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Barry P. Steinberg, Washington, D.C., attorney of record for
plaintiffs. William A. Aileo, of counsel.
Lee J. Freedman, Armando O. Bonilla, Commercial Litigation Branch,
Civil Division, Department of Justice, Washington, D.C., with whom were
James M. Kinsella, Assistant Director, David M. Cohen, Director, and
David W. Ogden, Acting Assistant Attorney General, attorneys of record for
defendant. Major Maura T. McGowen, United States Air Force, of counsel.
O P I N I O N
Horn, J.
FACTS
Plaintiffs, Ronald F. Berkley, Michael C. Hall, Forrest Joe Lykins, Jr.,
Leonard H. Mattingly, Jr., Thomas William Stanley, Mark Stephen Welte,
Mark E. LaFlamme, David Paul Wilson, Michael H. Deal, Douglas Clayton
Kinneard and James B. Freeman, Jr., brought this action on behalf of
themselves and approximately 1,595 other similarly situated former
commissioned officers of the United States Air Force. The plaintiffs were
considered and selected for involuntary separation from the United States
Air Force by the Fiscal Year 1993 Reduction-In-Force Board (FY93 RIF Board).
Plaintiffs allege that the FY93 RIF Board violated their Fifth Amendment
right to equal protection of the law under the United States Constitution.
Specifically, the plaintiffs claim that, based on a Memorandum of Instruction
issued by the Secretary of the Air Force, the FY93 RIF Board unfairly took
into account racial and gender characteristics when it considered which Air
Force officers would be selected for involuntary separation.
The Air Force established the FY93 RIF Board to screen candidates for
involuntary separation. According to the plaintiffs, the Secretary of the
Air Force issued a written “Memorandum of Instruction,” the purpose of which
was to provide guidance to the FY93 RIF Board. The plaintiffs allege that
the Secretary directed the FY93 RIF Board to consider the racial, ethnic,
and gender classification of each commissioned officer when considering
candidates for separation. Plaintiffs maintain that as a result of the
Secretary’s guidance, evidenced by the Secretary’s Memorandum, they were
unjustly chosen for early separation. The plaintiffs assert that there is
a common legal issue which has equal application to the group of
commissioned officers who were involuntarily separated by the FY93 RIF
Board. Plaintiffs further contend that all members of the potential class
can be readily identified from Air Force records. The plaintiffs maintain
that whether the constitutional rights of the 1,595 potential class members
were violated and how such violations apply to those commissioned officers
are questions of law which predominate over any separate factual issues.
Therefore, according to the plaintiffs, the case is suitable for class
certification. The plaintiffs move this court to certify as a class all
commissioned officers of the United States Air Force who were considered by
and selected for involuntary separation from the United States Air Force by
the FY93 RIF Board. The plaintiffs rely on Quinault Allottee Ass’n v.
United States, 197 Ct. Cl. 134, 453 F.2d 1272 (1972), as support for their
request to certify a class and argue that the eight criteria identified in
that case for determining whether class certification is appropriate have
been met.
The defendant claims that the proposed class is insufficient in number
because it actually consists of multiple sub-groups, and 130 members of the
proposed 1,595 member class are barred from asserting their claims by the
statute of limitations. Defendant also argues that class certification is
inapplicable because of the difficulty in fashioning an appropriate remedy.
The defendant claims that the multiple sub-groups consist of dissimilar
groups of men and women, including male members of identifiable minority
groups, female members of minority groups, and some of both genders who
were awaiting disciplinary or separation proceedings at the time of the
FY93 RIF Board’s review. The defendant, therefore, argues that the
proposed class actually is splintered into numerous separate groups and
that the individual segments are not large enough for certification. The
defendant also submits that certification is inappropriate because in order
to resolve the lawsuit, different case-specific, factual findings on
employment status and damages will be required regarding each of the 1,595
potential plaintiffs.
DISCUSSION
Class actions provide courts with the opportunity to promote good
litigation management by balancing among a variety of competing interests,
including time, efficiency, cost, and the right of individual plaintiffs to
file complaints to redress perceived wrongs, preventing a multiplicity of
suits based on a common wrong to all. Green v. Wolf Corp., 406 F.2d 291,
300 (2nd Cir. 1968), cert. denied, 395 U.S. 977 (1969). The courts also
long have recognized the need for an avenue to redress wrongs, which
otherwise would be unremediable, because the individual claims involved are
too small, or the claimants are too widely dispersed. Id. at 297.
