In the forty-five years since the Supreme Court’s decision in
New York Times Co. v. Sullivan,
This appeal addresses one such method, specifically, Article 971 of Louisiana’s Code of Civil Procedure. Article 971 provides a mechanism whereby a plaintiff bringing a defamation claim must show a probability of success on the merits before proceeding. Defendants-Appellants consist of four entities — Lake Charles American Press, L.L.C.; Lake Charles American Press, Inc.; Shearman Co. L.L.C.; and Shear-man Corp. — as well as the author of the majority of the newspaper articles in question — Hector San Miguel (collectively “American Press”). American Press brought an Article 971 motion in response to Plaintiff-Appellee Mark Henry’s (“Henry”) defamation suit. Henry, owner of an airport refueling operation, asserts that American Press defamed him by reporting that Henry provided military aircraft with contaminated fuel that caused their engines to fail, or “flame out.”
The district court denied American Press’s motion, and American Press brought an immediate appeal. As a threshold matter, we hold that we have jurisdiction over this interlocutory appeal. Moreover, as Henry has failed to establish the necessary probability of success, we revеrse the district court’s order and render judgment dismissing Henry’s defamation claim. Further, we remand the case to the district court for a determination of American Press’s entitlement to fees and costs.
I. FACTUAL AND PROCEDURAL BACKGROUND
Henry was the owner and president of Chennault Jet Center, Inc. (“CJC”) from 1995 to 2005. CJC operated out of the Chennault International Airport in Lake Charles, Louisiana, and had contracted with the Defense Logistics Agency to refuel military aircraft. In February 2005, the government notified CJC that it was initiating an investigation into whether CJC had sold contractually noncompliant fuel for use in military aircraft. In April 2005, the government terminated the Defense Logistics Agency’s contract with CJC.
From May 2005 to January 2006, American Press published a series of articles describing the investigation of CJC’s fueling practices. Henry asserts that these articles contained several defamatory statements, but focuses primarily on reports that CJC provided “contaminated fuel” to military aircraft that may have caused them to flame out.
On May 10, 2006, Henry sued American Press for dеfamation in Texas state court. American Press removed the case to the Southern District of Texas on the basis of diversity and later successfully moved to transfer the case to the Western District of Louisiana. On August 20, 2007, the district court determined that Louisiana substantive law governed the dispute and permitted American Press to file a special motion to strike pursuant to Article 971 of the Louisiana Code of Civil Procedure (“Article 971”). As discussed further below, Article 971 provides a mechanism whereby plaintiffs bringing certain tort claims must show a probability of success on their claim before proceeding. The district court initially denied American Press’s Article 971 motion, and American Press requested reconsideration. The district court granted reconsideration and again denied American Press’s motion in a more detailed opinion. American Press then filed a notice of appeal from the district court’s order denying its Article 971 motion.
II. STANDARD OF REVIEW
Louisiana law, including the nominally-procedural Article 971, governs this diver
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sity case.
See Erie R.R. Co. v. Tompkins,
This court has jurisdiction to determine its own jurisdiction.
Houston Cmty. Hosp. v. Blue Cross & Blue Shield of Tex., Inc.,
III. DISCUSSION
A. Jurisdiction
1. Louisiana’s Article 971
A number of state legislatures have expressed concerns over the use (or abuse) of lawsuits that have the purpose or effect of chilling the exercise of First Amendment rights. These suits are commonly referred to as “strategic lawsuits against public participation,” or “SLAPPs.” In response to the growth of SLAPPs, some states have provided a procedural method — often called a “special motion to strike” but also known as an “anti-SLAPP motion” or “SLAPPback” — to weed out and dismiss meritless claims early in litigation. Dismissal of these frivolous tort claims saves defendants the cost and burden of trial and minimizes the chilling effect of these lawsuits. At the same time, meritorious claims proceed, vindicating the interests of those who actually suffered from defamation or other torts.
