Lead Opinion
The Eighth Amendment, as incorporated against the states through the Fourteenth Amendment, precludes state prison officials from “knowingly and unreasonably disregarding an objectively intolerable risk of harm” to inmate health or safety. See Farmer v. Brennan,
Respondents recite a number of jail customs and policies, or the lack thereof, that contribute to the alleged violation of inmates’ constitutional rights. Only five are relevant to this appeal. First, Respondents challenge the authorized use of compliance devices; including (1) restraint chairs, (2) pepperball guns, (3) tasers, and (4) pepper spray; in a manner that allegedly poses an unjustifiable risk of serious harm to inmates. Second, Respondents contest a jail policy requiring inmates to wear an electroshock belt to court.
Faced with the prospective mooting of their claims by their imminent release, see Green v. Branson,
I.
Federal Rule of Civil Procedure 23(f) provides that a “court of appeals may permit an appeal from an order granting or denying class-action certification ... if a petition for permission to appeal is filed with the circuit clerk within 10 days after the order is entered.” Our circuit has not yet addressed the standard it will use in determining whether to grant such a petition. Accordingly, we proceed to consider this question as a matter of first impression.
Some historical context is in order. No appeal as of right exists from a district court’s class certification order unless that order dismisses the action or renders a decision on the merits. See 7B Charles Aan Wright & Arthur R. Miller, Federal Practice and Procedure § 1802 (3d ed. 2005) (Federal Practice and Procedure); see also 5 James William Moore et al., Moore’s Federal Practice § 23.88[1] (3d ed.2008) (noting that a district court’s “certification decision is not immediately ap-
In 1998, the Supreme Court significantly altered the legal landscape by adopting Federal Rule of Civil Procedure 23(f), which grants appellate courts the discretionary power to permit interlocutory appeals of class certification orders. See Fed. R.App. P. 5 (laying out the procedural requirements for such permissive appeals). In so doing, the Court opened up the restrictive review practices that historically applied to class certification decisions. See Lienhart v. Dryvit Sys., Inc.,
That said, courts of appeals have remained ever mindful that interlocutory appeals are traditionally disfavored and for good reason. See, e.g., Carpenter v. Boeing Co.,
As a result, we join our sister circuits in recognizing that the grant of a petition for interlocutory review constitutes “the exception rather than the rule.” Chamberlan,
Certain instances exist, however, in which interlocutory review of a district court’s class certification decision is appropriate. See Carpenter,
Interlocutory review of a district court’s class certification order is generally appropriate in three types of cases. The first such category is comprised of “death knell cases,” which refers to situations in which a questionable class certification order is likely to force either a plaintiff or a defendant to resolve the case based on considerations independent of the merits. See Chamberlan,
An interest in facilitating the development of the law may also justify granting a petition for interlocutory review. See Blair,
Immediate review of a district court’s class certification ruling may also be fitting when that decision is manifestly erroneous. See Chamberlan,
Although cases ripe for consideration under Rule 23(f) will normally fall into one of these three categories, see In re Lora-zepam,
II.
We review the standard the district court used in making its Rule 23 determination de novo and the merits of that determination for an abuse of discretion. See Shook v. El Paso County,
The abuse of discretion standard, while forgiving, is not without teeth. See In re New Motor Vehicles Canadian Export Antitrust Litig.,
A.
The district court misconstrued Respondents’ allegations in regard to inadequate psychiatric care in determining to certify this claim for the class. Respondents’ First Amended Class Action Complaint raises the unconstitutionality of the restrictions Petitioners allegedly placed on the ability of indigent inmates to receive mental healthcare.
Our precedent is clear that at the class certification stage a district court must generally accept the substantive, non-con-clusory allegations of the complaint as true. See Shook I,
B.
