OF LAW
claim selection, 1.7
forum, 1.7.5
multiple claims, 1.7.8
well suited claims, 1.7.7
claims administration, see CLAIMS ADMINISTRATION
class benefits, see CLASS BENEFITS
class definition, see CLASS DEFINITION
class primacy, 14.1
class representative, see CLASS REPRESENTATIVE
collateral estoppel effect, 18.2
competing class actions
co-counseling, 1.5
consolidation, see MULTIDISTRICT LITIGATION
coordinating with, 1.7.9
settlement considerations, 14.4
complaint, see CLASS COMPLAINT
consolidation, see MULTIDISTRICT LITIGATION
consumer leasing, 10.6.3.4
consumer protection device, 1.2
contract claims, 10.6.3.2
copycat actions, see COPYCAT CLASS ACTIONS
costs, see ATTORNEY FEES AND COSTS; BURDEN OF COST
counsel, see CLASS COUNSEL
counterclaims, see COUNTERCLAIMS
damages, see CLASS DAMAGES
defective products, 10.6.3.5
defendants, see DEFENDANTS
defense tactics, see DEFENSE TACTICS
definition, 2.4.2.1, 2.4.4.4
discovery, see DISCOVERY
dismissal
court approval, 14.1, 14.2.2
motion to dismiss, 7.4, 8.2.3, 11.1.5
equitable relief, see EQUITABLE RELIEF
FCRA, 1.7.7.2, 1.7.7.4, 2.2
FDCPA, see FAIR DEBT COLLECTION PRACTICES ACT (FDCPA)
federal court, see FEDERAL COURT ACTIONS
federal legislation, see CLASS ACTION FAIRNESS ACT OF 2005 (CAFA)
filing
alternatives to filing, 1.6
competing law suits, checking first, 1.7.9
considerations, 1.3.1, 1.7.7
individual settlement attempts prior to, 1.9.2, 14.2.1
forum selection, see FORUM SELECTION
fraud claims, 1.7.7.2, 10.6.3.3, 10.6.3.6
guiding principles, 14.1
intervention by settlement objector, 15.5.9.2
joinder alternative, 1.6
jurisdiction, see JURISDICTION
jury trials, 17.5
limiting of issues, 1.7.8.2
litigation plans, 11.1.3, 17.2.3
manageability, see MANAGEABILITY
“mandatory” class actions, 10.1, 10.4, 10.5
merits of case, inquiry before certification, 10.2
mooting, 7.3, 11.1.1
motion for certification, see CLASS MOTION
multiple actions, consolidation, 1.5, 1.7.9, 14.4
see also MULTIDISTRICT LITIGATION
multiple claims, see MULTIPLE CLAIMS
multiple defendants, 14.3
multistate actions, see MULTISTATE CLASS ACTIONS
NACA guidelines, see NACA CONSUMER CLASS ACTION GUIDELINES
NCLC treatise, 1.1
appendices, 1.1.5
case law, 1.1.4
online version, 1.1.2, 1.1.5
overview, 1.1.1
pleadings, 1.1.5
practice tools, 1.1.5
primary sources, 1.1.5
print version, 1.1.2
subjects covered, 1.1.3
need for, 1.2
notice, see CLASS NOTICE
numerosity, see NUMEROSITY
offers of judgment, 7.3.2
opt-outs, see OPT-OUTS
particular issues, 10.5.4.5
parties, 7.7, 8.4.3
pleadings, see CLASS BRIEFS; CLASS COMPLAINT
practice standards, 1.4
see also CLASS COUNSEL
preliminary motions, see PRELIMINARY CLASS MOTIONS
preliminary preparation, 6.3.2, 8.1.1
preliminary procedures, 6.2
pre-suit demand letters, 5.7
prevailing party, 19.2.1, 19.2.2.1, 19.3.6.3, 19.6.5
releases, see RELEASES
representativeness, see REPRESENTATIVENESS
required resources, 1.3.1
res judicata effect, 1.7.3, 18.1
RICO, see RICO CLASS ACTIONS
scheduling order, 6.2
settlement, see CLASS SETTLEMENTS
small claims, 1.2, 2.6
small classes, 1.6, 2.4.2.2, 4.8
standard form agreements, 10.6.3.2
state court, see STATE COURT ACTIONS
state law restrictions, 1.7.4
Shady Grove decision, 1.7.4, 2.1
state law survey, Appx. C
statute of limitations, tolling, 1.7.6, 11.1.2
“successful action,” 19.2.1
suitability, 1.7.7
superiority, 10.6.2
surveys, use, 8.1.8.2.3
tax consequences, see TAX CONSEQUENCES
technical claims, 1.7.7.3, 1.7.7.4
TILA, see TILA CLASS ACTIONS
timing and procedures, 6.2
trial of, see TRIALS
typicality, see TYPICALITY
UDAP, see UDAP CLASS ACTIONS
usury, 1.7.7.4
venue, see VENUE
warranty-type claims, 10.6.3.5
web publication, 13.6.4, 16.4
web resources, see WEB RESOURCES
CLASS ADMINISTRATOR
see CLASS ACTION ADMINISTRATOR
CLASS ARBITRATIONS
see CLASS-WIDE ARBITRATION
CLASS BENEFITS
see also CLASS DAMAGES; CLASS FUND
cancellation of debt, see DEBT CANCELLATION
coupons or certificates, see SCRIP SETTLEMENTS
cy pres distributions, see CY PRES DISTRIBUTIONS
distribution of fund, see CLASS FUND, distribution
equitable relief, see EQUITABLE RELIEF
fee awards based on, 19.1.2, 19.3
fluid recoveries, 10.6.2.3, 10.6.2.4, 14.9.1
forms of relief, 14.7.2.1
in-kind services, 19.3.5.2.1
individual vs. fund recoveries, 14.7.4
monetary relief, see CLASS DAMAGES
NACA guidelines, Appx. D
programmatic relief, 14.7.2.1
tax consequences, 14.7.3.2
damages recovery, 14.7.3.4
debt forgiveness, 14.7.3.5
Form 1099-C, 14.7.3.5.6
value, determination, 14.8.3, 19.3.5
CLASS BRIEFS
see also CLASS MOTION
drafting, 11.1.3
filing, timeliness, 11.1.1
named plaintiff, familiarity with, 10.3.4.6
opening memorandum
commonality section, 10.6.3.1
drafting, 11.1.3
reply memorandum
commonality arguments, 10.6.3.1
importance, 11.1.3
settlement approval motion, 15.3
trial plan, 11.1.3
CLASS CERTIFICATION
see also CLASS ACTIONS
adequacy of representation, 10.3.4
class counsel, 10.3.4.2
class representative, see CLASS REPRESENTATIVE
allegations, inquiries into, 8.1.8.2.2
appeals, 12
circuit court standards, 12.3
generally, 12.1
interlocutory appeals, 11.5, 12.2
mootness concerns, 12.4
reassignment on remand, 12.5
standard of review, 12.1
ascertainability, 4.2, 14.9.2
burden of proof, 10.2
prerequisites to certification, 10.1
choice of law manageability, 10.6.2.5
class definition, see CLASS DEFINITION
commonality, see COMMONALITY
conditional certification, 14.2.2
damages relief, see CLASS DAMAGES
decertification, 11.5
declaratory relief, 10.5.2
default judgments, 11.2
delay
defense tactics, 7.1, 7.2
effect, 11.1.1
denial of certification
annihilating damages, 10.6.2.5.5
claim splitting, 5.6.2
collateral estoppel, 11.4, 18.2.2
effect on future litigation, 2.4.2.1, 7.8, 11.3, 11.4
effect on jurisdiction, 2.4.2.1
individual settlements after, 12.4, 14.2.1
deposition testimony, using, 9.6
discovery prior to, 8.1.8
bifurcating from merits, 8.2.2
defense resistance, 8.2
information to be sought, 8.1.1, 8.1.8.–8.1.8.5
motion to compel, 8.3
need for, 8.1.8.2
right to, 6.2, 8.1.8.1
time schedule and plan, 8.1.1
equitable relief, 10.5.2
estoppel effect, 11.4, 18.2
evidence, 11.1.4
see also EVIDENCE
hearings, 11.1.4
hybrid certification, 10.1, 10.5.4.3
immediate action, benefits, 11.1.1
injunctive relief, 10.5.2
issue certification, 10.5.4.5, 10.6.3.1, 10.7
memoranda in support, see CLASS BRIEFS
merits of claim, relationship, 10.2
motion for, see CLASS MOTION
notice of, see under CLASS NOTICE
numerosity, see NUMEROSITY
offers of judgment after, 7.3.2.6
opt-out rights, 10.1, 18.1.3.2
partial certification, 10.5.4.5, 10.6.3.1, 10.7
predominance of common questions, see PREDOMINANCE OF COMMON QUESTIONS
preliminary motions, see PRELIMINARY CLASS MOTIONS
prerequisites, 10.1, 10.3
burden of proof, 10.2
protective legislation, 1.3.2
reconsideration, 11.5
res judicata, avoiding overbroad effect, 18.1.6
“rigorous analysis” standard, 10.2
Rule 23 procedures
see also RULE OF CIVIL PROCEDURE 23 (FEDERAL)
comparison, 10.1, 10.5.1
Rule 23(b)(1), 10.4
Rule 23(b)(2), 10.5
Rule 23(b)(3), 10.6
sequential certification, 10.5.4.4
settlement prior to
class-wide settlements, 14.2.2
individual settlements, 7.3, 13.1.7, 14.2.1
notice to uncertified class, 13.1.7
settlement purposes, 11.2, 11.3, 14.2.2
state law claims, 10.1
stipulation to certification, 11.2
effect on subsequent litigation, 11.3
subclasses, 4.8, 10.3.4.9, 10.6.2.5.4
suitability of claim, 1.7.7
superiority, see SUPERIORITY
surveys as support for, 8.1.8.2.3
timeliness, 11.1.1
tolling of limitations period, 1.7.6, 11.1.2
typicality, see TYPICALITY
Wal-Mart decision, impact, 10.2, 10.5.3.2, 10.7.3
CLASS COMPLAINT
see also CLASS ACTIONS
allegations, 5.2
class allegations, 5.4, 5.5
discovery to support, 8.1.8.2.2
factual allegations, 5.4
amended complaint
effect on tolling, 11.1.2
substitution of class representative, 10.3.4.8
time limits, 5.7
answer, reviewing, 5.10
see also DEFENSE TACTICS
cause of action, 18.1.4
checklist for complaint completion, 5.9
class definition, 4.1, 5.4, 5.5
class representative, reviewing with, 5.8
prior to deposition, 9.2, 9.4.2
prior to filing, 5.8
client declaration, attaching, 5.7
discovery and motions, serving with, 5.7
drafting the complaint, Ch. 5
avoiding overbroad res judicata, 18.1.6
CAFA removal, avoiding, 5.6.1
careful drafting, importance, 5.1, 5.11
cause of action, 5.4
claim for relief, 5.4
claim splitting, 5.6.2
class allegations, 5.4, 5.5
class definition, 5.4, 5.5
factual allegations, 5.4
format, 5.4
general considerations, 5.2
jurisdiction and venue, 5.4
legalese, avoiding, 5.4
local rules, 5.2
notice of claim and grounds, 5.3
parties, 5.4
preliminary statement, 5.4
special considerations, 5.3
special techniques, 5.7
Twombly and Iqbal standards, 5.3
exhibits to, 5.7
filing tolls statute of limitations, 11.1.2
individual settlement negotiations after filing, 7.3, 14.2.1
insurance coverage defense, avoiding, 1.7.7.5
litigation plan, attaching, 5.7
merits, inquiry before certification, 10.2
potential problems and pitfalls, 5.6
pre-suit notification, 5.7
sample pleadings, 5.12
sections of the complaint, 5.4
showing to defendant, 5.7
statute of limitations, 4.6.1
tolling, 11.1.2
CLASS COUNSEL
see also ATTORNEYS
adequacy of representation, 10.3.4.2
attorney fees, see ATTORNEY FEES AND COSTS
“attorney shopping” by defendant, 14.4