Article 971 of the Louisiana Code of Civil Procedure provides one such method. In the act creating Article 971, the Louisiana legislature set out the reasons behind and purposes of the law:
The legislature finds and declares that there has been a disturbing increase in lawsuits brought primarily to chill the valid exercise of the constitutional rights of freedom of speech and petition for redress of grievances. The legislature finds and declares that it is in the public interest to encourage continued participation in matters of public significance, and that this participation should not be chilled through abuse of the judicial process. To this end, it is the intention of the legislature that the Article enacted pursuant to this Act shall be construed broadly.
Thomas v. City of Monroe,
The portion of Article 971 relevant to the present purposes provides as follows:
A cause of action against a person arising from any act of that person in furtherance of the person’s right of petition or free speech under the United States or Louisiana Constitution in connection with a public issue shall be subject to a special motion to strike, unless the court determines that the plaintiff has established a probability of success on the claim.
La.Code Civ. Proc. art. 971(A)(1). Once a defendant files an Article 971 motion, the trial court stays all discovery except that which the court, “on noticed motion and for good cause,” orders to be conducted. Id. art. 971(D). The prevailing party on a special motion is entitled to reasonable attorneys fees and costs, id. art. 971(B), and a plaintiff that successfully establishes a probability of success on the merits may submit the trial court’s determination as evidence at trial, id. art. 971(A)(3).
Article 971 establishes a burden-shifting analysis for weeding out frivolous claims. To succeed on an Article 971 motion, the defendant must first make a prima facie showing that Article 971 covers the activity underlying the suit. That is, the defendant must “establish[] that a cause of action against him arises frоm an act by him in furtherance of the exercise of his right of petition or free speech under the United States or Louisiana Constitution in connection with a public issue.”
Starr v. Boudreaux,
If the plaintiff fails to demonstrate a probability of success, the trial court dismisses the claim. Otherwise, the trial court denies the motion and the suit proceeds as it normally would. In Louisiana state courts, an unsuccessful movant can obtain immediate appellate review of the trial court’s denial of the Article 971 motion through a writ of supervision under Article 2201 of the Louisiana Code of Civil Procedure.
See
La.Code Crv. Proc. art. 2201 (“Supervisory writs may be applied for and granted in accordance with the constitution and rules of the supreme court and other courts exercising appellate jurisdiction.”). Several Louisiana courts of appeal have immediately reviewed a trial court’s denial of an Article 971 motion pursuant to these supervisory writs.
See, e.g., Darden v. Smith,
2. The Collateral Order Doctrine
The threshold issue in this appeal is whether a district court’s denial of an Article 971 motion is immediately appealable under 28 U.S.C. § 1291. “[S]inee appeals of right have been authorized by Congress ..., there has been a firm con
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gressional policy against interlocutory or ‘piecemeal’ appeals and courts have consistently given effect to that policy.”
Abney v. United States,
In
Cohen v. Beneficial Industrial Loan Corp.,
To fall within
Cohen’s
collateral order doctrine, an “order must (1) conclusively determine the disputed question, (2) resolve an important issue completely separate from the merits of the action, and (3) be effectively unreviewable on appeal from a final judgment.”
Coopers & Lybrand v. Livesay,
The confusion over where importance fits into the collateral order analysis is a symptom of the more general confusion over what constitutes a final collateral order. As Judge Jerome Frank once said,
“Final” is not a clear one-purpose word; it is slithery, tricky. It does not have a meaning constant in all contexts. What was said as to “final” orders a half century ago still holds: The cases, it must be conceded, are not altogether harmonious. There is, still, too little finality about “finality.” “A final decision” is not necessarily , the ultimate judgment or decree completely closing up a proceeding. But it is not easy to determine what decisions short, of that point are final.
United States v. 243.22 Acres of Land,
“hopelessly complicated,” “legal gymnastics,” “dazzling in its complexity,” “unconscionable intricacy” with “overlapping exceptions, each less lucid than the next,” “an unacceptable morass,” “dizzying,” “tortured,” “a jurisprudence of unbelievable impenetrability,” “helterskelter,” “a crazy quilt,” “a near-chaotic state of affairs,” a “Serbonian Bog,” and “sorely in need of limiting principles.”
