Local Rule LCvR 23: CLASS ACTIONS AND COLLECTIVE ACTIONS

LCvR 23 CLASS ACTIONS AND COLLECTIVE ACTIONS The following procedures will govern class action and collective action proceedings in this district, except as otherwise provided in applicable federal statutes.

A. Class Action Information.

1. The caption of the complaint in any action sought to be maintained as a class action shall include in the legend "Complaint-Class Action."

2. If not included in the Complaint, a statement shall be filed with the Complaint under a separate heading styled "Class Action Statement," which shall contain the following information:

a. the proposed definition of the alleged class; and b. information relating to the class action, including:

i. the size (or approximate size) of the alleged class;

ii. the alleged questions of law or fact claimed to be common to the class;

iii. the basis upon which the claims or defenses of the representative parties are typical of the claims or defenses of the class; and iv. the basis upon which the representative parties will fairly and adequately protect the interests of the class.

B. Initial Disclosures. For any action sought to be maintained as a class action, the initial disclosures provided by all parties pursuant to Fed. R. Civ. P. 26(a)(1) shall include disclosures regarding the class certification allegations and any defenses thereto.

C. Matters to be Addressed at Initial Scheduling Conference (hereafter "Pretrial Conference"). In addition to the requirements of Fed. R. Civ. P. 16, with respect to any case in which class claims are alleged, the parties should be prepared to address the following topics at the Pretrial Conference:

1. the timing of the filing of a motion for class certification;

2. the appointment of interim class counsel;

3. the scope of any discovery, including any discovery of Electronically Stored Information consistent with the provisions of LCvR 26.2, necessary for resolution of any class certification motion;

4. the briefing schedule; and 5. the timing of and plan for any methods for alternative dispute resolution to be utilized.

D. Time and Expense Records. Anyone seeking Court approval for payment for legal services rendered or costs advanced in a class action will maintain contemporaneous time and expense records. Upon request of Lead Class Counsel, time and expense records will be provided to that counsel or its designee on a periodic basis. The Court will inform counsel of any specific requirements that it has regarding record keeping at the Pretrial Conference.

E. Joint Report of the Parties. At least seven (7) days prior to the Pretrial Conference, the parties shall submit a "Joint Report of the Parties and Proposed Scheduling and Discovery Order -- Class Action" setting forth their respective positions on the timing and scope of class certification discovery, the filing of a motion for class certification, and the appointment of class counsel. A form "Joint Report of the Parties and Proposed Scheduling and Discovery Order -- Class Action" is available. See "Appendix LCvR 23.E." This is in lieu of the Fed. R. Civ. P. 26(f) Report. To the extent appropriate given the facts of the case, the parties are encouraged to stipulate to any facts regarding the approximate size and definition of the class, the qualifications of proposed class counsel, and any other matters relevant to the findings to be made by the Court under Fed. R. Civ. P. 23.

F. Order Following Pretrial Conference. After the Pretrial Conference, the Court will enter an order addressing the matters discussed at the Pretrial Conference. The Court may require the parties to draft a proposed order.

G. Conference Following Class Certification Decision. After resolution of the motion for class certification, the Court will schedule a conference to discuss how the case will proceed in light of the ruling on class certification. At this conference, the parties should be prepared to discuss the following topics:

1. if a party has sought appeal of the decision pursuant to Fed. R. Civ. P. 23(f), whether or not any party will seek a stay of proceedings before the District Court;

2. disclosures not otherwise provided in initial Fed. R. Civ. P. 26(a)(1) disclosure;

3. the completion of any remaining discovery; and 4. if applicable, a plan of notice.

H. Notice to the Class. If a class is certified and notice is required under either Fed. R. Civ. P. 23 or LCvR 100.2, or otherwise directed by the Court, prior to the conference following the class certification decision, the parties shall meet and make efforts to agree on the text of the proposed class notice, the manner of class notice, and the procedures to be used to identify the class. To the extent the parties cannot agree on these matters, they shall file jointly a proposed plan for class notice and the language on which they do agree. On the matters on which they disagree, the parties may provide briefs to supplement their position. Once the Court approves a plan of class notice and a form of class notice, the Approved Class Notice shall be posted on the Court's website, in addition to any other notice procedures approved by the Court. Notice to be posted on the Court's website shall contain the following disclaimer:

CONTACT COUNSEL IDENTIFIED IN THIS NOTICE IF YOU HAVE ANY QUESTIONS. DO NOT CONTACT THE COURT.

I. Class Settlements. Parties seeking approval of any class settlement, voluntary dismissal, or compromise shall provide the Court with sufficient information for the Court to make findings with respect to the fairness and reasonableness of the settlement to the class.

J. Collective Actions. Civil actions containing Collective Action claims involving a group or groups of multiple plaintiffs who may elect to join or "opt into" the action as plaintiffs, e.g., The Age Discrimination in Employment Act, 29 U.S.C. 621, et seq., or the Fair Labor Standards Act, 29 U.S.C. 201 et seq., shall be managed to the extent practicable in accordance with the provisions of LCvR 23, subject to the following:

1. The caption of a Complaint asserting a Collective Action claim shall include in the legend "Complaint -- Collective Action." If not included in the Complaint, a statement shall be filed with the Complaint under a separate heading styled "Collective Action Statement," which shall contain the following:

a. the proposed definition of the alleged Collective Action;

b. the size (or approximate size) of the alleged Collective Action; and c. the questions of law or fact claimed to be common to the Collective Action.

2. LCvR 23.H shall not apply to Collective Action claims.

3. If a Complaint seeking class certification of Class Action claims also asserts Collective Action claims, the Class Action claims shall be governed by LCvR 23.

Comment (June 2008)

Counsel should acquaint themselves with the requirements of Fed. R. Civ. P. 23, the accompanying advisory committee notes, and the latest version of the Manual on Complex Litigation with respect to discovery and other practices in class actions.