On a broader scale, the district court applied an erroneous view of our precedents governing the proper standard for class certification analysis under Rule 23. Specifically, the district court viewed the scope of its Rule 23 inquiry as unduly limited by our disposition of Shook I. In Shook I, a factually similar case, we concluded the district court improperly denied class certification based on an inquiry into the merits of the movant’s claims. See
In this case, the district court discussed, in some detail, a portion of the Rule 23(b)(2) analysis Judge Matsch conducted on remand after our disposition of Shook I. See Class Certification Order at 37-38. Because the district court found that Judge Matsch’s reasoning “impermissibly considered the merits of the plaintiffs’ claims,” it declined to address similar concerns raised by Petitioners here. See id. at 38 n. 18. Our decision in Shook II, however, specifically affirmed Judge Matsch’s ruling on the basis of his cogent Rule 23(b)(2) analysis. See
The district court’s error in Shook I was fundamental in that the court completely ignored the requirements of Rule 23. See id. at 601 (noting that the “district court denied class certification without providing any analysis of the factors relevant to class certification set forth in Fed.R.Civ.P. 23”). Instead, the district court’s decision focused solely on the merits of the movant’s claims. See Shook I,
The district court in this case correctly noted that the merits of a movant’s claims may not serve as the focal point of its class certification analysis. See Eisen v. Carlisle & Jacquelin,
Put simply, before a district court certifies a class it must ensure that the requirements of Rule 23 are met. See In re Initial Public Offering,
Here, the district court was unable to profit from the additional guidance we offered in Shook II. Consequently, the district court — through little fault of its own — based its class certification ruling on an unduly constrained view of the inquiry authorized by Rule 23. Because this misconception precluded the district court from conducting the rigorous analysis our precedents require, we conclude the district court abused its discretion. See Hen-ning v. Union Pacific R.R. Co.,
C.
The district court also erred in failing to hold Respondents to their burden under Rule 23(b)(2). See Shook I,
Ensuring the provisions of Rule 23(b)(2) are met requires the district court take a close look at the “relationship between” a proposed class, “its injuries, and the relief sought.” Id. Ultimately, if equitable relief is not uniformly applicable to the class, and thus time-consuming inquiry into individual circumstances or characteristics is required, little is gained from the case proceeding as a class action. See id.; see also Gen. Tel. Co.,
Under Rule 23(b)(2), the injuries sustained by the class must be “sufficiently similar that they can be addressed” in a “single injunction that need not differentiate between class members.” Id. at 604. We noted in Shook II that a “class consisting of all present and future inmates,” as Respondents request here, “introduces considerable ‘variation into the class with respect to the relief sought,’ raising ‘questions about whether injunctive relief is justified for the class as a whole.’ ” Id. at 606 n. 5. Moreover, Rule 65(d) mandates that every injunction order “state its terms specifically” and “describe in reasonable detail” the “act or acts restrained or required.” Movants may not make an end-run around this rule by requesting an injunction that operates at some “stratospheric level of abstraction.” Shook II,
Respondents here seek to enjoin a “wide range of behavior” against the “broad class framed in the complaint.” Id. at 607. At the same time, they “eschewf ] any effort to give content” to the equitable relief they request. Id. at 605. Indeed, Respondents’ class certification motion merely relies on the plea in their complaint for such “declaratory and injunctive relief ... as the Court deems just.”
III.
We offer a few additional comments to guide the district court on remand. Respondents’ pleadings are, in many instances, plagued by generalities. For instance, Respondents rely heavily on the fact that Rule 23(b)(2) was intended to facilitate civil rights cases to justify class certification here. See Plaintiffs’ Amended Motion to Certify Class at 13-14. No doubt exists that Rule 23(b)(2) was intended, in large part, “to enable civil rights class actions,” Shook II,
In every case, the district court must conduct a “careful certification inquiry,” Unger v. Amedisys Inc.,
We also caution the district court against giving undue weight to Respondents’ claims that they will be unable to obtain judicial review of Petitioners’ jail practices absent certification of their requested class. See Class Certification Order at 23 (“The danger of mootness ... cuts in favor of class certification here.”). Respondents retain the ability to institute a damages action against Petitioners for the unconstitutional harms they allegedly suffered in their care. See Shook II,
With these observations, we GRANT the petition for review and REMAND for the district court to reconsider its class certification order.
