Morris v. Tate

24 F. App'x 520
CourtCourt of Appeals for the Sixth Circuit
DecidedDecember 26, 2001
DocketNo. 00-3454, 00-3455, 00-3090
StatusPublished
Cited by14 cases

This text of 24 F. App'x 520 (Morris v. Tate) is published on Counsel Stack Legal Research, covering Court of Appeals for the Sixth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Morris v. Tate, 24 F. App'x 520 (6th Cir. 2001).

Opinion

DAVID A. NELSON, Circuit Judge.

These are appeals from district court orders entered in the wake of the $4.1 million settlement of a prisoner class action arising from the riot that occurred at the Southern Ohio Correctional Facility at Lucasville, Ohio, in 1993. For background on the settlement, see In re Southern Ohio Correctional Facility, 173 F.R.D. 205 (S.D.Ohio 1997).

The order at issue in Case No. 00-3090 granted “incentive awards” of $7,500 to each of the two named plaintiffs, Darren Morris and Eugene Adams. The orders at issue in Case No. 00-3455 are protective orders that barred public disclosure of documents consisting of (1) completed claim forms and related evidentiary materials filed with a court-appointed special master/claims administrator by individual members of the plaintiff class, (2) responsive materials filed by the state, (3) claim determinations by the administrator, and (4) claimant appeals from such determinations. The order at issue in Case No. 00-3454 denied an intervention request filed by various local agencies in Cuyahoga County, Ohio, in an effort to facilitate the collection of debts owed by certain class members.

Upon review, we conclude that the settlement agreement did not provide for a grant of incentive awards and that the district court exceeded its authority in approving such awards. We further conclude that the breadth of the challenged protective orders is not supported by the record. Finally, we conclude that the Cuyahoga County entities failed to satisfy the requirements of Fed.R.Civ.P. 24(a) for intervention as of right; the denial of such intervention will be affirmed.

I

A

The 1993 riot at the Southern Ohio Correctional Facility was the longest and third deadliest prison uprising in United States history. It prompted the filing of the present class action, in which damages and injunctive relief were sought on behalf of inmates who had not committed illegal acts in the disturbance and whose constitutional rights had allegedly been violated by the state.

On December 2, 1994, the district court certified the case as a class action under Fed.R.Civ.P. 23(b)(2). After more than two years of negotiations and a summary jury trial, the parties agreed to settle the dispute. On January 22, 1997, the parties signed an agreement styled “Class Action Memorandum of Understanding.” Among other things, the Memorandum of Understanding mandated the creation of a $4.1 million settlement fund from which claims of individual class members were to be paid on the recommendation of the claims administrator. Any residual amount left in the settlement fund after payment of all [523]*523valid claims was to be used for “inmate programming.”

The parties also negotiated general procedures for the administration and distribution of the settlement fund. The agreement as to procedure was memorialized in a separate document entitled “General Protocol for Claims by Class Members Against Settlement Fund.” The Memorandum of Understanding and the General Protocol (collectively, the “settlement agreement”) embodied the complete understanding between the parties. On January 30,1997, the district court preliminarily approved the settlement and ordered that notice of the proposed agreement be sent to the class members.

On March 3, 1997, counsel for the class submitted a request for fees and expenses. The list of claimed expenses included “incentive awards” in the amount of $25,000 apiece for the two named plaintiffs. The state objected to the payment of such awards, as did two class members. The district court deferred ruling on the question of incentive awards until completion of a fairness hearing that had been scheduled for April 15,1997.

The fairness hearing was duly held, after which, on April 22, 1997, the district court granted final approval to the settlement. See In re Southern Ohio Correctional Facility, 173 F.R.D. at 212-215. Although the court approved the recovery of $1.4 million in attorney fees and $258,613.41 in expenses, the issue of incentive awards was left unresolved as an “administrative detail concerning the enforcement of the Settlement.” Id. at 215.

In July of 1997 the district court held in principle that the two named plaintiffs should receive incentive awards. See In re Southern Ohio Correctional Facility, 175 F.R.D. 270 (S.D.Ohio 1997) (order). The court did not set the amount of the awards, but asked for a recommendation on this subject from the claims administrator. See id. at 276. In the same order, the district court expressed reservations about the manner in which the request for incentive awards had been made and the fact that members of the class had not been apprised of the request before the fairness hearing. See id. at 277. Accordingly, the court decided that the incentive awards would not be deducted from the amount remaining to be divided but would instead be taken from the funds already set aside for attorney fees and expenses. See id.

The defendants appealed the grant of incentive awards, but this court dismissed the appeal as premature because the amount had not yet been determined. See In re Southern Ohio Correctional Facility, No. 97-3982 (6th Cir. March 23, 1998) (unpublished order).

In an order dated December 29, 1999, the district court approved a recommendation by the claims administrator that the two class representatives be paid $7,500 apiece. See In re Southern Ohio Correctional Facility, No. C-1-93-436 (S.D.Ohio Dec. 29, 1999) (order). The stated basis for these awards was that “the class representatives performed important work on behalf of the other members of class and class counsel,” serving as a “crucial link for class members and counsel throughout the proceedings” and keeping the “class members generally informed in the progress of the case and relaying] information back to class counsel.” In re Southern Ohio Correctional Facility, No. C-1-93-436 (S.D.Ohio Dec. 16, 1999) (recommendation of special master to grant incentive awards). In a subsequent order, the district court stayed its grant of incentive awards pending appeal. See In re Southern Ohio Correctional Facility, No. C-l-93-436 (S.D.Ohio Feb. 28, 2000) (order).

[524]*524B

While the issue of incentive awards was being considered, the process of adjudicating individual claims against the settlement fund was set in motion. Under this process the claims administrator was to distribute claim forms for completion by members of the class. Claimants were required to detail the nature and amount of their claims and provide supporting documentation from such records as prison staff reports, incident reports, inmate medical records, independent medical records, infirmary logs, disturbance logs, hospital records, photos, videotapes, inmate title records, property room records, court of claims case records, and prison grievance forms. The state was to be provided with a complete copy of each claim submission and was to be given an opportunity to file a response that might also include relevant documentation. Each claimant was to receive a copy of the response, as was class counsel, and an opportunity to reply was provided. The claims administrator was then to adjudicate the claims on the basis of the materials in the claim files.

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24 F. App'x 520, Counsel Stack Legal Research, https://law.counselstack.com/opinion/morris-v-tate-ca6-2001.