Federal Rules of Civil Procedure
Rule 23 — Class Actions
Fed. R. Civ. P. 23
Fed. R. Civ. P. 23 (Class Actions) — published by Counsel Stack Legal Research, free access to 12M+ legal documents.
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Fed. R. Civ. P. 23.
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(a)PREREQUISITES. One or more members of a class may sue or
be sued as representative parties on behalf of all members only if:
(1)the class is so numerous that joinder of all members is
impracticable;
(2)there are questions of law or fact common to the class;
(3)the claims or defenses of the representative parties are
typical of the claims or defenses of the class; and
(4)the representative parties will fairly and adequately pro-
tect the interests of the class.
(b)TYPES OF CLASS ACTIONS. A class action may be maintained
if Rule 23(a) is satisfied and if:
(1)prosecuting separate actions by or against individual
class members would create a risk of:
(A)inconsistent or varying adjudications with respect to
individual class members that would establish incompat-
ible standards of con
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(a) PREREQUISITES. One or more members of a class may sue or
be sued as representative parties on behalf of all members only if:
(1) the class is so numerous that joinder of all members is
impracticable;
(2) there are questions of law or fact common to the class;
(3) the claims or defenses of the representative parties are
typical of the claims or defenses of the class; and
(4) the representative parties will fairly and adequately pro-
tect the interests of the class.
(b) TYPES OF CLASS ACTIONS. A class action may be maintained
if Rule 23(a) is satisfied and if:
(1) prosecuting separate actions by or against individual
class members would create a risk of:
(A) inconsistent or varying adjudications with respect to
individual class members that would establish incompat-
ible standards of conduct for the party opposing the class;
or
(B) adjudications with respect to individual class mem-
bers that, as a practical matter, would be dispositive of
the interests of the other members not parties to the indi-
vidual adjudications or would substantially impair or im-
pede their ability to protect their interests;
(2) the party opposing the class has acted or refused to act
on grounds that apply generally to the class, so that final in-
junctive relief or corresponding declaratory relief is appro-
priate respecting the class as a whole; or
(3) the court finds that the questions of law or fact common
to class members predominate over any questions affecting
only individual members, and that a class action is superior to
other available methods for fairly and efficiently adjudicating
the controversy. The matters pertinent to these findings in-
clude:
(A) the class members’ interests in individually control-
ling the prosecution or defense of separate actions;
(B) the extent and nature of any litigation concerning
the controversy already begun by or against class mem-
bers;
(C) the desirability or undesirability of concentrating
the litigation of the claims in the particular forum; and
(D) the likely difficulties in managing a class action.
(c) CERTIFICATION ORDER; NOTICE TO CLASS MEMBERS; JUDGMENT;
ISSUESCLASSES; SUBCLASSES.
(1) Certification Order.
(A) Time to Issue. At an early practicable time after a
person sues or is sued as a class representative, the court
must determine by order whether to certify the action as
a class action.
(B) Defining the Class; Appointing Class Counsel. An order
that certifies a class action must define the class and the
class claims, issues, or defenses, and must appoint class
counsel under Rule 23(g).
(C) Altering or Amending the Order. An order that grants
or denies class certification may be altered or amended be-
fore final judgment.
(2) Notice.
(A) For (b)(1) or (b)(2) Classes. For any class certified
under Rule 23(b)(1) or (b)(2), the court may direct appro-
priate notice to the class.
(B) For (b)(3) Classes. For any class certified under Rule
23(b)(3)—or upon ordering notice under Rule 23(e)(1) to a
class proposed to be certified for purposes of settlement
under Rule 23(b)(3)—the court must direct to class mem-
bers the best notice that is practicable under the circum-
stances, including individual notice to all members who
can be identified through reasonable effort. The notice
may be by one or more of the following: United States
mail, electronic means, or other appropriate means. The
notice must clearly and concisely state in plain, easily un-
derstood language:
(i) the nature of the action;
(ii) the definition of the class certified;
(iii) the class claims, issues, or defenses;
(iv) that a class member may enter an appearance
through an attorney if the member so desires;
(v) that the court will exclude from the class any
member who requests exclusion;
(vi) the time and manner for requesting exclusion;
and
(vii) the binding effect of a class judgment on mem-
bers under Rule 23(c)(3).
