KAREN CAMESI; ERIN O‘CONNELL; LORI SHAFFER; DINAH BAKER, on behalf of themselves and all other employees similarly situated, Appellants in Case No. 12-1446 v. UNIVERSITY OF PITTSBURGH MEDICAL CENTER; UPMC; UPMC HEALTH SYSTEM; UPMC BEDFORD MEMORIAL HOSPITAL; UPMC BRADDOCK; UPMC MCKEESPORT; UPMC NORTHWEST; UPMC PASSAVANT; UPMC PRESBYTERIAN; UPMC PRESBYTERIAN SHADYSIDE; UPMC SHADYSIDE; UPMC SOUTHSIDE; UPMC ST. MARGARET; MAGEE WOMEN’S HOSPITAL OF UPMC; MERCY HOSPITAL OF PITTSBURGH; MONTEFIORE HOSPITAL; MONTEFIORE UNIVERSITY HOSPITAL; WESTERN PSYCHIATRIC INSTITUTE AND CLINIC; CHILDREN‘S HOSPITAL OF PITTSBURGH OF THE UPMC HEALTH SYSTEM; UPMC LEE; UPMC HORIZON; UPMC HOLDING COMPANY, INC.; UPMC HEALTH NETWORK, INC.; JEFFREY A. RAMOFF; GREGORY PEASLEE; UPMC 401A RETIREMENT SAVINGS PLAN; UPMC 403B RETIREMENT SAVINGS PLAN; UPMC BASIC RETIREMENT PLAN ANDREW KUZNYETSOV; CHARLES BOAL; MARTHANN HEILMAN, Appellants in Case No. 12-1903 v. WEST PENN ALLEGHENY HEALTH SYSTEM, INC; THE WESTERN PENNSYLVANIA HEALTHCARE SYSTEM, INC.; ALLE-KISKI MEDICAL CENTER; ALLEGHENY GENERAL HOSPITAL; ALLEGHENY GENERAL HOSPITAL-SUBURBAN CAMPUS; CANONSBURG GENERAL HOSPITAL; THE WESTERN PENNSYLVANIA HOSPITAL; CHRISTOPHER T. OLIVIA; JOHN LASKY; RETIREMENT PLAN FOR EMPLOYEES OF WEST PENN ALLEGHENY HEALTH SYSTEM; ALLE-KISKI MEDICAL ASSOCIATES; ALLE-KISKI WOMEN‘S HEALTH; ALLEGHENY MEDICAL PRACTICE NETWORK; ALLEGHENY SINGER RESEARCH INSTITUTE; ALLEGHENY SPECIALTY PRACTICE NETWORK; ALLEGHENY VALLEY INTERNAL MEDICINE; ASSOCIATED SURGEONS OF WESTERN PENNSYLVANIA; ASSOCIATED SURGEONS OF WESTERN PENNSYLVANIA P.C.; BARRY SEGAL, MD; BELLEVUE MEDICAL ASSOCIATES; BELLEVUE PEDIATRIC ASSOCIATES; BURN CARE ASSOCIATES, LTD.; BURRELL INTERNAL MEDICINE; CABOT MEDICAL CENTER; CANONSBURG COMMUNITY HEALTHCARE CENTER; CENTER FOR FAMILY HEALTH CARE; CENTURY MEDICAL ASSOCIATES; CENTURY III MEDICAL ASSOCIATES; CITIZENS SCHOOL OF NURSING; CORKERY, HEISE, DAINESI & TRAPANOTTO; CRAFTON MEDICAL CENTER; CREIGHTON MEDICAL CENTER; DR. FRANCIS J. CAVANAUGH, MD; DR. MEHERNOSH KHAN; EAST END MEDICAL ASSOCIATES; EAST SUBURBAN FAMILY PRACTICE; EAST SUBURBAN OB/GYN; FAMILY NURSE MIDWIVES; FERLAN GROUP; FRIENDSHIP MEDICAL ASSOCIATES; FORBES HOSPICE; FUGE FAMILY PRACTICE; GREEN TREE MEDICAL CENTER ASSOCIATES; HAMPTON MEDICAL CENTER; HEALTH CENTER ASSOCIATES; HUSSAINI MEDICAL ASSOCIATES; IRWIN MEDICAL CENTER; IRWIN PRIMARY CARE ASSCOCIATES; MAMATASTRAGOOR KHAN PRIMARY CARE ASSOCIATES; MCDONALD PRIMARY CARE; MEADOWLANDS PRIMARY CARE; MEDICAL CENTER CLINIC, P.C.; META-HILBERG HEMATOLOGY ONCOLOGY ASSOCIATES, INC.; MONROEVILLE MEDICAL ASSOCIATES; M.H.V. MURTHY, MD; NATRONA HEIGHTS OB/GYN, INC.; NORTH VERSAILLES MEDICAL ASSOCIATES; PAUL REILLY, MD; PEDIATRIC & NEONATAL ASSOCIATES; PEDIATRIC & NEONATAL ASSOCIATES, INC.; PENN