Federal Class Action Filing Checklist

Court: United States District Court for the [________________________________]

Case Number: [________________________________]

Case Caption: [________________________________], on behalf of themselves and all others similarly situated, v. [________________________________]

Named Plaintiff(s): [________________________________]

Filing Attorney: [________________________________]

Date Prepared: [__/__/____]

I. Jurisdiction Analysis

Federal Question Jurisdiction (28 U.S.C. § 1331)

☐ Claims arise under federal law
☐ Federal statute authorizing class action identified
☐ Federal law: [________________________________]

Traditional Diversity Jurisdiction (28 U.S.C. § 1332(a))

☐ Complete diversity of citizenship
☐ Amount in controversy exceeds $75,000 per plaintiff
☐ Aggregation rules do not permit class-wide aggregation

Class Action Fairness Act (CAFA) Jurisdiction (28 U.S.C. § 1332(d))

☐ Minimal Diversity: At least one class member diverse from at least one defendant
☐ Class Size: 100 or more proposed class members
☐ Amount in Controversy: Aggregate claims exceed $5,000,000 (exclusive of interest and costs)
☐ No CAFA exceptions apply:
☐ Not home state exception (2/3 of class members from defendant's home state)
☐ Not local controversy exception
☐ Not state action exception

II. Pre-Filing Investigation

Named Plaintiff(s) Investigation

☐ Named plaintiff(s) identified and vetted
☐ Typicality of claims verified
☐ Adequacy of representation confirmed
☐ No conflicts with class members
☐ Retainer agreement signed
☐ Named plaintiff willing to serve throughout litigation

Class Definition Development

☐ Proposed class definition drafted
☐ Class is objectively ascertainable
☐ Class definition based on objective criteria
☐ Subclasses considered (if needed)

Defendant Investigation

☐ All proper defendants identified
☐ Corporate structure analyzed
☐ Citizenship of defendants determined

III. Complaint Drafting Requirements

Caption Requirements

☐ Named plaintiff(s) identified by name
☐ "On behalf of themselves and all others similarly situated"
☐ All defendants named

Class Allegations Section

☐ Proposed class definition
☐ Numerosity allegations
☐ Commonality allegations
☐ Typicality allegations
☐ Adequacy of representation allegations
☐ Rule 23(b) allegations (which subsection applies)

Substantive Claims

☐ All claims clearly stated
☐ Class-wide nature of each claim alleged
☐ Individual and class relief sought

IV. Rule 23(a) Prerequisites

Numerosity (Rule 23(a)(1))

☐ Class is so numerous joinder is impracticable
☐ Estimated class size: [________________________________]
☐ Evidence supporting numerosity identified
☐ No specific number required (40+ members typically sufficient)

Commonality (Rule 23(a)(2))

☐ Common questions of law or fact exist
☐ Common questions identified:
☐ [________________________________]
☐ [________________________________]
☐ [________________________________]
☐ Resolution will generate common answers
☐ Post-Dukes analysis: common contention central to claims

Typicality (Rule 23(a)(3))

☐ Named plaintiff claims arise from same course of conduct
☐ Named plaintiff claims based on same legal theory
☐ Named plaintiff will advance same arguments
☐ No unique defenses to named plaintiff

Adequacy of Representation (Rule 23(a)(4))

☐ Named plaintiff will fairly and adequately protect class interests
☐ No conflicts of interest with class members
☐ Named plaintiff understands role and obligations
☐ Counsel is qualified, experienced, and able to conduct litigation

V. Rule 23(b) Class Type

Rule 23(b)(1) - Risk of Inconsistent Adjudications

☐ (b)(1)(A): Individual actions would create incompatible standards
☐ (b)(1)(B): Individual actions would impair others' interests

Rule 23(b)(2) - Injunctive or Declaratory Relief

☐ Defendant acted on grounds generally applicable to class
☐ Final injunctive or declaratory relief appropriate
☐ Not primarily seeking monetary damages
☐ Appropriate for civil rights claims

Rule 23(b)(3) - Damages Class

☐ Common questions predominate over individual questions
☐ Class action is superior to other methods
☐ Superiority factors considered:
☐ Class member interest in individual control
☐ Existing litigation by class members
☐ Desirability of concentrating litigation
☐ Difficulties in managing class action

VI. Filing Requirements

Required Documents

☐ Class Action Complaint
☐ All caption requirements met
☐ Class allegations included
☐ FRCP 8 requirements satisfied
☐ Jury demand (if applicable)