(3) Judgment. Whether or not favorable to the class, the judg-
ment in a class action must:
(A) for any class certified under Rule 23(b)(1) or (b)(2), in-
clude and describe those whom the court finds to be class
members; and
(B) for any class certified under Rule 23(b)(3), include and
specify or describe those to whom the Rule 23(c)(2) notice
was directed, who have not requested exclusion, and whom
the court finds to be class members.
(4) Particular Issues. When appropriate, an action may be
brought or maintained as a class action with respect to par-
ticular issues.
(5) Subclasses. When appropriate, a class may be divided into
subclasses that are each treated as a class under this rule.
(d) CONDUCTINGTHEACTION.
(1) In General. In conducting an action under this rule, the
court may issue orders that:
(A) determine the course of proceedings or prescribe
measures to prevent undue repetition or complication in
presenting evidence or argument;
(B) require—to protect class members and fairly conduct
the action—giving appropriate notice to some or all class
members of:
(i) any step in the action;
(ii) the proposed extent of the judgment; or
(iii) the members’ opportunity to signify whether
they consider the representation fair and adequate, to
intervene and present claims or defenses, or to other-
wise come into the action;
(C) impose conditions on the representative parties or on
intervenors;
(D) require that the pleadings be amended to eliminate
allegations about representation of absent persons and
that the action proceed accordingly; or
(E) deal with similar procedural matters.
(2) Combining and Amending Orders. An order under Rule
23(d)(1) may be altered or amended from time to time and may
be combined with an order under Rule 16.
(e) SETTLEMENT, VOLUNTARY DISMISSAL, OR COMPROMISE. The
claims, issues, or defenses of a certified class—or a class proposed
to be certified for purposes of settlement—may be settled, volun-
tarily dismissed, or compromised only with the court’s approval.
The following procedures apply to a proposed settlement, vol-
untary dismissal, or compromise:
(1) Notice to the Class.
(A) Information That Parties Must Provide to the Court. The
parties must provide the court with information sufficient
to enable it to determine whether to give notice of the pro-
posal to the class.
(B) Grounds for a Decision to Give Notice. The court must
direct notice in a reasonable manner to all class members
who would be bound by the proposal if giving notice is jus-
tified by the parties’ showing that the court will likely be
able to:
(i) approve the proposal under Rule 23(e)(2); and
(ii) certify the class for purposes of judgment on the
proposal.
(2) Approval of the Proposal. If the proposal would bind class
members, the court may approve it only after a hearing and
only on finding that it is fair, reasonable, and adequate after
considering whether:
(A) the class representatives and class counsel have ade-
quately represented the class;
(B) the proposal was negotiated at arm’s length;
(C) the relief provided for the class is adequate, taking
into account:
(i) the costs, risks, and delay of trial and appeal;
(ii) the effectiveness of any proposed method of dis-
tributing relief to the class, including the method of
processing class-member claims;
(iii) the terms of any proposed award of attorney’s
fees, including timing of payment; and
(iv) any agreement required to be identified under
Rule 23(e)(3); and
(D) the proposal treats class members equitably relative
to each other.
(3) Identifying Agreements. The parties seeking approval must
file a statement identifying any agreement made in connec-
tion with the proposal.
(4) New Opportunity to Be Excluded. If the class action was
previously certified under Rule 23(b)(3), the court may refuse
to approve a settlement unless it affords a new opportunity to
request exclusion to individual class members who had an ear-
lier opportunity to request exclusion but did not do so.
(5) Class-Member Objections.
(A) In General. Any class member may object to the pro-
posal if it requires court approval under this subdivision
(e). The objection must state whether it applies only to
the objector, to a specific subset of the class, or to the en-
tire class, and also state with specificity the grounds for
the objection.
(B) Court Approval Required for Payment in Connection
with an Objection. Unless approved by the court after a
hearing, no payment or other consideration may be pro-
vided in connection with:
(i) forgoing or withdrawing an objection, or
(ii) forgoing, dismissing, or abandoning an appeal
from a judgment approving the proposal.
(C) Procedure for Approval After an Appeal. If approval
under Rule 23(e)(5)(B) has not been obtained before an ap-
peal is docketed in the court of appeals, the procedure of
Rule 62.1 applies while the appeal remains pending.
(f) APPEALS. A court of appeals may permit an appeal from an
order granting or denying class-action certification under this
rule, but not from an order under Rule 23(e)(1). A party must file
a petition for permission to appeal with the circuit clerk within
14 days after the order is entered, or within 45 days after the order
is entered if any party is the United States, a United States agen-
cy, or a United States officer or employee sued for an act or omis-
sion occurring in connection with duties performed on the United
States’ behalf. An appeal does not stay proceedings in the district
court unless the district judge or the court of appeals so orders.