challenges facing, 1.3.1
claims administration, duties, 16.1
final distribution list, 16.6.3
settlement website, 16.4
telephone inquiries, dealing with, 16.3
co-counseling
attorney fees, division, 19.5
circumstances, 1.5
working agreement, 1.5, Appx. E.3
communication with class representative, 1.9.5
communication with putative class members, 6.4.2, 8.1.8.3
control over the litigation, effect on certification, 10.3.4.7
costs
see also ATTORNEY FEES AND COSTS
advancing, 1.3.1, 9.4.4, 9.5.5, 10.3.4.4
reimbursement, 14.7.9
defendant’s documents, preserving, 6.3
discovery plan, 6.2, 8.1.3, 8.1.5
see also DISCOVERY
duty of care, 14.1
class notice, 13.3.2
determination of class size and scope of damages, 14.7.1
Janik decision, 1.7.8.3
release of claims, 14.7.10.1
ethical and practice standards, maintaining high, 1.4
future representation, 14.7.13
history of representation, discovery questions, 9.4.3
malpractice, see LEGAL MALPRACTICE
Meet-and-Confer conference, 6.2, 8.1.3
multistate class actions, 4.7.2
opt-outs
advising, 15.5.5
representing, 16.5
preliminary preparation, 6.3.2, 8.1.1
relationship with client, 1.9.5
representing named plaintiff at deposition, Ch. 9
required resources, 1.3.1
retainer agreement, 1.9.5
sample retainer agreement, Appx. E.1
Rule 26(f) conference, 6.2, 8.1.3
settlement advice to class members, 15.5.5
settlement by named plaintiff, ramifications, 7.3.1
CLASS DAMAGES
see also CLASS BENEFITS; CLASS FUND
aggregation of damages, 10.6.2.4, 10.6.2.5.5
annihilating damages
denial of certification, 10.6.2.5.5
effect on claim selection, 1.7.7.4
barriers to collecting, 1.7.7.5
cy pres distributions, 14.9
damage curves, 10.6.3.6
diminished value of purchase, 14.7.3.4.1
diversity jurisdiction calculations, 2.3.3, 2.4.2.4
emotional distress, 14.7.3.4.3
fluid recovery, 10.6.2.3, 10.6.2.4, 14.9.1
individual damages, determination, 10.6.3.6, 17.4.6
defendant’s records, use, 17.4.6.4
generally, 17.4.6.1
individual hearings, 17.4.6.2
standard for reprocessing, 17.4.6.3
individual damages, small, 10.6.2.3
individual differences, effect, 10.6.3.6
insurance coverage, 1.7.7.5, 1.8.3
lump sum payments, 14.7.4, 14.10.2
multistate actions, 10.6.2.5.5
physical injury, 14.7.3.4.3
proof of damages, 17.4
aggregate sum, 17.4.4
formula use, 17.4.3
generally, 17.4.1
individual damages, 17.4.6
sampling and extrapolation, 17.4.5
standards of proof, 17.4.2
punitive damages, see PUNITIVE DAMAGES
Rule 23(b)(2) certifications, 10.5.3
Rule 23(b)(3) certifications, 10.1
settlement, adequacy, 15.1.1
evaluation of damages, 14.7.1
scrip settlements, 14.8.1
statutory caps, 1.7.7.4
statutory damages, see STATUTORY DAMAGES
tax consequences, 14.7.3.4
trial of issue
bifurcation, 17.2.6
innovative structures, 17.2.7
single trial, 17.2.5
CLASS DEFINITION
see also CLASS LIST; CLASS MEMBERS
amending after case filed, 4.10
ascertainability of class members, 4.2
change in defendant’s practices, effect, 7.5
choosing the definition, Ch. 4
class member injury, 4.4
continuing classes, 4.6.3
drafting, 4.1, 5.4, 5.5
ending date, 4.6.3
examples, 4.1, 4.2
“fail-safe” definition, 4.2
future members, 4.6.3
geographic limitations, 4.7
identification of class members, 4.2
injury suffered, 4.3, 4.4
issue classes, see ISSUE CLASSES
motion to strike, 4.9, 7.5
multiple claims, 4.6.1
multiple classes, 4.6.1
multistate actions, 4.7
open-ended, 4.6.3
redefinition, 4.10, 7.5
relief sought, considerations, 4.3
reviewing, 4.1
simplicity, requirement, 4.5
small classes, 1.6
starting date, 4.6.1, 4.6.2
statute of limitations, effect, 4.6.1
subclasses, see SUBCLASSES
suitability of claim, 1.7.7.1
time periods, 4.6
transactional facts, 4.3
uninjured persons, inclusion, 4.4.2
CLASS DISCOVERY
see DISCOVERY
CLASS FUND
see also CLASS BENEFITS
attorney fee awards from, 19.3
choice of law, 19.3.2
competing methods, 14.10.3, 19.3.3
computation, generally, 19.3.1
costs, deduction first, 19.3.5.2.7
entirety of recovery, 14.7.9
generally, 19.1.2, 19.3.1
lodestar method, 19.3.3, 19.3.6
percentage approach, 19.3.3, 19.3.4, 19.3.5
sample agreement, Appx. E.1
settlement negotiations, 14.10.1
tax consequences, 19.6
deposits by defendant, 16.6.1
distribution, 16.6
cy pres distributions, 14.9
deposit of funds, 16.6.1
final distribution list, 16.6.3
payments to class members, 16.6.4
plan, formulating, 16.1
settlement agreements, 14.7.6
taxation, 16.6.2.5
undeliverable checks, 16.6.5
individual recovery alternative, 14.7.4
installment payments, 16.6.1
interest income, 16.6.1
investing, 16.6.1
limited funds, 10.4.1, 10.4.3
lump sum payments, 14.7.4, 14.10.2
payment into, 14.7.4, 16.6.1
qualified settlement fund, see QUALIFIED SETTLEMENT FUNDS
reversion to defendant, 14.7.6
settlement administrators, use, 14.7.6, 14.7.8
tax consequences, 16.6.2
unclaimed funds, 14.7.6, 16.6.5
attorney fee awards, 19.3.5.2.6
cy pres provisions, 14.9.2
value, establishing, 19.3.5.2
cancellation of debt, 19.3.5.2.4
coupons, 19.3.5.2.3
equitable relief, 19.3.5.2.5
in-kind services, 19.3.5.2.2
interest, 19.3.5.2.8
CLASS LIST
see also CLASS MEMBERS; NUMEROSITY
assembling, 8.1.8.3, 13.5.1
compilation by defendant, 8.1.8.3, 13.5.1, 13.7.2
cost burden, 13.7
discovery relating to, 8.1.8.3
cost burden, 8.8.3, 13.7.2
final list for distribution, 16.6.3
identification number list, 13.5.1, 16.2
identifying class members, 8.1.8.3, 13.6.3
mailings to, see CLASS MAILINGS
maintaining, 16.2
size, see CLASS SIZE
sublists, 16.2
updating addresses, 13.5.2, 16.6.5
CLASS MAILINGS
see also CLASS LIST; CLASS NOTICE
address updating, 13.5.2, 13.5.3
burden of cost, 13.7, 16.1
claims administrator, use, 13.6.2, 16.2
electronic mailings, 13.6.4
envelope, format, 13.5.3
return envelope, 13.5.4
first class mail, 13.6.1, 13.6.2
publication in addition, 13.6.3
recording responses, 16.2
return address, selecting, 13.5.4
time limits, 13.2, 13.6.2
CLASS MEMBERS
see also CLASS DEFINITION
absent class members, see ABSENT CLASS MEMBERS
ascertainability, 4.2, 14.9.2
claim forms, 13.4.2, 14.7.2.2
deadlines, 13.2
processing, 16.2
collateral estoppel, 18.2.2
common issues, see COMMONALITY
communication regarding objections and opt-outs, 15.5.7
communication with defendant, 6.4
allowable contact, 6.4.2
non-communication orders, 6.4.2
post-certification, 6.4.4
potential problems, 6.4.1
pre-certification, 6.4.3
contacting by plaintiff, 6.4.2, 8.1.8.3
counterclaims against, 7.7, 17.6
coupons, value to, 14.8.2, 14.8.3
cy pres recipients, relationship, 14.9.3
deadlines, 13.2, 13.6.2, 15.1.4
death, payment to estate, 14.7.6
discovery by defendant, 8.4.3
distribution of benefits to, 14.7.6
diversity jurisdiction
amount in controversy, 2.3.3.1, 2.4.2.4
citizenship, 2.3.2, 2.4.2.3, 2.4.3.3.2
due process rights, 13.2, 18.1.3.1
duty owed by class counsel to, 14.1
claims released, 14.7.10.1
class notice, 13.3.2
duty owed by named plaintiff to, 7.3.1
files, see RECORDS
identifiability, 4.2
identification numbers, see IDENTIFICATION NUMBERS
identifying, see CLASS LIST
individual claims not litigated, 18.1.4, 18.1.5
individual damages, determination, 17.4.6
injury, requirement, 4.4
intervention rights, 10.3.4.8, 15.5.9.2
joinder as alternative to certification, 1.6, 10.3.1
list of, see CLASS LIST
locating
discovery, 8.1.8.3
inability to locate, 13.6.3
investigators, use, 13.6.3
media publication, 8.1.8.3, 13.6.3
percentage typically located, 14.7.4
reasonable effort, 13.2, 13.6.3
skip tracing, 13.5.2, 13.6.3, 14.7.8
updating addresses, 13.5.2
mailings to, see CLASS MAILINGS
notice, see CLASS NOTICE
numerosity, see NUMEROSITY
opt-outs, see OPT-OUTS
potential members, contacting, 6.4.2
preliminary actions to protect, Ch. 6
proof of liability through, 17.3.3
releases, 14.7.10
generally, 14.7.10.1
NACA guidelines, 14.7.10.2
representative, see CLASS REPRESENTATIVE
reprocessing standard, 17.4.6.3
res judicata, 18.1
responses, recording, 16.2
settlement objections
appeal rights, 15.5.9.2, 15.5.13.1
attorney fees, 15.5.12
intervention rights, 15.5.9.2
legal advice, 15.5.5, 15.5.6, 15.5.7
notice of rights, 13.3.2
opting-out, 15.5.10
peculiar concerns, 15.5.10
procedures, 15.5.9
right to make, 15.5.1, 15.5.3, 15.5.4
subclasses, see SUBCLASSES
surveys, 8.1.8.2.3
tax consequences, 14.7.3
attorney fees, 19.6
telephone inquiries, 16.3
typicality 9.5
unique defenses, effect, 10.3.3.3
CLASS MOTION
see also CLASS CERTIFICATION
burden of proof, 10.1
deposition testimony, using, 9.6
drafting the motion, 11.1.3
avoiding overbroad res judicata, 18.1.6
filing, time, 6.2, 11.1.1
form, 11.1.3
hearings, 11.1.4
merits of case, relevance, 10.2
motion for summary judgment, timing, 11.1.5
motion to dismiss
prior to certification motion, 11.1.5
prior to discovery, 8.2.3
named plaintiff, copy to, 9.2, 9.4.2
offers of judgment prior to, 7.3.2.4, 11.1.1
offers of judgment subsequent to, 7.3.2.5
preliminary motions, see PRELIMINARY CLASS MOTIONS
ruling on, time, 11.1.1
serving with complaint, 5.7
statute of limitations and, 11.1.2
stipulation to certification, 11.2
supporting memoranda, see CLASS BRIEFS
survey evidence, 8.1.8.2.3
CLASS NOTICE
see also CLASS LIST; CLASS MAILINGS
absent class members, 13.1.7
adequate notice, 13.2, 18.1.3.1
administrative aspects, 16.2–16.5
avoiding overbroad res judicata, 18.1.6
best practices, 13.3.2
form and style, 13.4.1
mailing, 13.6.2
certification under 23(b)(1) or (2), Rule 23(c)(2)(A), 13.1.5