Consequently, the class action procedure was created to allow a few
representatives to sue on behalf of others similarly situated in order to
obtain a judgment which would bind all. Id.; see, e.g., Smith v. Swormstedt,
57 U.S. 288, 302 (1854).
The United States Supreme Court recently discussed the historical use
of the class action by noting the following:
Although representative suits have been recognized in various forms since
the earliest days of English law, class actions as we recognize them today
developed as an exception to the formal rigidity of the necessary parties
rule in equity, as well as from the bill of peace, an equitable device for
combining multiple suits. The necessary parties rule in equity mandated
that “all persons materially interested, either as plaintiffs or defendants
in the subject matter of the bill ought to be made parties to the suit,
however numerous they may be.” But because that rule would at times
unfairly deny recovery to the party before the court, equity developed
exceptions, among them one to cover situations “where the parties are very
numerous, and the court perceives, that it will be impossible to bring them
all before the court; or where the question is of general interest, and a
few may sue for the benefit of the whole; or where the parties form a part
of a voluntary association for public or private purposes, and may be fairly
supposed to represent the rights and interest of the whole. . . .” From
these roots, the modern class action practice emerged . . . .
Ortiz v. Fireboard Corp., __U.S. __, 119 S. Ct. 2295, 2308 (1999)
(citations omitted).
Rule 23 of the Rules of the United States Court of Federal Claims
(RCFC) allows the court broad discretion to determine under what terms and
conditions to certify a class. RCFC 23 provides:
A motion to certify a class action shall be filed with the complaint and
comply with Rule 3(c), with service to be made as provided in Rule 4. The
court shall determine in each case whether a class action may be maintained
and under what terms and conditions.
RCFC 23.
Although RCFC 23 does not offer specific criteria for determining when
class certification is appropriate, the defendant argues that the United
States Court of Federal Claims and its predecessor courts have “generally
disfavored” class action suits, reserving them only for extraordinary cases,
citing an opinion issued earlier by this court, Hannon v. United States,
31 Fed. Cl. 98, 102 (1994).
The instant case provides this court with a welcome opportunity to
further refine its thinking with regard to class action certification after
having had the opportunity to experiment with several test case scenarios
and consolidated case patterns. Although this court believes certification
should remain a tool reserved for carefully selected cases, the court now
also understands the limitations of those other case management devices.
As suggested by the defendant, a number of decisions of the United States
Court of Federal Claims and its predecessor courts have discussed a
“disfavored status” of class action suits in this court and relied on
differing rationales. See Taylor v. United States, 41 Fed. Cl. 440,
445 (1998) (although certifying a class, offers a comprehensive, historical
discussion of class action certification); Moore v. United States, 41 Fed.
Cl. 394, 397 (1998) (although certifying a class, concluding that class
actions are appropriate only when they serve the interests of justice);
Banner v. United States, 38 Fed. Cl. 700, 703-04 (1997) (noting, “[t]hus,
class certification in cases involving takings claims presents significant
issues as to whether legal issues can override factual issues.”); Black v.
United States, 24 Cl. Ct. 471, 477 (1991) (finding five Quinault grounds
for denying class certification); Abel v. United States, 18 Cl. Ct. 477,
477-78 (1989) (denying class certification in a water rights case,
suggesting that specific, individual questions of fact existed based on
area historical uses and varying landscapes of plaintiffs’ lands);
Buchan v. United States, 27 Fed. Cl. 222, 223 (1992) (noting, “[o]ne
consideration is that the majority of actions before the Court of Federal
Claims involve money judgments[,] . . . consolidation of individual
actions, under RUSCFC 42, allows individualized damage
determinations[,]. . .” and expressing concern regarding the opt-in/opt-out
procedure); Armitage v. United States, 18 Cl. Ct. 310, 312-14 (1989)
(citing a string of cases suggesting that the Claims Court “disfavored” and
reserved for extraordinary cases class actions and in the case before the
court discussing difficulties with payout methodology and identification of
class members); Busby School of the N. Cheyenne Tribe v. United States,
8 Cl. Ct. 596, 602 (1985) (declining to certify a class because damages
assessments for each defendant could vary for individual class members);
Saunooke v. United States, 8 Cl. Ct. 327, 329-30 (1985) (recognizing that
“the reported decisions provide no definitive reasons for the limited
regard that the class action has received” in the Court of Claims and
Claims Court, but reviewing a number of the relevant considerations, and
noting that tax refund cases, by their nature, are especially inappropriate
for class action status when only some of the proposed class have paid the
assessed deficiency); O’Hanlon v. United States, 7 Cl. Ct. 204, 206 (1985)
(declining to certify a class and noting, “the case history leading to
promulgation of the Rule [23] in this Court makes clear that the device is
reserved for extraordinary cases and is generally disfavored”).