(g) CLASSCOUNSEL.
(1) Appointing Class Counsel. Unless a statute provides other-
wise, a court that certifies a class must appoint class counsel.
In appointing class counsel, the court:
(A) must consider:
(i) the work counsel has done in identifying or inves-
tigating potential claims in the action;
(ii) counsel’s experience in handling class actions,
other complex litigation, and the types of claims as-
serted in the action;
(iii) counsel’s knowledge of the applicable law; and
(iv) the resources that counsel will commit to rep-
resenting the class;
(B) may consider any other matter pertinent to counsel’s
ability to fairly and adequately represent the interests of
the class;
(C) may order potential class counsel to provide informa-
tion on any subject pertinent to the appointment and to
propose terms for attorney’s fees and nontaxable costs;
1
(D) may include in the appointing order provisions about
the award of attorney’s fees or nontaxable costs under
Rule 23(h); and
(E) may make further orders in connection with the ap-
pointment.
(2) Standard for Appointing Class Counsel. When one applicant
seeks appointment as class counsel, the court may appoint
that applicant only if the applicant is adequate under Rule
23(g)(1) and (4). If more than one adequate applicant seeks ap-
pointment, the court must appoint the applicant best able to
represent the interests of the class.
(3) Interim Counsel. The court may designate interim counsel
to act on behalf of a putative class before determining whether
to certify the action as a class action.
(4) Duty of Class Counsel. Class counsel must fairly and ade-
quately represent the interests of the class.
(h) ATTORNEY’S FEES AND NONTAXABLE COSTS. In a certified class
action, the court may award reasonable attorney’s fees and non-
taxable costs that are authorized by law or by the parties’ agree-
ment. The following procedures apply:
(1) A claim for an award must be made by motion under Rule
54(d)(2), subject to the provisions of this subdivision (h), at a
time the court sets. Notice of the motion must be served on
all parties and, for motions by class counsel, directed to class
members in a reasonable manner.
(2) A class member, or a party from whom payment is
sought, may object to the motion.
(3) The court may hold a hearing and must find the facts and
state its legal conclusions under Rule 52(a).
(4) The court may refer issues related to the amount of the
award to a special master or a magistrate judge, as provided
in Rule 54(d)(2)(D).
be sued as representative parties on behalf of all members only if:
(1) the class is so numerous that joinder of all members is
impracticable;
(2) there are questions of law or fact common to the class;
(3) the claims or defenses of the representative parties are
typical of the claims or defenses of the class; and
(4) the representative parties will fairly and adequately pro-
tect the interests of the class.
(b) TYPES OF CLASS ACTIONS. A class action may be maintained
if Rule 23(a) is satisfied and if:
(1) prosecuting separate actions by or against individual
class members would create a risk of:
(A) inconsistent or varying adjudications with respect to
individual class members that would establish incompat-
ible standards of conduct for the party opposing the class;
or
(B) adjudications with respect to individual class mem-
bers that, as a practical matter, would be dispositive of
the interests of the other members not parties to the indi-
vidual adjudications or would substantially impair or im-
pede their ability to protect their interests;
(2) the party opposing the class has acted or refused to act
on grounds that apply generally to the class, so that final in-
junctive relief or corresponding declaratory relief is appro-
priate respecting the class as a whole; or
(3) the court finds that the questions of law or fact common
to class members predominate over any questions affecting
only individual members, and that a class action is superior to
other available methods for fairly and efficiently adjudicating
the controversy. The matters pertinent to these findings in-
clude:
(A) the class members’ interests in individually control-
ling the prosecution or defense of separate actions;
(B) the extent and nature of any litigation concerning
the controversy already begun by or against class mem-
bers;
(C) the desirability or undesirability of concentrating
the litigation of the claims in the particular forum; and
(D) the likely difficulties in managing a class action.
(c) CERTIFICATION ORDER; NOTICE TO CLASS MEMBERS; JUDGMENT;
ISSUESCLASSES; SUBCLASSES.
(1) Certification Order.
(A) Time to Issue. At an early practicable time after a
person sues or is sued as a class representative, the court
must determine by order whether to certify the action as
a class action.