appropriate notice, 10.1, 13.1.5
discretionary, 13.1.5
monetary damages sought, 10.5.3.1, 10.5.4.2
certification under 23(b)(3), Rule 23(c)(2)(B), 13.1.2
best notice practicable, 13.1.2, 13.6.2
combined notice, 13.1.4
content, 13.3, 13.4.1
mailing, 13.6.2
mandatory, 13.1.2
publication, 13.6.3
claim form, inclusion, 13.4.2
class member protection, Rule 23(d)(1)(B), 13.1.6
combined notice of certification and settlement, 13.1.4
common questions, anticipating, 13.3.3
content, 13.3
cost burden, 13.7
combined notice, 13.1.4
initial cost, 13.7.1
recovery of costs, 13.7.1
Rule 23(c) notice, 13.6.2, 13.7.1
Rule 23(d) notice, 13.1.6
Rule 23(e) notice, 13.7.2
shifting, 13.7.2
deadlines in, 13.2, 15.1.4
discretionary notices, 13.1.1, 13.1.5, 13.1.6
due process requirements, 13.2, 18.1.3.1
electronic notice, 13.6.4
envelope, 13.5.3
return envelope, 13.5.4
exclusion request rights, 13.1.2
fair conduct, Rule 23(d)(1)(B), 13.1.6
form and style, 13.4
mailing the notice, see CLASS MAILINGS
mandatory notices, 13.1.1, 13.1.2, 13.1.3
methods of notice, 13.6
motion for summary judgment, effect, 7.6
multistate actions, cost considerations, 4.7.2
NACA guidelines, 13.3.2, 13.4.1, Appx. D
postjudgment notice, Rule 23(d)(1)(B), 13.1.6
publication, 13.1.2, 13.6.3
web publication, 13.6.4
res judicata warning, 18.1.3.1, 18.1.6
responses, recording, 16.2
settlement, Rule 23(e)(1), 13.1.3, 15.1.3
administrative considerations, 14.7.8
attorney fees disclosure, 19.4.2
claim form, inclusion, 13.4.2
combined notice, 13.1.4
content, 13.3
court approval of notice, 15.1.2
fairness hearing date, 15.4
mandatory, 13.1.3
non-publicity clauses, 14.7.14
publication, 14.7.8
requirements, 3.1.3
Rule 23(b)(2) certifications, 10.5.1
Rule 23(b)(3) certifications, 13.4.2
skip tracing costs, deduction, 14.7.8
specificity as to claims, 18.1.6
telephone inquiries, 16.3
time, 13.2, 13.6.2
translation, 13.4.1
types, 13.1.1
uncertified class, 13.1.7
undeliverable notices, 13.5.2, 13.5.3
web notice, 13.6.4
CLASS REPRESENTATIVE
see also CLASS MEMBERS
ability to pay, 10.3.4.4
adequacy of representation, 9.4.4, 10.3.4, 18.1.2
claims released, 14.7.10.1
demeanor and conduct, 9.3.4
necessary for res judicata, 18.1.2
number of named plaintiffs, 1.9.4
prerequisite to certification, 10.3.4.1
antagonistic interests, 10.3.4.3
attorney fees, tax consequences, 19.6
distribution amongst class, 19.6.6
authorization to represent, 1.9.5
sample agreement, Appx. E.1
burden of costs, 9.5.5, 10.3.4.4
buying-off, 7.3
character, relevance, 10.3.4.5
characteristics, desirable, 1.9.1
claims, typicality, 10.3.3
communication with counsel, 1.9.5
complaint, understanding, 5.8, 9.2, 9.4.2, 10.3.4.6
conflicts of interest, 10.3.4.3
control over litigation, 10.3.4.7
credibility, 10.3.4.5
deposition, see under DEPOSITIONS
duty to class, 7.3.1
acknowledgment of duty, 1.9.5, 7.3.1, Appx. E.2
federal diversity jurisdiction
common fund exception, 2.3.3.3
computing monetary amount, 2.3.3.4
qualifications, 2.3.3.1
financial responsibility, 9.5.5, 10.3.4.4
history of representation, discovery preparation, 9.4.3
incentive awards, 14.7.7
individual settlement, 1.9.2, 7.3, 14.2.1, 14.7.7
notice to uncertified class, 13.1.7
information sheet, 1.9.5
injury requirement, 4.4.1, 10.3.3.2.2
mental illness, 10.3.4.5
mootness of claim, 7.3, 11.1.1, 12.4
multiple defendants, standing to sue, 1.9.3
multiple representatives, 1.9.4
multiple claims, 4.6.1
offers of judgment, 7.3.2
individual offer, 7.3.2.4
“picking-off,” 7.3
pleadings, familiarity with, 9.2, 9.4.2, 10.3.4.6
preservation duties, 8.1.4.1, 8.1.4.3
proof of damages through, 17.4.3
proof of liability through, 17.3.2
release of claims, 14.7.10.1
reliability, 1.9.1
relief sought, typicality, 10.3.3.4
representativeness, see REPRESENTATIVENESS
retainer agreement, Appx. E.1
sample agreements, Appx. E
settlement negotiations
additional recovery, 14.7.7
expenses, reimbursement, 14.7.9
individual settlements, 7.3, 14.2.1
“pick off” offers, 7.3.2
pre-certification, 7.3.1, 13.1.7, 14.2.1
pre-filing, 1.9.2
similar interests, 10.3.3, 10.3.4.3
standing, 1.9.3, 4.4.1, 10.3.3.2
subclasses, 4.8, 10.3.3.5, 10.3.4.9
substitution, 10.3.4.8
typicality, 10.3.3
options when problematic, 10.3.3.5
understanding of case, 1.9.5, 5.8, 10.3.4.6
unique defenses, effect, 10.3.3.3
venue considerations, 3.1
CLASS SETTLEMENTS
adequacy of representation, 10.3.4.2
administrative aspects and costs, 14.7.8, Ch. 16
see also CLAIMS ADMINISTRATION
checklist, 14.11
administrators, use, 14.7.6, 14.7.8, 16.1, 16.2
see also CLASS ACTION ADMINISTRATOR
advice to class members, 15.5.5, 15.5.6, 15.5.7
agreement, see STIPULATION OF PROPOSED SETTLEMENT
appeals
appeal bonds, 15.5.13.2
rights, 15.5.9.2, 15.5.13.1
standard of review, 15.5.13.3
attorney fees
approval, 19.4.2
Buckhannon decision, 19.2.2.1
calculation, 14.10.3, 19.3.3
equitable relief, 19.3.5.2.5
lodestar method, use, 19.3.3, 19.3.6
lump sum offers, effect, 14.10.2
negotiating, 14.10, 19.4.1
notice to class, 19.4.2
percentage of recovery, 19.3.3, 19.3.4, 19.3.5
post-settlement work, 14.10.5
“quick pay” provisions, 14.10.4
right to, 19.2.2
scrip settlements, 14.8.4, 19.3.4, 19.3.5.2.3, 19.3.5.2.5
separate negotiation of fees, 14.10.1
state court actions, 19.2.2.2
statutory fees, 19.2
tax consequences, 19.6
“attorney shopping” by defendant, 14.4
“blow” provisions, 14.7.12, 16.5
certification for purposes of, 11.2, 11.3
claim forms, 13.4.2, 14.7.2.2, 16.2
class benefits, individual v. fund recoveries, 14.7.4
communications restrictions, 15.5.7
confidentiality clauses, 14.7.13
consent decrees, 19.2.2
coupon settlements, see SCRIP SETTLEMENTS
court approval, 15
appeal of decision, 15.5.9.2, 15.5.13
coupon settlements, 14.8.1
evaluation of objections, 15.5.10
fairness test, 14.2.2, 15.2, 15.4
final approval motion, 15.3
guiding principle, 14.1
individual settlements, 7.3.1, 14.2.1
notice, 15.1.3
overview of process, 15.1.1
partial settlements, 14.3
pre-certification, 14.2.2
preliminary approval, 14.2.2, 15.1.2
settlement notice, 15.1.2
standard for approval, 15.2
test, 15.1.1
time, 14.7.15
cy pres distributions, 14.9
checklist, 14.9.7
designation of recipients, 14.9.4
distribution of benefits, 14.7.6, 14.9, 16.1
drafting, see STIPULATION OF PROPOSED SETTLEMENT
expenses, reimbursement, 14.7.9
fair, reasonable, and adequate, 15.1.1
fairness hearing, 15.4
fluid recovery, 14.9.1
forms of relief, 14.7.2.1
fund, see CLASS FUND
future representation, 14.7.13
geographic discrimination, 14.7.5
guiding principles, 14.1
incentive awards, 14.7.7
individual settlements, restrictions, 7.3.1, 14.2.1
installment payments, 16.6.1
intervening change in law, 14.5
intervention by objectors, 15.5.9.2
multiple defendants, 14.3
NACA guidelines, Appx. D
notice to interested groups, 14.4
releases, 14.7.10.2
scrip settlements, 14.8.1, 14.8.3
named plaintiff
additional to class recovery, 14.7.7
restrictions, 7.3.1, 14.2.1
negotiations, timing, 14.2.2, 14.7.1
non-monetary benefits, see SCRIP SETTLEMENTS
non-publicity or non-comment clauses, 14.7.14
non-representation agreements, 14.7.13
notice
class members, 13.1.3, 15.1.3, see also CLASS NOTICE
government officials, 14.7.15, 18.1.3.1
interested persons, 14.4
websites, 13.6.4
objections to settlement, 15.5
see also OBJECTIONS TO SETTLEMENT
appeals by objectors, 15.5.13
attorney fees for objectors, 15.5.12
class members, 15.5.1, 15.5.3, 15.5.4
court evaluation, 15.2, 15.5.10
grounds, 15.5.8
legal advice, 15.5.5, 15.5.6, 15.5.7
non-class members, 15.5.3
non-settling defendants, 15.5.2
notice of rights, 13.3.2
procedure, 15.5.9
withdrawal, 15.5.11
offers of judgment, 7.3.2.1
opt-out of settlement, 15.5
“blow” provisions, 14.7.12, 16.5
representation of opt-outs, 14.7.13
second right to opt out, 14.7.11
partial settlements, 14.3
potential other claims, 14.7.10.2, 14.7.10.3
poverty plea by defendant, 14.6
pre-certification
class-wide settlements, 14.2.2
individual settlements, 7.3, 13.1.7, 14.2.1
notice to uncertified class, 13.1.7
preliminary approval, 14.2.2, 15.1.2
programmatic relief, 14.7.2.1
related class actions pending, 14.4
release of claims, see RELEASES
“reverse auctions,” 1.7.7, 14.4
reverter clauses, 14.7.6
review of offers prior to deposition, 9.4.4
Rule 23(e), 14.1
scrip settlements, see SCRIP SETTLEMENTS
settlement fund, see CLASS FUND
stipulation to certification, 11.2, 11.3
stipulation to settlement, see STIPULATION OF PROPOSED SETTLEMENT
tax implications, 14.7.3
see also TAX CONSEQUENCES
allocation between taxable and non-taxable, 14.7.3.3
damages, 14.7.3.4
debt forgiveness, 14.7.3.5
Form 1099-C, 14.7.3.5.6
general rule, 14.7.3.2
tenders of judgment, 7.3.2.1
terms, 14.7
websites, 16.4
CLASS SIZE
see also CLASS LIST; NUMEROSITY
CAFA, application, 2.4.2.2
discovery to ascertain, 8.1.8.3
exact size, necessity of proof, 10.3.1
limiting, 4.5
CLASS TRIALS
see TRIALS
CLASS-WIDE ARBITRATION
see also ARBITRATION CLAUSES
contractual bans on, 1.7.2.3
submitting disputes to, 1.7.2.3
CO-COUNSEL
see also CLASS COUNSEL
advantages and disadvantages, 1.5
attorney fees, division among, 19.5
disclosure to court, 19.5.2
working agreement, 1.5
sample agreement, Appx. E.3
COLLATERAL ACTIONS
see COUNTERCLAIMS
COLLATERAL ESTOPPEL
class action context, 18.2
class defendant, 18.2.3
class members, 18.2.2
denial of certification, effect, 11.4, 18.2.2