Adam N. Steinman, Reinventing Appellate Jurisdiction, 48 B.C. L.Rev. 1237, 1238-39 (2007) (citations omitted). Indeed, one commentator has suggested that the Cohen conditions are not really what determine whether an order is immediately appealable, as the collateral order doctrine’s “cumbersome-yet-unhelpful framework” obscures “the policy judgments that actually determine whether immediate appellate review is available.” Id. at 1243.
Part of this confusion stems from the three
Cohen
conditions — conclusivity, separability, and unreviewability. There exists in each of these conditions substantial nuance, and it is in this nuance that we find the interests that drive collateral order determinations. That is, the collateral order determination often involves, explicitly or not, a balancing of the interests in postponing appellate review (finality, efficiency, etc.) and in allowing immediate review (the importance of the asserted right, the сonsequences of disallowing immediate appeal, etc.). Moreover, although we
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sometimes speak of the three
Cohen
criteria as strict preconditions for appellate review,
see, e.g., Goodman,
Granted, a wholly pragmatic approach to finality inexcusably sacrifices clarity and predictability. Indeed, a case-by-case approach to the collateral order doctrine would be inimical to the general final order rule, as it would require balancing in each and every case. Under such an approach, every order would be appealable if only to determine whether jurisdiction existed to appeal the order. Thus, a wholly pragmatic approach would undermine the interests that lie at the heart of the collateral order doctrine.
Consequently, we do not weigh the interests of granting and denying immediate appellate review in each and every case. Consistent with Supreme Court precedent and the general purposes of the final judgment rule, we determine whether an order is appealable as a general or categorical matter.
See Cunningham v. Hamilton County,
Thus, for our present purposes, we do not look to whether the order in the context of this particular case is immediately appealable, but to whether orders denying motions brought under anti-SLAPP statutes such as Article 971 satisfy the conditions of the collateral order doctrine. To do so, an order denying such a motion must be sufficiently conclusive, separate, unreviewable, and (perhaps most-importantly) important that the benefits of immediate appellate review outweigh the loss of efficiency that any movement away from a strict finality approach entails.
a. Conclusivity
We must first determine whether the denial of an Article 971 motion is conclusive. Conclusivity does not merely require that the specific issue be conclusively determined; were that the case,
any
issue on which a district court has rendered a decision would be conclusive.
See Goodman,
An order denying an Article 971 motion satisfies any concerns regarding conclusivity. A district court’s denial of an Article 971 motion is conclusive as to whether Article 971 mandates dismissal of the suit. The motion freezes a suit while the court determines whether the plaintiffs claim has merit. If a trial court grants an Article 971 motion, the litigation ceases and the case is dismissed. If a trial court denies an Article 971 motion, then the case proceeds as it normally would. There is also no indication that a trial court would revisit an earlier decision on an Article 971 motion. We therefore conclude that an order denying an Article 971 motion is conclusive for the purposes of the collateral order doctrine.
b. Separability
Second, we must determine whether an Article 971 motion resolves an issue completely separate from the merits of the case. Issues are not separate “where they are but steps towards [a] final judgment in which they will merge.”
Cohen,
For example, in
Pan Eastern Exploration Co. v. Hufo Oils,
In contrast, courts have held that issues concerning immunity from suit are often separate from the underlying dispute in the litigation. For example, in
Mitchell v. Forsyth,
At first blush, an order denying an Article 971 motion seems to clearly decide an issue separate from the merits; it determines only the issue of whether Article 971 requires dismissal of a suit. Our inquiry should not end here, however, as further consideration raises several concerns. First, the Article 971 determination requires an assessment of the plaintiffs probability of success. This risks involving an appellate court in the factual and legal issues underlying the plaintiffs clаim. Indeed, the Article 971 determination is an assessment of the merits of a plaintiffs claim, and this court has previously suggested that such an inquiry might weigh against a finding of separability.
See Acosta
These potential еntanglements, however, are insufficient to forestall a finding of separability. First, Article 971 has a purpose distinct from that of the underlying suit. As the Ninth Circuit reasoned in addressing the appealability of a similar California statute, an anti-SLAPP motion “resolves a question separate from the merits in that it merely finds that such merits may exist, without evaluating whether the plaintiffs claim will succeed.”