(B) Defining the Class; Appointing Class Counsel. An order
that certifies a class action must define the class and the
class claims, issues, or defenses, and must appoint class
counsel under Rule 23(g).
(C) Altering or Amending the Order. An order that grants
or denies class certification may be altered or amended be-
fore final judgment.
(2) Notice.
(A) For (b)(1) or (b)(2) Classes. For any class certified
under Rule 23(b)(1) or (b)(2), the court may direct appro-
priate notice to the class.
(B) For (b)(3) Classes. For any class certified under Rule
23(b)(3)—or upon ordering notice under Rule 23(e)(1) to a
class proposed to be certified for purposes of settlement
under Rule 23(b)(3)—the court must direct to class mem-
bers the best notice that is practicable under the circum-
stances, including individual notice to all members who
can be identified through reasonable effort. The notice
may be by one or more of the following: United States
mail, electronic means, or other appropriate means. The
notice must clearly and concisely state in plain, easily un-
derstood language:
(i) the nature of the action;
(ii) the definition of the class certified;
(iii) the class claims, issues, or defenses;
(iv) that a class member may enter an appearance
through an attorney if the member so desires;
(v) that the court will exclude from the class any
member who requests exclusion;
(vi) the time and manner for requesting exclusion;
and
(vii) the binding effect of a class judgment on mem-
bers under Rule 23(c)(3).
(3) Judgment. Whether or not favorable to the class, the judg-
ment in a class action must:
(A) for any class certified under Rule 23(b)(1) or (b)(2), in-
clude and describe those whom the court finds to be class
members; and
(B) for any class certified under Rule 23(b)(3), include and
specify or describe those to whom the Rule 23(c)(2) notice
was directed, who have not requested exclusion, and whom
the court finds to be class members.
(4) Particular Issues. When appropriate, an action may be
brought or maintained as a class action with respect to par-
ticular issues.
(5) Subclasses. When appropriate, a class may be divided into
subclasses that are each treated as a class under this rule.
(d) CONDUCTINGTHEACTION.
(1) In General. In conducting an action under this rule, the
court may issue orders that:
(A) determine the course of proceedings or prescribe
measures to prevent undue repetition or complication in
presenting evidence or argument;
(B) require—to protect class members and fairly conduct
the action—giving appropriate notice to some or all class
members of:
(i) any step in the action;
(ii) the proposed extent of the judgment; or
(iii) the members’ opportunity to signify whether
they consider the representation fair and adequate, to
intervene and present claims or defenses, or to other-
wise come into the action;
(C) impose conditions on the representative parties or on
intervenors;
(D) require that the pleadings be amended to eliminate
allegations about representation of absent persons and
that the action proceed accordingly; or
(E) deal with similar procedural matters.
(2) Combining and Amending Orders. An order under Rule
23(d)(1) may be altered or amended from time to time and may
be combined with an order under Rule 16.
(e) SETTLEMENT, VOLUNTARY DISMISSAL, OR COMPROMISE. The
claims, issues, or defenses of a certified class—or a class proposed
to be certified for purposes of settlement—may be settled, volun-
tarily dismissed, or compromised only with the court’s approval.
The following procedures apply to a proposed settlement, vol-
untary dismissal, or compromise:
(1) Notice to the Class.
(A) Information That Parties Must Provide to the Court. The
parties must provide the court with information sufficient
to enable it to determine whether to give notice of the pro-
posal to the class.
(B) Grounds for a Decision to Give Notice. The court must
direct notice in a reasonable manner to all class members
who would be bound by the proposal if giving notice is jus-
tified by the parties’ showing that the court will likely be
able to:
(i) approve the proposal under Rule 23(e)(2); and
(ii) certify the class for purposes of judgment on the
proposal.
(2) Approval of the Proposal. If the proposal would bind class
members, the court may approve it only after a hearing and
only on finding that it is fair, reasonable, and adequate after
considering whether:
(A) the class representatives and class counsel have ade-
quately represented the class;
(B) the proposal was negotiated at arm’s length;
(C) the relief provided for the class is adequate, taking
into account:
(i) the costs, risks, and delay of trial and appeal;
(ii) the effectiveness of any proposed method of dis-
tributing relief to the class, including the method of
processing class-member claims;
(iii) the terms of any proposed award of attorney’s
fees, including timing of payment; and
(iv) any agreement required to be identified under
Rule 23(e)(3); and
(D) the proposal treats class members equitably relative
to each other.