HILLS MEDICAL ASSOCIATES; PENNSYLVANIA COMPREHENSIVE CARE ASSOCIATES; PINE HOLLOW MEDICAL ASSOCIATES; PINE RICHLAND MEDICAL ASSOCIATES; PITTSBURGH CARDIO THORACIC ASSOCIATES; PITTSBURGH CARDIOTHORACIC ACCOCIATES; PLUM MEDICAL ASSOCIATES; PRIMARY CARE NORTHSIDE; PRIMAMRY CARE SOUTH; RIAD SARADAR, MD; ROBERT BARAFF, MD; FRANK E. SESSOMSM.D., INC; STERLING MEDICAL ASSOCIATES; THREE RIVERS IMAGING ASSOCIATES, P.C.; TRI COUNTY CARDIOLOGY; TRI COUNTY CARDIOLOGY, INC.; UNITED PHYSICIANS; VASCULAR CENTER OF WESTERN PENNSYLVANIA, INC.; WATERDAM MEDICAL ASSOCIATES; WEST PENN ALLEGHENY EYE ASSOCIATES, P.C.; WEST PENN ALLEGHENY FOUNDATION, LLC; WEST PENN ALLEGHENY HEALTH SYSTEM, INC. (CORP); WEST PENN ALLEGHENY HEALTH SYSTEM, INC. (NON PROFIT CORP); WEST PENN ALLEGHENY HEALTH SYSTEM PRIMARY CARE NETWORK; WEST PENN ALLEGHENY ONCOLOGY NETWORK; WEST PENN ALLEGHENY PHYSICIANS, LLC; WEST PENN ALLEGHENY SENIOR CARE; WEST PENN BREAST SURGERY PRACTICE; WEST PENN COMPREHENSIVE HEALTH CARE, P.C.; WEST PENN CORPORATE MEDICAL SERVICES, INC.; WEST PENN FAMILY PRACTICE; WEST PENN INTERNAL MEDICINE ASSOCIATES; WEST PENN PHYSICIANS’ ORGANIZATION; WEST PENN PHYSICIAN PRACTICE NETWORK; WEST PENN PLASTIC & RECONSTRUCTIVE SURGERY; WEST PENN PLASTIC SURGERY; WEST PENN SURGICAL SUPPLY CO.; WEST PENN SPECIALTY MSO, INC.; WEST VIEW FAMILY HEALTH ASSOCIATES; THE WESTERN PENNSYLVANIA BURN FOUNDATION; WESTERN PENNSYLVANIA CANCER INSTITUTE; THE WESTERN PENNSYLVANIA CARDIOVASCULAR INSTITUTE; WESTERN PENNSYLVANIA DIAGNOSTIC CLINIC; WESTERN PENNSYLVANIA HEART PLAN INC.; THE WESTERN PENNSYLVANIA HOSPITAL FOUNDATION; THE WESTERN PENNSYLVANIA HOSPITAL-FORBES REGIONAL CAMPUS; THE WESTERN PENNSYLVANIA HOSPITAL SCHOOL OF NURSING; THE WESTERN PENNSYLVANIA HOSPITAL SKILLED NURSING FACILITY; WESTERN PENNSYLVANIA OB/GYN ASSOCIATES; THE WESTERN PENNSYLVANIA RESEARCH INSTITUTE; WEXFORD MEDICAL PRACTICE; WEXFORD WEIGHT LOSS
Nos. 12-1446 and 12-1903
UNITED STATES COURT OF APPEALS FOR THE THIRD CIRCUIT
September 4, 2013
Argued March 6, 2013
Before: RENDELL, AMBRO and VANASKIE, Circuit Judges
Counsel for appellants in case 12-1446 and case 12-1903
Wеndy W. Feinstein, Esquire Mariah L. Klinefelter, Esquire John J. Myers, Esquire (Argued) Andrew T. Quesnelle, Esquire Mark A. Willard, Esquire Eckert, Seamans, Cherin & Mellot 600 Grant Street 44th Floor, U. S. Steel Tower Pittsburgh, PA 15219
Counsel for appellees in case 12-1446
Robert B. Cottington, Esquire Cohen & Grigsby 625 Liberty Avenue Pittsburgh, PA 15222
Counsel for appellees in case 12-1903
O P I N I O N
RENDELL, Circuit Judge:
In this consolidated appeal we consider whether named plaintiffs may appeal a district court order denying final certification of a cоllective action under the Fair Labor Standards Act (“FLSA”),
I.