☐ Civil Cover Sheet (JS-44)
☐ Nature of suit code for class action
☐ Class action box checked

☐ Summons for each defendant

☐ Corporate Disclosure Statement (FRCP 7.1)

Filing Fee

☐ Standard civil filing fee: $405.00 (verify current amount)
☐ Fee paid via Pay.gov or other accepted method

VII. CAFA Notice Requirements (28 U.S.C. § 1715)

For Proposed Settlements Only

☐ Notice to appropriate federal and state officials
☐ Notice sent within 10 days of proposed settlement filing
☐ Required contents included:
☐ Complaint
☐ Notice of proposed settlement
☐ Proposed settlement agreement
☐ Class member notification
☐ Schedule of hearings
☐ Other required materials

VIII. Motion for Class Certification

Timing

☐ Filed at earliest practicable time (FRCP 23(c)(1)(A))
☐ Class discovery completed or substantially underway
☐ Court scheduling order deadline: [__/__/____]

Motion Contents

☐ Proposed class definition
☐ Analysis of all Rule 23(a) prerequisites
☐ Analysis of applicable Rule 23(b) category
☐ Proposed class counsel qualifications (Rule 23(g))
☐ Proposed notice plan (for 23(b)(3) classes)

Supporting Evidence

☐ Named plaintiff declaration(s)
☐ Expert declarations (if needed for certification issues)
☐ Documentary evidence supporting class allegations
☐ Counsel qualifications and experience

Class Counsel Appointment (Rule 23(g))

☐ Counsel's work in identifying/investigating claims
☐ Counsel's experience in class actions
☐ Counsel's knowledge of applicable law
☐ Resources counsel will commit

IX. Class Notice (Rule 23(c)(2))

For Rule 23(b)(3) Classes - Best Notice Practicable

☐ Individual notice to identifiable members
☐ Notice methods:
☐ First-class mail
☐ Email
☐ Publication (if direct notice impracticable)
☐ Notice contents:
☐ Nature of action
☐ Class definition
☐ Class claims, issues, or defenses
☐ Right to appear through counsel
☐ Right to opt out
☐ Binding effect of class judgment
☐ Opt-out deadline

For Rule 23(b)(1) and (b)(2) Classes

☐ Appropriate notice as directed by court
☐ Generally no opt-out right

X. Discovery Considerations

Class Discovery

☐ Discovery on class certification issues
☐ Depositions of named plaintiffs
☐ Defendant depositions on class issues
☐ Document requests regarding class members
☐ Interrogatories on class size, composition

Merits Discovery

☐ Standard FRCP discovery rules apply
☐ ESI protocols for large-scale discovery
☐ Coordinated discovery with class counsel

XI. Settlement Considerations

Court Approval Required (Rule 23(e))

☐ Notice to class of proposed settlement
☐ Fairness hearing scheduled
☐ Settlement approval criteria:
☐ Fair, reasonable, and adequate
☐ Adequate representation
☐ Arms-length negotiation
☐ Relief adequate given costs, risks, delay
☐ Equitable treatment of class members

Objectors

☐ Process for class member objections
☐ Objection deadline set
☐ Response to objections prepared

Attorneys' Fees

☐ Fee arrangement disclosed
☐ Fee petition procedures
☐ Common fund vs. fee-shifting considerations

XII. Post-Filing Deadlines

Typical Class Action Timeline

XIII. Quality Control Checklist

Before Filing Complaint

☐ Jurisdiction firmly established
☐ Named plaintiff(s) thoroughly vetted
☐ Class definition objective and ascertainable
☐ All Rule 23 requirements analyzed
☐ Supporting evidence identified
☐ Conflicts check completed

Before Filing Certification Motion

☐ Rule 23(a) prerequisites supported by evidence
☐ Rule 23(b) requirements analyzed
☐ Expert reports obtained (if needed)
☐ Class counsel qualifications documented
☐ Notice plan developed

XIV. Document Tracking Log

Sources and References

• FRCP Rule 23: https://www.law.cornell.edu/rules/frcp/rule_23
• Class Action Fairness Act: https://www.law.cornell.edu/uscode/text/28/1332
• Federal Judicial Center Class Action Resources: https://www.fjc.gov

Prepared by: [________________________________]

Date: [__/__/____]

Supervising Attorney (if applicable): [________________________________]