(3) Identifying Agreements. The parties seeking approval must
file a statement identifying any agreement made in connec-
tion with the proposal.
(4) New Opportunity to Be Excluded. If the class action was
previously certified under Rule 23(b)(3), the court may refuse
to approve a settlement unless it affords a new opportunity to
request exclusion to individual class members who had an ear-
lier opportunity to request exclusion but did not do so.
(5) Class-Member Objections.
(A) In General. Any class member may object to the pro-
posal if it requires court approval under this subdivision
(e). The objection must state whether it applies only to
the objector, to a specific subset of the class, or to the en-
tire class, and also state with specificity the grounds for
the objection.
(B) Court Approval Required for Payment in Connection
with an Objection. Unless approved by the court after a
hearing, no payment or other consideration may be pro-
vided in connection with:
(i) forgoing or withdrawing an objection, or
(ii) forgoing, dismissing, or abandoning an appeal
from a judgment approving the proposal.
(C) Procedure for Approval After an Appeal. If approval
under Rule 23(e)(5)(B) has not been obtained before an ap-
peal is docketed in the court of appeals, the procedure of
Rule 62.1 applies while the appeal remains pending.
(f) APPEALS. A court of appeals may permit an appeal from an
order granting or denying class-action certification under this
rule, but not from an order under Rule 23(e)(1). A party must file
a petition for permission to appeal with the circuit clerk within
14 days after the order is entered, or within 45 days after the order
is entered if any party is the United States, a United States agen-
cy, or a United States officer or employee sued for an act or omis-
sion occurring in connection with duties performed on the United
States’ behalf. An appeal does not stay proceedings in the district
court unless the district judge or the court of appeals so orders.
(g) CLASSCOUNSEL.
(1) Appointing Class Counsel. Unless a statute provides other-
wise, a court that certifies a class must appoint class counsel.
In appointing class counsel, the court:
(A) must consider:
(i) the work counsel has done in identifying or inves-
tigating potential claims in the action;
(ii) counsel’s experience in handling class actions,
other complex litigation, and the types of claims as-
serted in the action;
(iii) counsel’s knowledge of the applicable law; and
(iv) the resources that counsel will commit to rep-
resenting the class;
(B) may consider any other matter pertinent to counsel’s
ability to fairly and adequately represent the interests of
the class;
(C) may order potential class counsel to provide informa-
tion on any subject pertinent to the appointment and to
propose terms for attorney’s fees and nontaxable costs;
1
(D) may include in the appointing order provisions about
the award of attorney’s fees or nontaxable costs under
Rule 23(h); and
(E) may make further orders in connection with the ap-
pointment.
(2) Standard for Appointing Class Counsel. When one applicant
seeks appointment as class counsel, the court may appoint
that applicant only if the applicant is adequate under Rule
23(g)(1) and (4). If more than one adequate applicant seeks ap-
pointment, the court must appoint the applicant best able to
represent the interests of the class.
(3) Interim Counsel. The court may designate interim counsel
to act on behalf of a putative class before determining whether
to certify the action as a class action.
(4) Duty of Class Counsel. Class counsel must fairly and ade-
quately represent the interests of the class.
(h) ATTORNEY’S FEES AND NONTAXABLE COSTS. In a certified class
action, the court may award reasonable attorney’s fees and non-
taxable costs that are authorized by law or by the parties’ agree-
ment. The following procedures apply:
(1) A claim for an award must be made by motion under Rule
54(d)(2), subject to the provisions of this subdivision (h), at a
time the court sets. Notice of the motion must be served on
all parties and, for motions by class counsel, directed to class
members in a reasonable manner.
(2) A class member, or a party from whom payment is
sought, may object to the motion.
(3) The court may hold a hearing and must find the facts and
state its legal conclusions under Rule 52(a).
(4) The court may refer issues related to the amount of the
award to a special master or a magistrate judge, as provided
in Rule 54(d)(2)(D).
Advisory Committee Notes
(As amended Feb. 28, 1966, eff. July 1, 1966; Mar. 2, 1987, eff. Aug. 1, 1987; Apr. 24, 1998, eff. Dec. 1, 1998; Mar. 27, 2003, eff. Dec. 1, 2003; Apr. 30, 2007, eff. Dec. 1, 2007; Mar. 26, 2009, eff. Dec. 1, 2009; Apr. 26, 2018, eff. Dec. 1, 2018.)