generally, 18.2.1
offensive use, 18.2.3
res judicata distinguished, 18.1.1, 18.2.1
COMMON FUND DOCTRINE
see also CLASS FUND
attorney fees, 19.1.2, 19.3
COMMON QUESTIONS
see COMMONALITY; PREDOMINANCE OF COMMON QUESTIONS
COMMONALITY
see also PREDOMINANCE OF COMMON QUESTIONS
discovery directed at, 8.1.8.5
establishing, 10.3.2
prerequisite to certification, 1.7.7.2, 10.3.2
reliance, issue of, 1.7.7.2, 10.6.3.3
Rule 23(b)(2) certifications, 10.5.2.1
COMMUNICATION
attorneys not involved in suit with class members, 15.5.7
defendant with class members, 6.4
allowable communication, 6.4.2
post-certification, 6.4.4
potential problems, 6.4.1
pre-certification, 6.4.3
non-communication orders, 6.4.2
plaintiff with putative class members, 6.4.2
privileged communications, see ATTORNEY-CLIENT PRIVILEGE
COMPLAINTS
see CLASS COMPLAINT
CONFIDENTIALITY
see also ATTORNEY-CLIENT PRIVILEGE
class lists, 13.5.1
information obtained during litigation
discovery, 8.1.1
use in subsequent litigation, 14.7.13
non-publicity clauses, 14.7.14
protective orders, see PROTECTIVE ORDERS
settlement agreements, 13.1.7
CONFLICT OF LAWS
see CHOICE OF LAW
CONSENT DECREES
attorney fees, 19.2.2
Buckhannon decision, 19.2.2.1
what constitutes, 19.2.2.1
CONSUMER CLASS ACTION GUIDELINES (NACA)
see NACA CONSUMER CLASS ACTION GUIDELINES
CONSUMER LEASING CLASS ACTIONS
see also CLASS ACTIONS
predominance of common questions, 10.6.3.4
CONSUMER PROTECTION
class actions, need for, 1.2
CONSUMER REPORTING AGENCIES
class members, using to locate, 13.5.2
CONTENTION INTERROGATORIES
harassment, 8.4.1
CONTRACT CLAIMS
standard forms, predominance issues, 10.6.3.2
CONTRACT DEFENSES
choice-of-law provisions, 7.4.2
class action ban, 7.4.2
motion to dismiss based on, 7.4.2
COPYCAT CLASS ACTIONS
collateral estoppel, 11.4
enjoining, 7.8
federal court filing to avoid, 2.1
tolling of statute of limitations, 1.7.6, 11.1.2
CORPORATE DEFENDANTS
see also DEFENDANTS
citizenship, 2.3.2, 2.4.2.3
employees, see EMPLOYEES
residence, 3.2
shareholder derivative suits, 2.4.3.2
venue, 3.2
COSTS
see ATTORNEY FEES AND COSTS; BURDEN OF COST
COUNTERCLAIMS
class members, against
generally, 7.7
manageability requirement, effect on, 10.6.3.7
predominance requirement, effect on, 10.6.3.7
superiority requirement, effect on, 10.6.2.2
trial of, 17.6
COUPONS
cy pres distributions, 14.9.6
definition, 14.8.1
gift cards, status, 14.8.1
settlements involving, see SCRIP SETTLEMENTS
value
attorney fees based on, 14.8.4, 14.9.6, 19.3.5.2.3
comparison to claims released, 14.8.1
redemption likelihood, 14.8.2
value if redeemed, 14.8.3
CREDIT REPORTS
addresses, obtaining from, 13.5.2
CY PRES DISTRIBUTIONS
see also CLASS BENEFITS
appropriateness, 10.6.2.3, 14.9.1
attorney fees, 14.9.6
circumstances, 14.9.1, 14.9.2
coupons, 14.9.6
monitoring, compensation, 14.9.5
NACA guidelines, Appx. D
negotiating, 14.9.4
recipients
relationship to class, 14.9.3
responsibilities, 14.9.5
selecting, procedure, 14.9.4
settlement approval, checklist, 14.9.7
small individual damages, 10.6.2.3
standard settlement provision, as, 14.9.2
undistributed funds, 14.9.2
valuation, 14.9.6
DAMAGES
see CLASS DAMAGES
DEBT CANCELLATION
attorney fee calculations, 19.3.5.2.4
tax consequences, 14.7.3.5
bankruptcy exception, 14.7.3.5.2
disputed debts, 14.7.3.5.4
Form 1099-C, 14.7.3.5.6
general rule, 14.7.3.5.1
insolvency exception, 14.7.3.5.3
operation of law, 14.7.3.5.5
DECEPTION
see FRAUD CLAIMS; UDAP CLASS ACTIONS
DECERTIFICATION
copycat actions after, 7.8
grounds, 11.5
motions, 10.8
DECLARATORY RELIEF
see also EQUITABLE RELIEF
class certification under Rule 23(b)(2), 10.5.2
corresponding declaratory relief, 10.5.2.4
DEFENDANTS
see also DEFENSE TACTICS
affirmative defenses, 10.6.3.7
CAFA exceptions
shareholder derivative suits, 2.4.3.2
state officials, 2.4.3.1
cessation of unlawful conduct, 7.5
change in practices, 7.5
citizenship, 2.3.2
class list, compilation, 8.1.8.3, 13.5.1
collateral estoppel, 18.2.3
communication with class members, 6.4
non-communication orders, 6.4.2
“pick off” offers, 7.3
post-certification, 6.4.4
potential problems, 6.4.1
pre-certification, 6.4.3
corporate defendants, see CORPORATE DEFENDANTS
coupon settlements, 14.8
cy pres recipients, influence, 14.9.4
deposition of agents, 8.1.8.5
use at trial, 17.3.4
discovery by, 8.4
document preservation, duties, 6.3.5, 8.1.4
litigation hold, 8.1.4.2
insurance coverage, 1.7.7.5, 1.8.3
investigating
before filing, 1.8.1
evaluating information, 1.8.3
techniques, 1.8.2
multiple defendants
settling with some, 14.3
standing to sue, 1.9.3
venue, 3.4
notice costs, shifting to, 13.7.2
payment, receiving from, 16.6.1
poverty plea, 14.6
pre-suit notification, 5.7
“primary defendants,” 2.4.3.1, 2.4.3.3.4
proof of liability through, 17.3.4
public companies, 1.8.2
recordkeeping system, 8.1.9
records, see RECORDS
release of claims, 14.7.10
res judicata, 1.7.3, 18.1
selecting, 1.8
settlement
see also CLASS SETTLEMENTS
multiple defendants, 14.3
named plaintiff, 7.3
objections by non-settling defendants, 15.5.2
poverty plea, effect on negotiations, 14.6
“significant defendants,” 2.4.3.3.3
unclaimed funds, reversion, 14.7.6
cy pres alternative, 14.9.2
venue
residency basis, 3.1, 3.7, 3.2
waiver of defenses, 3.7
witness as trial, 17.3.4
DEFENSE TACTICS
see also DEFENDANTS
adequacy of representation, attacking, 9.1, 9.4.4, 10.3.4.3
affirmative defenses, 10.6.3.7
aggressiveness, 1.8.3
answer to complaint, 5.10
arbitration clauses, 1.7.2, 7.1
“attorney shopping,” 14.4
communication with class members, 6.4
copycat actions, enjoining, 7.8
counterclaims against class members, 7.7, 10.6.2.2, 10.6.3.7
delaying tactics, 7.1, 7.2, 8.2
discovery tactics, 8.2, 8.4
attorney-client privileged information, 8.4.1
bifurcating discovery, 8.2.2
class members, 8.4.3
class representative, 9.1
document access, limiting, 8.2.5
harassing tactics, 8.4.1, 9.1
motion to stay discovery, 8.2.3
protective order, 8.2.4
document destruction, 6.3
document production, limiting, 8.2.5
individual settlement attempts, 7.3, 14.2.1
insurance coverage defense, 1.7.7.5
jurisdictional maneuvers, 2.6, 7.1
limitations issues, 7.1
mooting of claim, 7.3, 11.1.1
motion for protective order, 6.3.5, 8.2.4
motion for summary judgment, 7.6, 11.1.5
motion to dismiss, 7.4, 11.1.5
motion to redefine class, 7.5
motion to stay discovery, 8.2.3
offers of judgment, 7.3.2
overview, 7.1
predominance, arguments against, 10.6.3.1
removal of state court actions, see REMOVAL OF STATE COURT ACTIONS
requests for admissions, refusal, 8.1.10
“reverse auction,” 1.7.7, 14.4
DEFINITION OF CLASS
see CLASS DEFINITION
DEFINITIONS
claim splitting, 1.7.8.3, 5.6.2
class action, 2.4.2.1, 2.4.4.4
coupon, 14.8.1
custodian, 8.1.6
key players, 8.1.6
mass action, 2.4.4.3, 2.4.4.4
qualified settlement fund, 16.6.2.2
unlawful discrimination, 19.6.5.2
DEMAND LETTERS
pre-suit notification, 5.7
DEPOSITIONS
see also DISCOVERY
defendant’s employees, 8.1.8.5
IT persons, 11.1.4
use at certification hearing, 11.1.4
use at trial, 17.3.4
length of depositions, 9.1
named plaintiff, 8.4.2, Ch. 9
advice on answering questions, 9.3.2
attorney-client privilege, 9.5.2, 9.5.3
background questions, 9.4.1
certification hearing, using at, 9.6
class issues, review prior to, 9.4.2, 9.4.4, 10.3.4.6
complaint, review prior to, 9.2, 9.4.2
defense tactic, 9.1
demeanor and conduct, 9.3.4
financial circumstances, 9.5.5
informing of the process, 9.3.1
instructions not to answer, 9.5.1
limiting, 9.1
mock depositions, 9.4.5
objections to questions, 9.3.3, 9.4.4, 9.5
preparation for, generally, 9.2
preparation for specific questions, 9.4
privileged communications, 9.5.2, 9.5.3
procedural preparation, 9.3
protective orders, 9.5.1
questions challenging adequacy of representation, 9.4.2, 9.4.4
questions regarding counsel’s representation, 9.4.3, 9.5.3
questions regarding financial ability, 9.5.5
questions that are vague or repetitive, 9.5.4
settlement offers, review prior to, 9.4.4
tactical decisions, 9.5.6
typical questions and answers, 9.4.4
what to bring, 9.2, 9.3.1
protective orders
defendant’s motion, 8.2.4
plaintiff’s motion, 9.5.1
subsequent deposition, 8.1.8.5
DISBURSEMENTS
see ATTORNEY FEES AND COSTS
DISCOVERY
adequacy of class representation, 9.4.4, 10.3.4.4
bifurcating between class and merits, 8.2.2
certification directed, 8.1.8
challenges, 1.3.1
class list, compilation, 8.1.8.3
class members, 8.4.3
class representative, see DEPOSITIONS, named plaintiff
commonality directed, 8.1.8.5
compelling, 8.3
confidentiality of information obtained, 8.1.1, 14.7.13
contention interrogatories, 8.4.1
defendant’s discovery, 8.4, Ch. 9
defendant’s recordkeeping system, 8.1.9
delaying tactics, 8.2, 8.4.3
depositions, see DEPOSITIONS
discovery conferences, 8.1.3, 9.4
discovery plan, 6.2, 8.1.1, 8.1.3
electronically stored information, 8.1.2, 8.1.3
document requests, see DOCUMENT REQUESTS
early initiation, 6.2, 7.6, 8.1.1
electronically stored information, 6.3.4, 8.1.2
form of production, 8.1.7
Rule 26(f) conference, 8.1.3, 8.1.5
scope of requests, 8.1.5
search terms and custodians, 8.1.6, 11.1.4
stipulations, 8.1.3
fee agreement, 8.4.4, 9.4.3
finances of named plaintiff, 10.3.4.4
form of production, 8.1.7
harassment tactics by defendant, 8.4.1, 9.1
history of legal representation, 9.4.3
individual issues, standardized discovery, 17.4.6.2