Batzel v. Smith,
Further, the policy behind the collateral order doctrine militates in favor of finding separability. The final order rule limits appeals to encourage the aggregation of all necessary issues for one appeal and to
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provide for efficient adjudication. The separability requirement furthers this purpose by preventing appeals on issues that will be definitively decided later in the case. In this way, one might characterize separability as a way of ensuring that a movant is not attempting to have an appellate court preemptively resolve a disputed issue still pending in the district court. Thus, in
Pan Eastern Exploration Co.,
discussed above, the issue of whether interests of international comity warranted dismissal of the suit was dependent upon the interests in proceeding with the litigation, and the district court would balance these interests as the trial progressed.
See
Finally, the mere fact that a trial court’s decision denying an Article 971 motion is admissible at trial does not change our conclusion. Article 971(A)(3), as originally enacted, provided,
If the court determines that the plaintiff has established a probability of success on the claim, neither that determination nor the fact of that determination shall be admissible in evidence at any later stage of the proceeding, and no burden of proof or degree of proof otherwise applicable shall be affected by that determination.
1999 La. Acts 734. The Louisiana legislature amended this provision in 2004 to allow a trial court’s denial of an Article 971 motion to be admissible at trial. See 2004 La. Acts 232 (amending Article 971(A)(3) to read, “If the court determines that the plaintiff has established a probability of success on the claim, that determination shall be admissible in evidence at any later stage of the proceeding.”). The purpose of this change is unclear, but this provision appears to strike a balance between the costs and benefits of filing an Article 971 motion. That is, defendants should be hesitant to file a frivolous Article 971 motion, as an adverse decision can then be used against them at trial.
Although seeming to have a bearing on the underlying suit, we fail to see how this unique evidentiary provision affects our collateral order analysis in any substantial way. Granted, if an appellate court affirms a district court’s denial of an Article 971 motion on an interlocutory appeal, this unique evidentiary rule could mean that an appellate court’s assessment of the merits of a plaintiffs claim might influence future trial proceedings. But a decision on an Article 971 motion is not a ruling on the ultimate merits; it is merely tangential to the merits. A court deciding an Article 971 motion does not ask whether the plaintiff has proved her claim, but whether she has shown a sufficient probability of being able to prove her claim. This is akin to a court determining only that a plaintiff has presented a threshold showing that allows her claim to proceed. If the court’s determination is later admitted into evidence, it is only one piece of evidence that the jury could choose to consider or reject. As such, it is hardly dispositive as to the merits of the suit. More importantly, this evidentiary provision does not render the denial of an Article 971 motion any less (or more) final; it does not affect the efficiency of judicial proceedings, blur the contours of the issue being appealed, or alter the interests that immediate appeal vindi *177 cates. This provision thus has only a minimal bearing on our inquiry.
Moreover, the minor possibility of minimal entanglement is insufficient to overcome the interests that favor a finding of immediate appealability. As discussed below, Article 971 aims to serve the substantial public interest of protecting those exercising their First Amendment rights from the chilling effect of defending merit-less and abusive tort suits. Article 971 does so by immunizing speakers from suits stemming from the exercise of First Amendment rights, thus preserving both an individual’s right to speak and the public’s collective interest in free and robust debate. The importance of the interests that Article 971 serves thus resolves any lingering doubts regarding separability. We therefore conclude that the denial of an Article 971 motion is sufficiently separate from the merits of the underlying case for the purposes of the collateral order doctrine.
c. Unreviewability
We must also determine whether a district court’s denial- of an Article 971 motion is effectively unreviewable on appeal. Unreviewability is “the fundamental characteristic of the collateral order doctrine.”
Pan E. Exploration Co.,
Because of this essential requirement, almost all denials of motions to dismiss are not immediately appealable. If, on appeal from a final judgment, an appellate court finds that the motion to dismiss should have [been] granted, it can direct the lower court to dismiss. The rights of the movant will have been vindicated, although after the movant has suffered the expense and delay of trial. As we have said before, however, this sort of injury follows in every denial of a motion to dismiss a complaint and does not justify an exception to the final-judgment rule.
Perhaps the embodiment of unreviewability, then, is immunity from suit, “for the essence of ... immunity is its possessor’s entitlement not to have to answer for his conduct in a civil damages action.”