Notes
. Respondents also raise several claims under Colorado law, which we do not discuss here.
. Respondents contend that the use of the belt (1) unduly terrorizes inmates, thus inflicting unconstitutional punishment, (2) that a lack of deputy training in regard to the belt puts inmates at an unjustifiable risk of serious harm, and (3) that requiring inmates to wear the belt violates inmates' liberty interest "in being free of ... restraint and terror.”
. As part of the general restyling of the civil rules in 2007, the rules committee deleted Rule 23(f)’s explicit reference to the court of appeals' discretion in determining whether to grant a petition for interlocutory review. See Fed.R.Civ.P. 23 2007 Amendment advisory committee note. The committee notes make clear, however, that this “omission does not in any way limit the unfettered discretion established by the original rule.'' Id.
. Our approach to Rule 23(f) relates most closely to those articulated by the D.C. Circuit vo In re Lorazepam and the Ninth Circuit in Chamberlan.
. See, e.g., First Amended Class Action Complaint at 34 ("As a matter of policy, ... Defendants restrict the ability of indigent prisoners to receive mental health care.”); id. at 51 ("Pursuant to the practice and policy of the Defendants, indigent prisoners with serious mental health needs are regularly denied their right to appropriate mental health care delivered by qualified mental health professionals.”); id. at 82 (stating that the Constitution requires Petitioners to "provide appropriate care and treatment for prisoners with serious mental health needs, even when the prisoners have no money”); see also id. at 52 (noting that the jail has a contract with Colorado West Regional Mental Health Center "to provide mental health services to prisoners at the jail”); id. (explaining that "an indigent prisoner cannot obtain care from any mental health professionals at Colorado West unless” the jail’s medical staff "determines that it is necessary”).
. Respondents argue they need not give content to the equitable relief they request, citing Califano v. Yamasaki,
. This error is striking in light of Petitioners’ repeated assertion that the district court lacked the capacity to provide Respondents with their requested relief. Although the Prison Litigation Reform Act does not inform class certification analysis under Rule 23, see Shook I,
Concurrence Opinion
concurring in result.
I concur in the result. I agree with the court that this case requires us to remand for clarification to be sure that the district court had an accurate view of the facts with regard to Respondents’ claims of inadequate psychiatric care. However, I write separately to indicate my understanding of how district courts should negotiate the complex analysis required under Rule 23 for class certification while avoiding a consideration of the merits under the PLRA.
In Shook v. El Paso County, we reversed a district court’s denial of class certification in a similar case because the court “prematurely focused on whether the court could ultimately fashion a remedy that satisfied the strictures of [the PLRA],” rather than engaging in an analysis that specifically addressed the factors required under Rule 23.
This analysis necessarily requires district courts to walk a fine line between permissibly assessing whether the relief requested could alleviate the complaints of the class as a whole and impermissibly assessing the merits of the case under the PLRA. “In other words, while a district court may not evaluate the strength of a cause of action at the class certification stage, it must consider, without passing judgment on whether plaintiffs will prevail on the merits, whether remedying the harm alleged can be done on a class-wide basis in conformity with Rule 23(b)(2).” Shook II,
In any event, as discussed, Shook II, which clarified the extent to which a district court must inquire into whether the relief requested is appropriate, was decided after the district court opinion in this case. Because the trial judge did not have the benefit of Shook II, it appears that he felt unnecessarily constrained from making any inquiry into the mechanics of the injunction requested, and because the Respondents did not provide such information, I concur in the result that this case be remanded for clarification as to whether the injunctive relief requested would alleviate the various complaints alleged.