informal discovery
public disclosure requests, 8.1.12
surveys, 8.1.8.2.3
interrogatories, see INTERROGATORIES
motion for summary judgment, effect, 7.6
motion to compel, 8.3
motion to dismiss prior to, 6.2, 8.2.3
motion to stay, defense tactics, 8.2.3
numerosity directed, 8.1.8.4
objector’s right to, 15.5.9.3
obstacles to access, 8.2.5
plaintiff’s discovery, 8.1
resistance by defendant, 8.2
pre-certification, 8.1.1, 8.1.8
common issues, 8.1.8.5
identifying class members, 8.1.8.3
motion to compel, 8.3
need for, 6.3.3, 8.1.8.2
numerosity directed, 8.1.8.4
requests for admissions, 8.1.10
right to, 6.2, 8.1.8.1
termination of depositions, 8.1.8.5
time schedule and plan, 8.1.1
use at certification hearing, 11.1.4
preservation of documents, 6.3.3, 8.1.3
privileged communications, 8.4.1, 9.5.2, 9.5.3
protective orders
defendant’s motion, 8.2.4
plaintiff’s motion, 9.5.1
requests for admissions, effective use, 8.1.10
requests for production, see DOCUMENT REQUESTS
Rule 26(f) conference, 8.1.3
importance of ESI issues, 8.1.3, 8.1.5
sampling of documents, production, 8.2.5
schedule, 8.1.1
serving with complaint, 5.7
settlement negotiations, right to, 15.5
standard form documents, challenges, 8.1.8.5
stipulations, 8.1.3
third parties, 8.1.11
DISGORGEMENT
federal diversity jurisdiction calculations, 2.3.3.8
DISTRIBUTION OF FUND
see CLASS FUND, distribution
DIVERSITY JURISDICTION
see also FEDERAL COURT ACTIONS; JURISDICTION
attorney fee awards, choice of law, 19.3.2
avoiding, 2.6
burden of proof, 2.5
amount in controversy, 2.5.1
exceptions to CAFA removal, 2.5.3
removal jurisdiction, 2.5.2
CAFA applicable, 2.4
amount in controversy, 2.4.2.4, 2.5.1
citizenship of class members, 2.4.2.3
excluded actions, 2.4.3, 2.5.3
expanded jurisdiction, 2.4.2
removal and remand under, 2.4.4
CAFA not applicable, 2.3, 2.4.3
amount in controversy, 2.3.3, 2.5.1
citizenship of class members, 2.3.2, 2.4.3.3.2
common fund exception, 2.3.3.3
computing monetary floor, 2.3.3.4–2.3.3.8
disgorgement claims, 2.3.3.8
equitable relief, 2.3.3.8
monetary floor, class or named plaintiff only, 2.3.3.1
non-aggregation rule, 2.3.3.2
certification denial, effect, 2.4.2.1
class action rules, 2.3, 2.4
declining of jurisdiction
discretionary, 2.4.3.4
mandatory, 2.4.3.3
federal court, general principles, 2.3
supplemental jurisdiction, additional, 2.3.3.1
DOCUMENT REQUESTS
see also DISCOVERY
class list compilation, 8.1.8.3
common questions, relating to, 8.1.8.5
compelling response, 8.3
defense obstacles, 8.2.5
electronically stored information, 8.1.2
form of production, 8.1.7
Rule 26(f) conference, 8.1.3
scope of requests, 8.1.5
search terms and custodians, 8.1.6
immediate requests, 8.1.1
plaintiff’s fee agreement, 8.4.4
public disclosure requests, 8.1.12
request to admit, denial of, after, 8.1.10
Rule 26(f) conference, 8.1.3, 8.1.5
sample requests
standard form document challenges, 8.1.8.5
TILA, 8.1.8.5
VSI insurance case, 8.1.8.5
sampling of documents, 8.2.5
service, timing, 8.1.1
third parties, from, 8.1.11
DOCUMENTS
see also CLASS BRIEFS; EXHIBITS; RECORDS
electronic, see ELECTRONIC NOTICE; ELECTRONICALLY STORED INFORMATION (ESI)
preservation, 6.3, 8.1.4
duty, 6.3.3, 6.3.5, 8.1.4.1
electronic information, 6.3.4, 8.1.4.1
importance of, 6.3.1
litigation hold, 8.1.4.2
motions, 6.3.5, 6.3.6
plaintiff’s duty, 8.1.4.3
post-filing, 6.3.3
pre-filing, 6.3.2
spoliation sanctions, 8.1.4.3
production, see DISCOVERY; DOCUMENT REQUESTS
DUE PROCESS
notice requirements, 13.2, 18.1.3.1
ELECTRONIC NOTICE
see also WEB PUBLICATION
class notice, 13.6.4
ELECTRONIC PAYMENTS
distribution of fund, 16.6.4
ELECTRONICALLY STORED INFORMATION (ESI)
discovery, 6.3.4, 8.1.2
form of production, 8.1.7
Rule 26(f) conference, 8.1.3, 8.1.5
scope of requests, 8.1.5
search terms and custodians, 8.1.6
use at certification hearing, 11.1.4
overview, 6.3.4
preservation, 6.3, 8.1.3, 8.1.4.1
litigation hold, 8.1.4.2
plaintiff’s duty, 8.1.4.3
post-filing, 6.3.3
pre-filing, 6.3.2
specific actions, 6.3.4
spoliation sanctions, 8.1.4.3
E-MAIL NOTICE
see ELECTRONIC NOTICE
EMPLOYEES
deposing, 8.1.8.5
former employees, contacting, 1.8.2
EQUITABLE RELIEF
attorney fee calculations, 19.3.5.2.5
damages in addition
hybrid certifications, 10.5.4.3
Rule 23(b)(2) certifications, 10.5.3
subsequent suits, 18
declaratory relief, see DECLARATORY RELIEF
federal diversity jurisdiction calculations, 2.3.3.8
injunctive relief, see INJUNCTIVE RELIEF
programmatic relief, 14.7.2.1
requests for, considerations, 1.7.7.6
Rule 23(b)(2) certification, 10.5
corresponding declaratory relief, 10.5.2.4
final injunctive relief, 10.5.2.3
general standards, 10.5.2
prerequisite, 10.5.2.1
settlement, forms of relief, 14.7.2.1
ESTATES
class benefits, recovery, 14.7.6
ESTOPPEL
see COLLATERAL ESTOPPEL
EVIDENCE
see also PROOF
affidavit, see AFFIDAVITS
class certification hearing, 11.1.4
documentary, see DOCUMENTS
exhibits, see EXHIBITS
expert, see EXPERT WITNESSES
statistical evidence, 11.1.4
EXCLUSION RIGHTS
see OPT-OUTS
EXHIBITS
see also DOCUMENTS
class complaint, 5.7
EXPENSES
see ATTORNEY FEES AND COSTS; BURDEN OF COST
EXPERT WITNESSES
attorney fee awards, establishing, 19.3.5.1
class certification hearings, 11.1.4
Daubert challenges, 11.1.4
proof of damages, 17.4.3
proof of liability, 17.3.5
survey consultants, 8.1.8.2.3
FAIR CREDIT REPORTING ACT (FCRA)
claims under, class action suitability, 1.7.7.2
federal jurisdiction, 2.2
statutory damages, 1.7.7.4
FAIR DEBT COLLECTION PRACTICES ACT (FDCPA)
class actions under
class definition, example, 4.2
class size, limiting, 4.5
damage caps, 1.7.7.4
federal jurisdiction, 2.2
individual damages differences, effect, 10.6.3.6
multistate actions, 4.7.2
predominance of common questions, 10.6.3.4
small individual recoveries, 10.6.2.3
suitability, 1.7.7.2
FEDERAL COURT ACTIONS
see also CLASS ACTIONS
bankruptcy court, 2.2
CAFA, under, 2.4
exclusions, 2.4.3
expanded jurisdiction, 2.4.2
removal of state court actions, 2.4.4
consolidation, see MULTIDISTRICT LITIGATION
forum selection, 2.1
jurisdiction
avoiding, 2.1, 2.6
burdens of proof, 2.5
CAFA, effect, 2.4.1
declining, 2.4.3.4
denial of certification, effect, 2.4.2.1
diversity jurisdiction, 2.3, 2.4
federal question jurisdiction, 2.2
removal jurisdiction, 2.3, 2.4, 2.5.2
supplemental jurisdiction, 2.2
“mass actions,” 2.4.4.3
multiple claims, 2.2
state court actions remanded to, see REMOVAL OF STATE COURT ACTIONS
state law restrictions, effect, 1.7.4
Shady Grove decision, 1.7.4, 2.1
venue, 2.3.1, 3.1
FEDERAL COURTS JURISDICTION AND VENUE CLARIFICATION ACT
change of venue, 3.6
enactment, 2.3.1, 2.5.1.2
removal of state court actions, procedures, 2.5.2
FEDERAL PREEMPTION
federal court jurisdiction, 2.2
FEDERAL RULES OF CIVIL PROCEDURE
discovery, application, 8.1.1
Rule 23, see RULE OF CIVIL PROCEDURE 23 (FEDERAL)
Rule 26(f) conference, see RULE 26(f) CONFERENCE
FEE AGREEMENT
see under ATTORNEY FEES AND COSTS
FILES
see RECORDS
FLUID RECOVERY
see also CY PRES DISTRIBUTIONS
circumstances, 10.6.2.3, 10.6.2.4, 14.9.1
FORMS
proof of claim forms, see CLAIM FORMS
standard form documents, see STANDARD FORM DOCUMENTS
FORUM SELECTION
considerations, 1.7.5, 2.1
federal court, see FEDERAL COURT ACTIONS
jurisdictional issues, see JURISDICTION
state court, see STATE COURT ACTIONS
unconscionability challenges, 7.4.2
venue, see VENUE
FRAUD CLAIMS
see also CLASS ACTIONS
damages, individual differences, 10.6.3.6
predominance of common questions, 10.6.3.3
reliance issue, 10.6.3.3
class action suitability, 1.7.7.2
FREEDOM OF INFORMATION ACT (FOIA)
document requests, 8.1.12
FUND
see CLASS FUND
GEOGRAPHIC DISCRIMINATION
CAFA prohibition, 14.7.5
GOVERNMENT OFFICIALS
see also STATE OFFICIALS
class settlement notice, 14.7.15, 18.1.3.1
HEALTH INSURANCE CLAIMS
see INSURANCE CLAIMS
HEARINGS
certification hearings, 11.1.4
defendant’s database information, use, 11.1.4
expert evidence, 11.1.4
plaintiff’s deposition testimony, using, 9.6
statistical evidence, 11.1.4
settlement approval, 15.4
trial of action, see TRIALS
HEIRS
recovery of class member’s share, 14.7.6
HOME EQUITY LOANS
predatory lending, releases, drafting, 14.7.10.4
HOMEOWNERS
releases involving, drafting, 14.7.10.4
HYBRID CERTIFICATIONS
availability, 10.1
Rule 23(b)(2) equitable relief and Rule 23(b)(3) damages, 10.5.4.3
IDENTIFICATION NUMBERS
class members, 13.5.1
distribution checks, on, 16.6.4
return envelope, on, 13.5.4
INJUNCTIVE RELIEF
see also EQUITABLE RELIEF
attorney fee awards, 19.3.5.2.5
class certification under Rule 23(b)(2), 10.5.2
final injunctive relief, 10.5.2.3
class settlements, 14.7.2.1
copycat class actions after decertification, 7.8
federal diversity jurisdiction calculations, 2.3.3.8
INJURIES
see also CLASS DAMAGES
class definition, 4.3, 4.4
named plaintiff, 4.4.1, 10.3.3.2.2
physical injury, 14.7.3.4.3
predominance, 10.6.3.6
INSOLVENCY
see also BANKRUPTCY
debt forgiveness, tax consequences, 14.7.3.5.3
INSURANCE CLAIMS
see also INSURANCE COVERAGE
class actions
class definition, example, 4.2
federal diversity jurisdiction, 2.3.2
reprocessing standards, determination, 17.4.6.3
sample interrogatories and requests, 8.1.8.5
INSURANCE COVERAGE
see also INSURANCE CLAIMS
defendant, significance, 1.7.7.5, 1.8.3
INTEREST INCOME
class fund, distribution, 16.6.1
INTERNAL REVENUE SERVICE (IRS)
tax treatments, see TAX CONSEQUENCES