Mitchell,
The Supreme Court has warned, however, that “[o]ne must be careful ... not to play word games with the concept of a ‘right not to be tried,’ ”
Midland Asphalt,
The denial of an Article 971 motion satisfies the unreviewability condition. The purpose of Article 971 is to free defendants from the burden and expense of litigation that has the purpose or effect of chilling the exercise of First Amendment rights. Article 971 thus provides a right not to stand trial, as avoiding the costs of trial is the very purpose of the statute. In other words, Article 971 does not provide a defense to liability; defendants remain liable for actual acts of defamation and other torts. But it does provide defendants the right not to bear the costs of fighting a meritless defamation claim. If an Article 971 motion is erroneously denied and unappealable, then the case proceeds to trial and this right is effectively destroyed. And in line with the Supreme Court’s observation in Midland Asphalt, Article 971 provides an explicit statutory guarantee of a right not to stand trial.
We therefore concludе that the denial of an Article 971 motion is effectively unreviewable for the purposes of the collateral order doctrine. Not only does such a denial fall directly within the language of Midland Asphalt, but the interests underlying both the collateral order doctrine and Article 971 militate in favor of such a conclusion. *
d. Importance
As is perhaps evident from the above discussion, the traditional Cohen fac *179 tors for collateral order determinations— eonclusivity, separability, and unreviewability — do not lend themselves to a satisfying and coherent exegesis. Conclusivity does not simply mean conclusive, as all orders can be construed at a level of generality that renders them conclusive as to a specific issue. Separability cannot mean wholly separate, as all orders bear some tangential relationship to the underlying dispute, with the relationship of some immediately-appealable issues quite more than tangential. And unreviewability cannot simply mean “effectively unreviewable,” for any order cаn be reviewed on appeal, and the lack of appeal for any order can impose immense and unjust burdens on a wrongly-denied party.
One method of bringing some unity to the doctrine is to look to another factor in the collateral order analysis, and recent Supreme Court decisions seem to indicate that the focus of the inquiry is shifting to “importance.” Granted, importance is nothing new to the doctrine. In the Court’s original formulation of the collateral order doctrine, it stated that the doctrine covered those orders “too important to be denied review.”
Cohen,
there is value — to all but the most unusual litiganb — in triumphing before trial, rather than after it, regardless of the substance of the winning claim. But this truism is not to be confused with the quite distinct proposition that certain claims (because of the substance of the rights entailed, rather than the advantage to a litigant in winning his claim sooner) should be resolved before trial.
And as Justice Scalia stated in
Lauro Lines,
“The importance of the right asserted has always been a significant part of our collateral order doctrine.”
More recent decisions have increasingly looked to importance to clarify what is a less than clear area of the law. In
Digital Equipment,
the defendant argued that importance had no place in the collateral order analysis.
The Supreme Court later emphasized the centrality of importance to determin
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ing appealability in
Will.
Recognizing that a multitude of orders denying a right not to be tried were effectively unreviewable, the Court “combed” its cases “for some further characteristic that merits appealability under
Cohen.”
In each case, some particular value of a high order was marshaled in support of the interest in avoiding trial: honoring the separation of powers, preserving the efficiency of government and the initiative of its officials, respecting a State’s dignitary interests, and mitigating the government’s advantage over the individual. That is, it is not mere avoidance of a trial, but avoidance of a trial that would imperil a substantial public interest, that counts when asking whether an order is “effectively” unreviewable if review is to be left until later.
Id.
at 352-53,
If importance is what is underlying the distinctions between which orders are conclusive, separate, and unreviewable, then the Supreme Court seems to be endorsing an increasingly pragmatic approach to the collateral order doctrine. This is not to say that importance is a defining or controlling criterion of appealability, or that the collateral order determination is wholly ad hoc or unguided. Importance instead informs the three Cohen criteria as well as our overall analysis. And in determining importance, we find guidance in the Supreme Court’s emphasis on the vindication of substantial public interests, especially those with a constitutional or legislative basis.