“The FLSA estаblishes federal minimum-wage, maximum-hour, and overtime guarantees that cannot be modified by contract.” Genesis Healthcare Corp. v. Symczyk, 133 S. Ct. 1523, 1527 (2013). Under Section 16(b) of the FLSA,
Courts in our Circuit follow a two-step process for deciding whether an action may properly proceed as a collective action under the FLSA. Zavala v. Wal-Mart Stores Inc., 691 F.3d 527, 535 (3d Cir. 2012). Applying a “fairly lenient standard” at the first step, the court makes a preliminary determination as to whether the named plaintiffs have made a “modest factual showing” that the employees identified in their complaint are “similarly situated.” Id. at 536 & n.4. If the plaintiffs have satisfied their burden, the court will “conditionally certify” the collective action for the purpose of facilitating notice to potential opt-in plaintiffs and conducting pre-trial discovery. Id. at 536. At the second stage, with the benefit of discovery, “a court following this approach then makes a conclusive determination as to whether each plaintiff who has opted in to the collective
It is under this framework that Appellants brought their actions.
II.
The first consolidated action was commenсed on April 2, 2009, by Karen Camesi, Erin O’Connell, Dinah Baker, and Lori Shaffer (the “Camesi Named Plaintiffs”) against UPMC and multiple related entities (collectively, “UPMC”) in the United States District Court for the Western District of Pennsylvania on behalf of themselves and “similarly situated” individuals. (Camesi J.A. at A-40). They alleged that their employer, UPMC, violated the FLSA by failing to ensure that they were paid for time worked during meal breaks. Upon filing their complaint, the Camesi Named Plaintiffs moved for expedited conditional certification. (Id.) The motion was granted in May 2009, notice was directed to potential collective-action members, and 3,115 individuals opted into the lawsuit. (Camesi Br. Appellee at 5). After preliminary discovery, UPMC filed a motion to decertify the collective action and the Camesi Named Plaintiffs filed a motion for final certification. (Camesi J.A. at A-114-16). The District Court granted UPMC’s motion and denied the Camesi Named Plaintiffs’ motion on December 20, 2011, and dismissed the
In the other consolidated action, Andrew Kuznyetsov, Charles Boal, and Marthann Heilman (the “Kuznyetsov Named Plaintiffs,” or collectively with Camesi Named Plaintiffs, “Appellants”), filed individuаl and collective actions in the United States District Court for the Western District of Pennsylvania against their employer, West Penn Allegheny Health System, Inc. and other related defendants (collectively, “West Penn,” or collectively with UPMC, “Appellees”), on April 1, 2009. Their complaint similarly alleged that they were not compensated for work performed during meal breaks in violation of the FLSA. (Kuznyetsov Br. Appellants at 3; Br. West Penn at 3). The District Court conditionally certified the collective action and facilitated notice to potential collective-action members, 820 of whom opted into the lawsuit. (Br. West Penn at 4). On December 20, 2011, the District Court decertified the class on West Penn’s motion and denied the Kuznyetsov Named Plaintiffs’ motion for final certification. (Kuznyetsov App. at A15). Then, on February 29, 2012, the District Court granted the Kuznyetsov Named Plaintiffs’ motion under Rule 41(a) for “voluntary dismissal of their claims with prejudice in order to secure a final judgment for purposes of appeal,” and also dismissed
Both sets of named plaintiffs now appeal. Because both cases raise the same issue, we have consolidated them before us.
III.
We begin by considering whether Appellants’ voluntary dismissal of their claims with prejudice under Rule 41(a) left them with a final order appealable under
Generally, a dismissal with prejudice constitutes an appealable final order under § 1291. See, e.g., In re Merck & Co. Sec., Derivative & ERISA Litig., 493 F.3d 393, 399 (3d Cir. 2007). Furthermore, “[u]nder the ‘merger rule,’ prior interlocutory orders [such as class-certification decisions] merge with the final judgment in a case, and the interlocutоry orders (to the extent that they affect the final judgment) may be reviewed on appeal from the final order.” In re Westinghouse Sec. Litig., 90 F.3d 696, 706 (3d Cir. 1996). Even so, Appellees urge that Appellants’ voluntary dismissals of their claims constitute impermissible attempts to manufacture finality under Sullivan. We agree.