INTERNET
see ELECTRONIC NOTICE; WEB PUBLICATION; WEB RESOURCES
INTERROGATORIES
see also DISCOVERY
contention interrogatories, 8.4.1
defendant’s, 8.4.1
jury interrogatories, 17.5.3
numerosity issues, 8.1.8.4
service, timing, 8.1.1
INTERVENTION RIGHTS
class members, 10.3.4.8
settlement objectors, 15.5.9.2
ISSUE CLASSES
see also CLASS DEFINITION
history of Rule 23(c)(4), 10.7.1
relationship with Rule 23(b)(3), 10.7.2
partial certification means, 10.5.4.5
predominance of common questions, 10.6.3.1, 10.7.2
Wal-Mart decision, impact, 10.7.3
JOINDER
alternative to class action, 1.6
impracticality as prerequisite to class certification, 10.3.1
JUDGMENTS
consent decrees, attorney fees, 19.2.2.1
default judgments, 11.2
postjudgment notice, 13.1.6
res judicata effect, 18.1
see also RES JUDICATA
JUDICIAL PANEL OF MULTIDISTRICT LITIGATION (JPML)
see MULTIDISTRICT LITIGATION
JUDICIAL REVIEW
see APPEALS
JURISDICTION
Article III, 4.4.1, 10.3.3.2.1
mooting, see MOOTNESS
bankruptcy court, 2.2
CAFA provisions, 1.7.5, 2.4
class complaint, pleading, 5.4
counterclaims, 7.7, 10.6.2.2
federal court, 2.2–2.5
avoiding, 2.6
burden of proof, 2.5.2
declining, 2.4.3.4
remand to, see REMOVAL OF STATE COURT ACTIONS
federal diversity jurisdiction, 2.3, 2.4
see also DIVERSITY JURISDICTION
avoiding, 2.6
burdens of proof, 2.5
CAFA, effect on, 2.4.1
prior to CAFA, 2.3
subsequent to CAFA, 2.4
federal question jurisdiction, 2.2
forum selection, 1.7.5, 2.1, 2.4.3.4
maneuvering as defense tactic, 7.1
“mass actions,” 2.4.4.3
parens patriae actions, 2.4.4.4
multistate actions, 4.7
personal jurisdiction, 10.6.2.2
removal of jurisdiction, see REMOVAL OF STATE COURT ACTIONS
state court, 2.1, 2.4.3, 2.6
state enforcement actions, 2.4.4.4
supplemental jurisdiction, 2.2, 2.3.3.1
JURY TRIALS
see also TRIALS
damages trial, 17.2.6
entitlement, 17.2.4
generally, 17.5.1
jury instructions, 17.5.2
litigation plan, 17.2.3
preparing for early, 17.2.2
special interrogatories, 17.5.3
special verdicts, 17.5.3
waiver, 17.2.6
LANGUAGE
class notice, 13.4.1
LEGAL MALPRACTICE
class definition, 4.6.1
Janik decision, 1.7.8.3
multiple claims, failure to raise, 1.7.8.3
LEGAL SERVICES ATTORNEYS
see also ATTORNEYS
fee negotiations, assignments and waivers, 14.10.2
hourly rates, 19.3.6.2
LIABILITY
proof of liability, 17.3
class members, 17.3.3
class representative, 17.3.2
defendant’s representative, 17.3.4
experts, 17.3.5
generally, 17.3.1
trial of issue
bifurcation, 17.2.6
conjunction with damages, 17.2.5
innovative structures, 17.2.7
LIMITATIONS
see STATUTE OF LIMITATIONS; TIME LIMITS
LITIGATION COSTS
see ATTORNEY FEES AND COSTS; BURDEN OF COST
LITIGATION HOLD
preservation of evidence, 8.1.4.2
LITIGATION PLAN
see also CASE MANAGEMENT CONFERENCE
early submission with complaint, 5.7
formal submission, 11.1.3, 17.2.2, 17.2.3
generally, 17.2.3
LOAN FORGIVENESS
see DEBT CANCELLATION
LODESTAR FORMULA
see also ATTORNEY FEES AND COSTS
class actions, use, 14.10.3, 19.3.3, 19.3.6
compensable time, 19.3.6.3
continued importance, 19.3.6.1
deficiencies with approach, 19.3.3
hourly rates, 19.3.6.2
multipliers, 19.3.6.2, 19.3.6.5
non-monetary recoveries, 19.3.4
rejection of, 19.3.3, 19.3.4
time records, 19.3.6.4
MAILING
see CLASS MAILINGS; POSTAL SERVICE
MALPRACTICE
see LEGAL MALPRACTICE
MANAGEABILITY
aggregation of damages, 10.6.2.4
ascertainability distinguished, 4.2, 4.5
choice-of-law issues, 10.6.2.5
class definition, 4.5
counterclaims, 10.6.2.2, 10.6.3.7
multiple claims, 1.7.8.2
multistate actions, 4.7
Rule 23(b)(3) certifications, 10.6.2
settlement, effect, 11.2, 11.3
subclasses, 4.8
MANAGEMENT PLANS
see CASE MANAGEMENT CONFERENCES; LITIGATION PLANS
MASS ACTIONS
defined, 2.4.4.3, 2.4.4.4
federal court jurisdiction, 2.4.4.3
state enforcement actions, 2.4.4.4
MEET-AND-CONFER CONFERENCE
see RULE 26(f) CONFERENCE
MEMORANDUM
see CLASS BRIEFS
MISREPRESENTATION
see FRAUD CLAIMS; UDAP CLASS ACTIONS
MONETARY RELIEF
see CLASS DAMAGES
MOOTNESS
appeals of certification rulings, 12.4
change in defendant’s practices, 7.5
injunctive relief, 10.5.2.3
manageability issues on settlement, 11.2, 11.3
settlement with named plaintiff, 7.3, 14.2.1
case-mooting tender, 7.3.2.2, 7.3.2.3
effect on class claim, 7.3.1, 11.1.1, 12.4
offers of judgment, 7.3.2, 11.1.1, 12.4
MOTIONS
class certification motion, see CLASS MOTION
class settlement motion, 15.3
fee motion, 19.4.1, 19.4.2
motion to dismiss, see under PRELIMINARY CLASS MOTIONS
motion to strike, see under PRELIMINARY CLASS MOTIONS
preliminary motions, see PRELIMINARY CLASS MOTIONS
reconsideration motions, 11.5
serving with complaint, 5.7
MULTIDISTRICT LITIGATION
see also MULTISTATE CLASS ACTIONS
consolidation of related federal court actions
avoiding, 2.6
choice of law, 10.6.2.5.3
co-counseling, 1.5
coordinating, 1.7.9
forum selection consideration, 2.1
local controversy exception, effect, 2.4.3.3.3
“mass actions,” 2.4.4.3
multistate action alternative, 4.7.2
settlement considerations, 14.4
MULTIPLE ACTIONS
class actions, see MULTIPLE CLASS ACTIONS
“mass actions,” 2.4.4.3
MULTIPLE CLAIMS
see also CLASS ACTIONS
claim splitting, rule against, 1.7.8.3, 5.6.2, 10.3.4.3
class definition, 4.6.1
federal jurisdiction, 2.2
generally, 1.7.8.1
Janik decision, 1.7.8.3
manageability, 1.7.8.2
related class actions, 14.4
risks of omitting claims, 1.7.8.3
statute of limitations, effect, 4.6.1
MULTIPLE CLASS ACTIONS
see also CLASS ACTIONS
competing class actions
co-counseling, 1.5
consolidation, see MULTIDISTRICT LITIGATION
coordination, 1.7.9
settlement considerations, 14.4
multistate actions, 4.7.2
MULTIPLE DAMAGES
see CLASS DAMAGES; STATUTORY DAMAGES
MULTIPLE DEFENDANTS
see also DEFENDANTS
settling with some, 14.3
standing to sue, 1.9.3
venue, 3.4
MULTISTATE CLASS ACTIONS
see also CLASS ACTIONS; MULTIDISTRICT LITIGATION
adequacy of notice, 18.1.3
adequacy of representation, 18.1.2
advantages, 4.7.2
applicable law, 10.6.2.5.1, 10.6.2.5.3
attorney fees, 18.2.1
class definition, 4.7
disadvantages, 4.7.2, 10.6.2.5.1
forum selection, 2.1, 2.3.2
manageability of choice-of-law issues, 10.6.2.5
predominance issues, 10.6.3.1
release of claims, 14.7.10.1
res judicata effect, 18.1.2, 18.1.3
strategic and tactical considerations, 4.7.2
subclasses, 4.8, 10.6.2.5.4
uniform state law, 10.6.2.5.2
venue, Ch. 3
NACA CONSUMER CLASS ACTION GUIDELINES
attorney fee calculations
excessive fees, 19.3.1
non-cash settlements, 19.3.5.2.5
settlement objectors, 15.5.12
attorney fee disclosures, 19.4.2
attorney fee negotiations, 14.10.1
claim forms, use, 14.7.2.2
class notice, 13.3.2, 13.4.1
release of claims, 14.7.10.2
scrip settlements, 14.8.1, 14.8.3
settlement confidentiality, 13.1.7
settlement where multiple class actions, 14.4
text, Appx. D
NAMED PLAINTIFF
see CLASS REPRESENTATIVE
NATIONAL ASSOCIATION OF CONSUMER ADVOCATES (NACA) GUIDELINES
see NACA CONSUMER CLASS ACTION GUIDELINES
NATIONWIDE CLASS ACTIONS
see MULTISTATE CLASS ACTIONS
NON-COMMUNICATION ORDERS
standards, 6.4.2
NON-PUBLICITY CLAUSES
settlement agreements, 14.7.14
NOTICE
class actions, see CLASS NOTICE
pre-suit notice, 5.7
settlement, of
attorney fees, 19.4.2
class, to, see under CLASS NOTICE
government officials, 14.7.15, 18.1.3.1
individual pre-certification settlement, 13.1.7
related class actions, 14.4
uncertified class, to, 13.1.7
NUMEROSITY
see also CLASS CERTIFICATION; CLASS LIST; CLASS SIZE
discovery directed at, 8.1.8.4
exact class size, necessity of proof, 10.3.1
joinder impractical, 10.3.1
limiting class size, 4.5
prerequisite to certification, 10.3.1
subclasses, effect, 4.8
OBJECTIONS TO SETTLEMENT
appeal of settlement by objectors, 15.5.13
appeal bonds, 15.5.13.2
appeal rights, 15.5.9.2, 15.5.13.1
standard of review, 15.5.13.3
attorney advice, 15.5.5, 15.5.6, 15.5.7
attorney fees for objectors, 15.5.12
class counsel in other forum, right to object, 15.5.10
class members
advising of rights, 15.5.5, 15.5.6
any class member, 15.5.1, 15.5.3
must relate to interest, 15.5.4
peculiar concerns, 15.5.10
communications restrictions, 15.5.7
court evaluation, 15.2, 15.5.10
deadlines, 13.2, 15.1.4
discovery by objectors, 15.5.9.3
filing objection, 15.5.9.1
grounds, 15.5.8
intervening in class action, 15.5.9.2
non-class members, 15.5.3
non-settling defendants, 15.5.2
notice of rights, 13.3.2, 15.5.5
opting-out, 15.5.10
claim forms, 13.4.2
withdrawal of objections, 15.5.11
OFFERS OF JUDGMENT
case-mooting tender, 7.3.2.2
insufficient offers, 7.3.2.3, 7.3.2.5
unaccepted offers, 7.3.2.1, 7.3.2.4.1
generally, 7.3.2.1
individual offer to named plaintiff
after certification denial, 7.3.2.6
post-certification, 7.3.2.5
pre-certification, 7.3.2.4, 11.1.1
motion to strike, 7.3.2.4.2
Rule 68 offers and tender of judgment distinguished, 7.3.2.1
ONE-WAY INTERVENTION
summary judgment, problems with, 11.1.5
OPENING MEMORANDUM
see under CLASS BRIEFS
OPT-OUTS
attorney fees, effect on, 19.6.2, 19.6.3
claim form choice, 13.4.2
collateral estoppel, availability, 18.2.3
deadlines, 13.2, 15.1.4, 16.5
due process rights, 13.2, 18.1.3.1
effect on subsequent claims, 18.1.3.2, 18.2.1
exclusion requests, notice of rights, 13.1.2, 13.3
mandatory class actions, rights, 10.1, 10.5.4.2
obligations, 18.1.3.2
opting back in, 16.5
problems with, 16.5
representing, 14.7.13, 16.5
right to opt out
prerequisite for res judicata, 18.1.3
second right to opt out, 14.7.11