In the present case, importance weighs profoundly in favor of appealability. AntiSLAPP statutes such as Article 971 aim to curb the chilling effect of meritless tort suits on the exercise of First Amendment rights, and as the Supreme Court stated in
Elrod v. Burns,
Considering all of the above, we hold that a district court’s denial of a motion brought under an anti-SLAPP statute such as Article 971 is an immediately-appealable collateral order. Therefore, we have jurisdiction over the present appeal, and turn now to its merits.
B. Special Motion to Dismiss
As mentioned above, Article 971 operates through a shifting of burdens. The party bringing the Article 971 motion “must make a prima facie showing that the matter arises from an act in furtherance of his or her right of free speech оr the right of petition and in relation to a public issue.”
Darden,
After the defendant has met its prima facie showing, the plaintiff must “demonstrate a probability of success on his or her own claim.”
Darden,
“To establish a probability of prevailing on his claim, a plaintiff must state and substantiate a legally sufficient claim. This is done through a prima facie showing of facts sufficient to sustain a favorable judgment.”
Baxter,
The only evidence in the record with which we can make this determination are the reprints of the newspaper articles and affidavits from Henry, retired Air Force Lieutenant Colonel J.K. Switzer (“Switzer”), and Henry’s attorney, David K. Anderson (“Anderson”). The parties primarily dispute the standard of fault that applies to Henry’s claim. We need not delve into this issue, however, for even if we assume that the most plaintiff-friendly standard — negligence-—-applies, we still hold that Henry has not established a probability of success on an essential element of his defamation claim.
Leaving aside the other elements, Henry has not established a probability of successfully proving fault. The district court based its determination that Henry had a probability of success in proving negligence on the statements in an affidavit from Henry’s attorney, Anderson. Therein, Andеrson stated that he contacted American Press, provided them with information that the stories were false, and also provided them with the contact information of Air Force personnel who could confirm the stories’ falsity. Because American Press purportedly had notice of the stories’ falsity but continued to publish them, the district court found that Henry had satisfied his burden on this element.
On appeal, American Press points out that Anderson’s affidavit is evidence only that Anderson contacted American Press; it provides no indication that American Press did not follow up on the information Anderson provided. If Henry wanted to show evidence of American Press’s negligence, he could have introduced an affidavit from the person Anderson told American Press to contact indicating that American Press never contacted her. Indeed, the only way for the district court to find evidence of negligence in Anderson’s affidavit is to conclude that the stories were in fact false and that American Press wоuld have known that and would not have continued to publish them had it followed up on the information that Anderson provided. But even assuming that the stories were false, Anderson’s affidavit does not show that American Press acted unreasonably in investigating and publishing the stories.
Granted, requiring such proof to establish a probability of success places a high burden on a plaintiff bringing a defamation claim. As discussed above, however, Louisiana courts have recognized that establishing a probability of success is a “difficult burden,”
Baxter,
We therefore hold that Henry has not shown a probability of success on his defamation claim. We reverse the district court’s conclusion on this issue and render judgment dismissing Henry’s claim.
C. Attorney’s Fees
Article 971(B) provides, “In any action subject to Paragraph A of this Article, a *183 prevailing party on a special motion to strike shall be awarded reasonable attorney fees and costs.” American Press requested fees and costs pursuant to this provision in its Article 971 motion. As the district court denied the motion, it never addressed this issue. Because we hold that the district court erred in denying American Press’s motion, we remand the case to the district court to determine the fees and costs, if any, to which American Press is entitled.
IV. CONCLUSION
We first hold that a district court’s denial of an Article 971 motion is an immediately-appealable collateral order. Thus, we have jurisdiction over this interlocutory appeal. As to the merits, we REVERSE the district court’s denial of American Press’s Article 971 motion, RENDER judgment DISMISSING Henry’s defamation complaint, and REMAND the casе to the district court for a determination of fees and costs.
REVERSED, RENDERED, and REMANDED.
Notes
We recognize that this holding is not wholly in line with the Ninth Circuit's recent decision in
Englert v. MacDonnell,
Like Oregon's anti-SLAPP statute, Article 971 does not include a provision expressly authorizing immediate appeal. But the practice of Louisiana courts appears to allow immediate appeals through writs of supervision.
See Darden,