In Sullivan, the plaintiffs brought a class action under Rule 23. 566 F.2d at 444-45. On the day Sullivan was scheduled for trial, the district court denied the plaintiffs’ motion to certify a class action. Id. at 445. The plaintiffs, in turn, refused to present any evidence at trial and the district court dismissed their claims under
Like the plaintiffs in Sullivan, Appellants have attempted to short-circuit the procedure for appealing an interlocutory district court order that is separate from, and unrelated to, the merits of their case. Appellants could have оbtained appellate review of the decertification order by proceeding to final judgment on the merits of their individual claims. Or, Appellants could have asked the District Courts to certify their interlocutory orders for appeal. But Appellants instead sought to convert an interlocutory order into a final appealable order by obtaining dismissal under Rule 41. If we wеre to allow such a procedural sleight-of-hand to bring about finality here, there is nothing to prevent litigants from employing such a tactic to obtain review of discovery orders, evidentiary rulings, or any of the myriad decisions a district court makes before it reaches the merits of an action. This would greatly undermine the policy against piecemeal litigation embodied by § 1291.
Appellants counter that Sullivan is inapposite and we should instead follow the approach we followed in Fassett, 807 F.2d at 1154, and Trevino-Barton v. Pittsburgh National Bank, 919 F.2d 874, 878 (3d Cir. 1990).
Appellants read Fassett and Trevino-Barton as еstablishing a rule that “a voluntary dismissal under Rule 41(a), sought to obtain appellate review, is a final appealable order.” (Appellants’ Resp. to Appellees’ Mot. to Dismiss the Appeal at 5). But neither case holds so broadly. Instead, we understand Fassett and Trevino-Barton to stand for the proposition that when a plaintiff has suffered an adverse judgment on the merits as to claims or defendants A, B, аnd C, which would otherwise be final and appealable were it not for remaining claim or defendant D, he or she may elect to forgo D in order to obtain review of the order respecting A, B, and C. Neither case permits a plaintiff who has suffered an adverse decision collateral to the merits of A, B, C, and D to throw out his or her entire action to obtain review of that interlocutory ruling. That, of course, is exactly what happened here, where there was clearly no judgment on the merits. But even Fassett cautioned against this, stating that this Court “will not permit an indirect review of interlocutory rulings that may not be subject to direct review.” 807 F.2d at 1155. Thus, Appellants’ reliance on Fassett and Trevino-Barton is misplaced.
IV.
Appellees urge an alternative bar to our exercise of jurisdiction over the review sought by Appellants, namely that, even if we were to find finality, Appellants’ voluntary relinquishment of their individual claims has rendered the cases moot.
Article III requires “that ‘an actual controversy must be extant at all stages of review, not merely at the time the complaint is filed.’” Symczyk, 133 S. Ct. at 1528 (quoting Arizonans for Official English v. Arizona, 520 U.S. 43, 67 (1997)). An action is rendered moot when “an intervening circumstance deprives the plaintiff of a ‘personal stake in the outcome of the lawsuit,’ at any point during the litigation.” Id. (quoting Lewis v. Cont’l Bank Corp., 494 U.S. 472, 477-78 (1990)).
We understand Appellants’ argument to be that they continue to maintain a personal stake in the outcome of the litigation because, as a result of (and notwithstanding) their dismissal of their claims with prejudice, “their individual claims are now tied to the outcome of this appeal.” (Kuznyetsov Resp. to West Penn Mot. 12-14). Appellants apparently bеlieve that reversal of the District Courts’
The question then becomes whether, in the absence of any individual claim, Appellants nonetheless retain a personal stake in the outcome of the litigation sufficient to prevent the entire action from being rendered moot because they claim an interest in representing others who have opted into the collective action.
We note thаt the issue of a named plaintiff’s ability to maintain actions in a representative capacity in collective actions brought under the FLSA, as compared to Rule 23 class actions, is in a state of flux. The Supreme Court has recently reinforced its view that these procedural mechanisms are essentially different. See Symczyk, 133 S. Ct. at 1529. What remains unclear, however, is whether the fаct that individuals have already opted into Appellants’ actions by filing written consents with the District Courts following conditional certification would permit Appellants to retain a justiciable interest in the litigation based on their
Therefore, we will leave for another day the difficult question of whether an interest in representing opt-in
V.
For the reasons discussed above, we will dismiss both appeals for lack of jurisdiction.