Rule 23(b)(1) certifications, 10.1, 10.4.3
Rule 23(b)(2) certifications, 10.1, 10.5.4.2
settlement objection rights, 15.5.3
settlement, of
advice from attorneys, 15.5.5, 15.5.6, 15.5.7
claim forms, 13.4.2
large number, “blow” provisions, 14.7.12, 16.5
list, compilation, 16.2
notice of rights, 13.3.2, 15.5.5
persons with peculiar concerns, 15.5.10
second right to opt out, 14.7.11
timing, 13.2, 15.1.4
PARTIES
absent class members, status, 7.7, 8.4.3
class complaint, pleading, 5.4
PENDENT JURISDICTION
see SUPPLEMENTAL JURISDICTION
PLAINTIFFS
individual settlement attempts prior to filing, 1.9.2
joinder as alternative to class action, 1.6
named plaintiff, see CLASS REPRESENTATIVE
PLEADINGS
see also CLASS BRIEFS; CLASS COMPLAINT
class allegations, 5.5
general considerations, 5.2
motion to strike, 4.9
NCLC resources, 1.1.5
sample pleadings, 5.12
special considerations, 5.3
special techniques, 5.7
verified pleadings, 5.7
POSTAL SERVICE
address updating, 13.5.2, 13.5.3
mailing of class notice, 13.6.1, 13.6.2
return service, 13.5.3
PRACTICE TIPS
see also RESEARCH AIDS
NCLC resources, 1.1
practice tools, 1.1.5
PREDATORY LENDING
see USURY CLASS ACTIONS
PREDOMINANCE OF COMMON QUESTIONS
see also CLASS CERTIFICATION; COMMONALITY
affirmative defenses, effect, 10.6.3.7
appropriateness of claim, 1.7.7.2
consumer only claims, 10.6.3.4
fraud claims, 10.6.3.3
standard form contracts, 10.6.3.2
warranty claims, 10.6.3.5
counterclaims, effect, 10.6.3.7
defense arguments against, 10.6.3.1
discovery requests, 8.1.8.5
individual questions of damages, 10.6.3.1, 10.6.3.6
issue classes, 10.6.3.1, 10.7.2
prerequisite to 23(b)(3) certification, 10.6.3
reliance issues, 1.7.7.2, 10.6.3.3
standards for predominance, 10.6.3.1
statistical evidence, 11.1.4
representative statistical samples, 11.1.4
validity of plaintiff contentions, 10.2
PRELIMINARY CLASS MOTIONS
see also CLASS MOTION
defendant’s motions, Ch. 7, 11.1.5
discovery, motion to compel, 8.3
discovery, motion to stay, 8.2.3
motion to dismiss, 7.4, 11.1.5
contract based, 7.4.2
discovery pending, 6.2, 8.2.3
generally, 7.4.1
mootness grounds, see MOOTNESS
motion to strike, 7.5
class definition, 4.9, 7.5
offer of judgment, 7.3.2.4.2
non-communication orders, 6.4.2
“one-way intervention,” 11.1.5
plaintiff’s motions, Ch. 6
protective order
defendant’s motion, 8.2.4
document preservation, 6.3.5
plaintiff’s motion, 9.5.1
reconsideration motion, 11.5
redefinition of class, 7.5
summary judgment, 7.6, 11.1.5
PRESERVATION ORDERS
case management order, 6.2
motion for, 6.3.5
arguing the motion, 6.3.6
PRE-TRIAL CONFERENCES
case management conference, see CASE MANAGEMENT CONFERENCE
Rule 26(f) conference, see RULE 26(f) CONFERENCE
PRIVILEGE
see ATTORNEY-CLIENT PRIVILEGE
PRODUCT LIABILITY CLAIMS
class certification, 10.6.3.5
PRODUCTION OF DOCUMENTS
see DISCOVERY; DOCUMENT REQUESTS
PROGRAMMATIC RELIEF
see also EQUITABLE RELIEF
settlement terms, 14.7.2.1
PROOF
see also EVIDENCE
burden of proof, see BURDEN OF PROOF
class-wide damages
aggregate sum, 17.4.4
formula use, 17.4.3
generally, 17.4.1
sampling and extrapolation, 17.4.5
standards of proof, 17.4.2
commonality, 10.3.2
expert proof, see EXPERT WITNESSES
individual damages
generally, 17.4.6.1
individual hearings, 17.4.6.2
reprocessing standard, 17.4.6.3
liability
class members, through, 17.3.3
class representative, through, 17.3.2
defendant, through, 17.3.4
experts, through, 17.3.5
generally, 17.3.1
PROOF OF CLAIM FORM
see CLAIM FORMS
PROTECTIVE ORDERS
class representative, deposition, 9.5.1
contention interrogatory requests, 8.4.1
defendant’s motion, 8.2.4
document preservation, 6.3.5
discovery of confidential information, 8.1.1
PUBLIC COMPANIES
suing, 1.8.2
PUBLIC DISCLOSURE REQUESTS
FOIA and other requests, 8.1.12
PUBLICATION
class notice, 13.6.3
individual notice preferred, 13.1.2
web publication, 13.6.4
non-publicity settlement clauses, 14.7.14
settlement notice, waiver, 14.7.8
PUNITIVE DAMAGES
see also CLASS DAMAGES
federal diversity jurisdiction calculations, 2.3.3.5
QUALIFIED SETTLEMENT FUNDS
see also CLASS FUND
advantages, 16.6.1, 16.6.2.3
background, 16.6.2.1
deduction for transferor, timing, 16.6.2.3
definition, 16.6.2.2
reporting and withholding obligations, 16.6.2.5
taxation scheme, 16.6.2.1, 16.6.2.4
distributions to claimants, 16.6.2.5
QUICK REFERENCE
see RESEARCH AIDS
RECORDS
see also DOCUMENTS
access to documents, 8.2.5
class list, compilation from, 8.1.8.3
defendant’s system, discovery, 8.1.9
destruction by defendant
effect on class, 6.3.1
post-certification, 6.3.3
pre-certification, 6.3.2
preservation order, 6.3.5, 6.3.6
discovery, see DOCUMENT REQUESTS
electronic, see ELECTRONICALLY STORED INFORMATION (ESI)
individual damages, determination using, 17.4.6.4
personal on-site inspection, 8.1.9
preservation of files and documents, 6.3, 8.1.4
case management order, 6.2
defendant’s duty, 6.3.3, 8.1.4.1, 8.1.4.2
electronically stored information, 6.3.4, 8.1.4.1
importance, 6.3.1
litigation hold, 8.1.4.2
plaintiff’s duty, 8.1.4.1, 8.1.4.3
post-filing, 6.3.3
pre-filing, 6.3.2
preservation orders, 6.3.5, 6.3.6
RELEASES
adequacy of representation doctrine, 14.7.10.1
broad releases, 14.7.10.1, 15.5.6, 15.5.8, 18.1.4
future claims, 14.7.10.2, 14.7.10.3
generally, 14.7.10.1
home cases, 14.7.10.4
identical factual predicate doctrine, 14.7.10.1
multistate claims, 14.7.10.1
NACA guidelines, 14.7.10.2, Appx. D
objections by non-class members, 15.5.3
settlement negotiations, 14.7.10.1
specific releases to avoid, 14.7.10.3
unknown claims, 14.7.10.1
RELIANCE
commonality issues, 10.6.3.3
class action suitability, 1.7.7.2
REMANDS
appeals, after, 11.5
federal court, to, see REMOVAL OF STATE COURT ACTIONS
state court, to, 2.4.4.5
attorney fees, 2.4.4.6
REMOVAL OF STATE COURT ACTIONS
amount in controversy
burden of proof, 2.5.1.2
determination of amount, 2.4.2.4
stipulations, 2.6
avoiding, 2.1, 2.6
drafting the complaint, 5.6.1
burdens of proof, 2.5
amount in controversy, 2.5.1.2
exceptions to CAFA, 2.5.3
removal jurisdiction, 2.5.2
CAFA, under, 2.4.4
appeals, 2.4.4.5
burden of proof, 2.5.1.2, 2.5.2
discretionary, 2.4.3.4
exclusions, 2.4.3, 2.5.3
“mass actions,” 2.4.4.3
parens patriae actions, 2.4.4.4
time limits, 2.4.4.2, 2.4.4.5
who can remove, 2.4.4.1
diversity
CAFA applicable, 2.4
CAFA inapplicable, 2.3
Federal Courts Jurisdiction and Venue Clarification Act, 2.5.2
“mass actions,” 2.4.4.3
parens patriae actions, 2.4.4.4
remand to state court after, 2.4.4.5
venue of removed actions, 3.5
wrongful removal, attorney fees, 2.4.4.6
REPLY MEMORANDUM
see under CLASS BRIEFS
REPOSSESSION
revolving schemes, sample class definition, 4.1
REPRESENTATIVENESS
see also CLASS REPRESENTATIVE
adequacy of representation, 10.3.4
ability to pay costs, 10.3.4.4
class counsel, 10.3.4.2
conflicts of interest, 10.3.4.3
control over the litigation, 10.3.4.7
credibility and moral character, 10.3.4.5
understanding of case, 10.3.4.6
prerequisite to certification, 10.3.4
subclasses, 10.3.4.9
substitution of class representatives, 10.3.4.8
REQUESTS FOR ADMISSIONS
effective use, 8.1.10
RES JUDICATA
avoiding overbroad effect, 18.1.6
basic principles, 1.7.8.3, 18.1.1
certification under Rule 23(b)(1) or (2), 10.1
class action judgments, effect, 1.7.3, 18.1
claims not litigated, 1.7.8.3, 5.6.2, 18.1.4, 18.1.5
class members, 18.1.2, 18.1.3.1
different relief, 18.1.4
opt-outs, 18.1.3.2
collateral estoppel distinguished, 18.1.1, 18.2.1
prerequisites
adequate representation, 18.1.2
certified claims, 18.1.5, 18.1.6
opt-out opportunity, 18.1.3.2
proper notice, 18.1.3.1
same cause of action, 18.1.4
RESCISSION
see also EQUITABLE RELIEF
TILA actions, see TILA CLASS ACTIONS
RESEARCH AIDS
see also PRACTICE TIPS
case law, see CASE LAW
class complaint, 5.12
NACA guidelines, see NACA CONSUMER CLASS ACTION GUIDELINES
NCLC resources, 1.1
pleadings, 1.1.5, 5.12
web resources, see WEB RESOURCES
REVERSE AUCTIONS
defense tactic, 1.7.9
settlement offers, 14.4
RICO CLASS ACTIONS
see also CLASS ACTIONS
federal jurisdiction, 2.2
predominance of common questions, 10.6.3.3
suitability, 1.7.7.2
RULE 26(f) CONFERENCE
discovery plan, formulating, 6.2, 8.1.3
electronically stored information, 8.1.5
holding prior to case management conference, 6.2
RULE 68 OFFERS
see OFFERS OF JUDGMENT
RULE OF CIVIL PROCEDURE 23 (FEDERAL)
see also FEDERAL RULES OF CIVIL PROCEDURE
adequacy of representation, 23(a)(4), 10.3.4
advisory committee notes, Appx. A
certification under, generally
hybrid certifications, 10.5.4.3
overview, 10.1
partial certification, 10.5.4.5
preconditions, 10.3
sequential certifications, 10.5.4.4
certification under 23(b)(1), 10.4
comparison with other types, 10.1
“mandatory class,” 10.1, 10.4.2
notice requirements, 13.1.5
Rule 23(b)(1)(A), 10.4.2
Rule 23(b)(1)(B), 10.4.3
certification under 23(b)(2), 10.5
advantages, 10.5.1
available relief, 10.5.1, 10.5.3
comparison with other types, 10.1, 10.5.1
court-ordered notice and opt-out, 10.5.4.2
equitable relief prerequisite, 10.5.2.1
general standards, 10.5.2
hybrid certifications, 10.5.4.3
innovative uses, 10.5.4
“mandatory class,” 10.1, 10.5.2.2
monetary damages, availability, 10.5.1, 10.5.3
notice of settlement, 10.5.1
notice requirements, 13.1.5
partial certification, 10.5.4.5
sequential certification, 10.5.4.4
Wal-Mart decision, impact, 10.5.3.2
certification under 23(b)(3), 10.6
comparison with other types, 10.1, 10.5.1
damages, actions seeking, 10.1
hybrid certifications, 10.5.4.3
issue classes, 10.7.2
manageability, 10.6.2
notice requirements, 13.1.2
sequential certification, 10.5.4.4
superiority, 10.6.2
text of rule, 10.6.1
class motion, filing, time, 11.1.1
class notice under
appropriate notice, 13.1.5
best notice practicable, 13.1.2
best practices, 13.3.2
certification notice, 13.1.2, 13.1.5
class member protection, 13.1.6
combined notice, 13.1.4
content, 13.3.1
fair conduct of action, 13.1.6
postjudgment notice, 13.1.6
settlement notice, 15.1.3
types, 13.1.1
commonality, 23(a)(2), 10.3.2
decertification, 23(c)(1)(c), 11.5
issue classes under 23(c)(4), 10.7
authorization, 10.5.4.5, 10.7.1
history of rule, 10.7.1
predominance issues, 10.6.3.1, 10.7.2
relationship with 23(b)(3), 10.7.2
Wal-Mart decision, impact, 10.7.3
liberal interpretation, 10.1
numerosity, 23(a)(1), 10.3.1
settlement offers, 23(e)
fair, reasonable, and adequate, 15.1.1
individual settlements, 7.3.1, 14.2.1
offers of judgment, application, 7.3.2.1
procedure, 14.1
state variations, 10.1, Appx. C
subclasses under 23(c)(5), 4.8, 10.6.2.5.4
superiority, 23(b)(3), 10.6.2
text, Appx. A
typicality, 23(a)(3), 10.3.3
SAMPLING
class-wide damages, proof by, 10.6.2.4, 17.4.5
SCHEDULING CONFERENCE
see CASE MANAGEMENT CONFERENCE
SCRIP SETTLEMENTS
see also CLASS SETTLEMENTS; COUPONS
attorney fees, 14.8.4, 14.9.6, 19.3.5.2.3
cash payments in addition, 14.8.3
coupon value
attorney fees based on, 14.8.4, 14.9.6, 19.3.5.2.3
comparison to claims released, 14.8.1
redemption likelihood, 14.8.2
value if redeemed, 14.8.3
court approval, 14.8.1
cy pres distributions, 14.9.6
form of relief, 14.7.2.1
NACA guidelines, 14.8.1, 14.8.3
overview, 14.8.1
problems with, 14.8.1
structuring, 14.8.1
transferability, 14.8.2
SETTLEMENT
certification ruling appeal after, 7.3.2.6, 12.4
class action settlement, see CLASS SETTLEMENTS
class counsel, adequacy of representation, 10.3.4.2
individual settlements, 7.3
after certification denial, 7.3.2.6, 12.4, 14.2.1
confidentiality agreements, 13.1.7
court approval, 7.3.1, 7.3.2.1, 14.2.1
named plaintiff, 7.3
notice to uncertified class, 13.1.7
offers of judgment, 7.3.2
pre-certification, 7.3, 13.1.7, 14.2.1
prior to filing, 1.9.2
tax consequences, see TAX CONSEQUENCES
SETTLEMENT ADMINISTRATORS
see CLAIMS ADMINISTRATION; CLASS ACTION ADMINISTRATOR
SETTLEMENT AGREEMENT
see STIPULATION OF PROPOSED SETTLEMENT
SETTLEMENT NOTICE
class actions, see under CLASS NOTICE
individual settlement prior to certification, 13.1.7
SHAREHOLDER DERIVATIVE ACTIONS
CAFA exception, 2.4.3.2
SKIP TRACING
locating class members by, 13.5.2, 13.6.3, 14.7.8
SMALL CLAIMS
class action advantage, 1.2
forum selection, 2.6
STANDARD FORM DOCUMENTS
binding arbitration provisions, 1.7.2
document requests, 8.1.8.5
predominance of common questions, 10.6.3.2
STANDING
Article III standing, 4.4.1, 10.3.3.2.1
named plaintiff, 10.3.3.2
appeal of certification decision, 12.4
injury requirement, 4.4.1, 10.3.3.2.2
multiple defendants, against, 1.9.3, 10.3.3.2.4
similar but different claims, 10.3.3.2.3
parens patriae standing, 2.4.4.4
settlement objections
class members, 15.5.1, 15.5.3, 15.5.4
non-class members, 15.5.3
non-settling defendants, 15.5.2
STATE COURT ACTIONS
see also CLASS ACTIONS
Buckhannon decision, application, 19.2.2.2
federal court jurisdiction
diversity jurisdiction, see DIVERSITY JURISDICTION
supplemental jurisdiction, 2.2, 2.3.3.1
forum selection, 2.1
keeping action in state court, 2.6
close nexus to forum state, 2.4.3.3
judicial discretion, 2.4.3.4
small actions, 2.4.2.2
parens patriae actions, 2.4.4.4
remand of removed actions, 2.4.4.5
attorney fees, 2.4.4.6
removal to federal court, see REMOVAL OF STATE COURT ACTIONS
state court jurisdiction, 2.4.3
STATE LAW
enforcement actions, 2.4.4.4
federal court actions, 2.1, 10.1
effect of state law limitations, 1.7.4
federal preemption, see FEDERAL PREEMPTION
limitations on class actions, 1.7.4
Shady Grove decision, 1.7.4, 2.1
multistate actions, 10.6.2.5
survey of class action law, Appx. C
STATE OFFICIALS
CAFA exception, 2.4.3.1
class settlement notice, 14.7.15, 18.1.3.1
parens patriae standing, 2.4.4.4
STATUTE OF LIMITATIONS
see also TIME LIMITS
class definitions, effect, 4.6.1
defense tactics, 7.1
new class representative, effect, 10.3.4.8
tolling, 1.7.6, 11.1.2
American Pipe doctrine, 1.7.6.2
legal versus equitable tolling, 1.7.6.3, 11.1.2
opt-in class actions, 1.7.6.3, 11.1.2
subsequent class action, 1.7.6
STATUTORY DAMAGES
see also CLASS DAMAGES
annihilating damages, 1.7.7.4, 10.6.2.5.5
attorney fee awards, 19.2, 19.3.6.5
caps, 1.7.7.4
class size, effect on, 4.5
federal diversity jurisdiction calculations, 2.3.3.6
predominance issues, relationship, 10.6.3.1
tax consequences, 14.7.3.4.2
STAY OF PROCEEDINGS
appeal as, 12.2
discovery, motion to stay, 8.2.3
summary judgment, pending certification ruling, 11.1.5
STIPULATION OF CERTIFICATION
see also CLASS CERTIFICATION
circumstances, 11.2
denial of certification, effect, 11.3, 11.4
settlement purposes, 11.2, 11.3
STIPULATION OF PROPOSED SETTLEMENT
see also CLASS SETTLEMENTS
administrative aspects, checklist, 14.11
court approval, 15.1
drafting, 14.12
fair, reasonable, and adequate, 15.1.1
fairness hearing, 15.4
objections, 15.5
rejection, effect on subsequent litigation, 11.3
release of claims, 14.7.10
sample stipulations, 14.12
settlement notice, court approval, 15.1.2
SUBCLASSES
see also CLASS DEFINITION
adequacy of representation, effect, 10.3.4.9
authorization, 4.8, 10.3.4.9
defining class using, 4.8
multistate actions, 10.6.2.5.4
numerosity, 4.8
representative, reexamining, 4.6.3
time periods, use in defining, 4.6.1
SUBPOENA
third-party document requests, 8.1.11
SUMMARY JUDGMENT
see also PRELIMINARY CLASS MOTIONS
cost burden, shifting, 13.5.1, 13.7.2
motion for, 7.6, 11.1.5
SUPERIORITY
see also CLASS CERTIFICATION
Rule 23(b)(3) certifications, 10.6.2
small recoveries, effect, 10.6.2.3
statistical evidence, 11.1.4
SUPPLEMENTAL JURISDICTION
see also JURISDICTION
attorney fee awards, choice of law, 19.3.2
federal court, 2.2, 2.3.3.1
SURVEYS
use to gain certification, 8.1.8.2.3
TAX CONSEQUENCES
attorney fees, 19.6
“civil rights” cases, 19.6.5.2
common fund recoveries, 19.6.3, 19.6.4
contingent fee arrangements, 19.6.1, 19.6.2
non-taxable awards, 19.6.4
opt-out cases, 19.6.3
pro rata distribution, 19.6.6
statutory fee awards, 19.6.5
class fund
qualified settlement funds, 16.6.2
taxation scheme, 16.6.2.1
non-taxable awards, 14.7.3, 19.6.4
settlement considerations, 14.7.3
allocation between taxable and non-taxable portions, 14.7.3.3
taxable forms of relief
damages recovery, 14.7.3.4
debt forgiveness, 14.7.3.5
Form 1099-C, 14.7.3.5.6
general rule, 14.7.3.2
TELEPHONE INQUIRIES
responding to, 13.6.4, 16.3
TENDERS OF JUDGMENT
see OFFERS OF JUDGMENT
TILA CLASS ACTIONS
see also CLASS ACTIONS
claim splitting and, 5.6.2
damage caps, 1.7.7.4
federal jurisdiction, 2.2
individual damages differences, effect, 10.6.3.6
multistate actions, 4.7.2
predominance of common questions, 10.6.3.4
standard form documents, production requests, 8.1.8.5
suitability, 1.7.7.2
TIME LIMITS
see also STATUTE OF LIMITATIONS
claims deadline, 13.2
class definition, 4.6
class notice mailing, 13.2, 13.6.2
removal to federal court, 2.4.4.2
settlement opt-out or objection, 15.1.4
TRANSLATION
class notice, 13.4.1
TRIALS
see also HEARINGS
counterclaims against class members, 17.6
damages
bifurcation, 17.2.6, 17.4.6.2
individual determinations, 17.4.6
liability and, single trial, 17.2.5
proof of damages, 17.4
generally, 17.1
jury trials, see JURY TRIALS
liability
bifurcation, 17.2.6
damages and, single trial, 17.2.5
proof of liability, 17.3
management plan, 17.2.3
formal submission, 11.1.3, 17.2.2, 17.2.3
preparing for early, 17.2.2
proof issues, see PROOF
res judicata effect, Ch. 18
structure of trial, 17.2
innovative structures, 17.2.7
TRUTH IN LENDING (TILA)
see TILA CLASS ACTIONS
TYPICALITY
see also CLASS CERTIFICATION
overview, 10.3.3.1
prerequisite to certification, 10.3.3.1
problems with, 10.3.3.5
relief sought by plaintiff, 10.3.3.4
standing and, 10.3.3.2
unique defenses, 10.3.3.3
UDAP CLASS ACTIONS
see also CLASS ACTIONS
predominance of common questions, 10.6.3.1, 10.6.3.3
suitability, 1.7.7.2
UNCONSCIONABILITY
class action bans, 2.1, 7.4.2
forum selection clauses, 2.1
USURY CLASS ACTIONS
see also CLASS ACTIONS
statutory damages, 1.7.7.4
VENUE
change of venue, 3.6
class complaint, pleading, 5.4
corporate defendants, 3.2
federal court actions, 3.1, 3.6
generally, 2.3.1, 3.1
locus of “substantial events,” 3.3
multiple defendants, 3.4
“pendent venue,” 3.3
removed actions, 3.5
waiver of venue defenses, 3.7
WAIVER
attorney-client privilege, 9.5.2
attorney fees, agreement not to, 14.10.2
class action waivers, 1.7.2, 7.4.2
recovery over federal jurisdictional amount, 2.6
settlement notice, publication, 14.7.8
venue defenses, 3.7
WARRANTY CLAIMS
see also CLASS ACTIONS
class certification, 10.6.3.5
WEB PUBLICATION
see also ELECTRONIC NOTICE
class notice information, 13.6.4
class settlement website, 13.6.4
WEB RESOURCES
address updating, 13.5.2
class action websites, see CLASS ACTION WEBSITES
helpful websites, 1.1.4, Appx. F
NCLC resources, 1.1.2, 1.1.5
WITNESSES
see EXPERT WITNESSES; PROOF