In Cooke v. United States, 1 Cl. Ct. 695, 697 (1983), although
rejecting certification, the court offered an in-depth review of the issues,
as follows:
[T]here are at least three practical differences between our class action
rule and the rule in the district courts: (1) under our rule, class members
are not bound by adjudication of the class action unless they specifically
opt into the case; (2) there is generally little or no possibility of
inconsistent adjudications of the same issue since the jurisdiction of this
court is usually exclusive; and (3) because the defendant in our cases is
always the same -- the United States -- it may be bound by adverse
determinations even vis-a-vis individuals who are not parties to the
litigation. See, e.g., Monterey Life Systems, Inc., v. United States,
225 Ct. Cl. 50, 60-61, 635 F.2d 821, 826-27 (1980); Swank v. United States,
221 Ct. Cl. 246, 249 (1979).
* * *
- Certification should be granted most liberally in cases
that fall within our areas of concurrent jurisdiction and
thereby are subject to the risks of inconsistent
adjudications. Cases subject to our exclusive jurisdiction
should receive more skeptical consideration.
- A showing of common factual issues should be weighed
more heavily than a showing of common legal issues in
granting certification. Resolution of factual disputes
often involves significant expense. Insofar as factual
issues are truly common to large groups of potential
plaintiffs, class certification may be useful in avoiding
repetitive lawsuits and in spreading the burden of
litigation. On the other hand, the Claims Court can resolve
common legal issues relatively inexpensively by motion in a
single case. In the areas of our exclusive jurisdiction,
such resolution will generally be conclusive under
principles of stare decisis, subject only to the normal
appeals process. Thus, a showing of legal commonality,
while significant in FRCP 23 motions, is of relatively
little import under RUSCC 23.
- Certification should be granted most liberally where
the amount of the individual recovery is small in relation
to the litigation costs. See Quinault Allottee Ass’n v.
United States, 197 Ct. Cl. 134 (1972). It is not necessary
that the litigating costs exceed the likely recovery of each
plaintiff. It is sufficient that the probable cost of
litigation would render individual actions unprofitable
or create a serious free-rider problem.
- Because RUSCC 23 calls for an opt-in procedure rather
than the opt-out procedure in FRCP 23, class certification
puts the court in the position of issuing an invitation to
potential litigants to come forward and assert their claims.
This is a decidedly uncomfortable position for a court to
assume under our system of jurisprudence. The court should
therefore be reluctant to certify a class unless it is
convinced that to do so would serve the interests of
justice.
Cooke v. United States, 1 Cl. Ct. at 697-98 (footnotes omitted).
The decision in Taylor v. United States offered a further discussion
of this court’s apparent historical reluctance to certify class actions.
According to the court, prior to the decision in O’Hanlon v. United States,
7 Ct. Cl. at 206, which described the class action “device” as “generally
disfavored,” the court’s reluctance to certify a class
may be attributed more to the fact that previous cases were not suited for
class action resolution than to a generalized belief that they should not
be certified in this court. . . . Considering the discretionary nature of
RCFC 23 and the fact that it calls for a case-by-case determination, there
appears to be no basis for stating that class actions are “generally
disfavored” and should be used only in “rare and extraordinary cases.”
Taylor v. United States, 41 Fed. Cl. at 444.
Furthermore, the court wrote:
A frequently cited rationale for the disfavored status of class actions is
related to the unique jurisdiction of this court. In cases where a money
judgement is sought against the United States, the court requires
individual proof of the amount of money damages. See Buchan, 27 Fed. Cl.
at 225. This requirement is based on the belief that only individual
plaintiffs can meet the burden of proof for damages when there is a waiver
of sovereign immunity, which is always present in this court. See
Abel v. United States, 18 Cl. Ct. 447, 478 n.1 (1989); Saunooke, 8 Cl. Ct.
at 329. While a valid concern, this rationale principally implicates the
determination of money damages. In this case, the court can certify the
class to determine whether the government is liable to class members for
separation pay. Later, if necessary, the court can use a formula to
determine damages for individual class members. If the determination of
damages becomes too speculative or encumbered by individual factual
issues, the court can decertify the class for determination of money
damages.
Id.
The Taylor court also addressed the use of opt-in and opt-out classes.
Id. Recognizing the reluctance for this court’s predecessors to bind
parties who have not affirmatively joined the litigation by an opt-out
class, the court in Taylor found that the alternatives to class
certification, such as consolidation of cases or using a test case method,
would prove to be difficult since similarly situated persons could fail to
intervene, and there would be an increased chance of inconsistent and
duplicative litigation and a backlog of factually similar cases. Id.
Emphasizing that class certification was the most fair and efficient way to
resolve the dispute for both parties, the court in Taylor found that class
certification could improve case disposition efficiency and reduce
repetitious litigation, and, therefore, allowed the litigation to proceed
as a class suit. Id. The court pointed out, however, that:
Notably in Quinault, the court refused to adopt a general rule for the
certification of class actions or the procedures for a class action once
certified. Instead, the court advocated a case-by-case approach with the
potential of developing a general rule in the future. A general rule has
yet to materialize and therefore, the court is free to apply its discretion
when deciding when and how to certify a class.
Id. at 445.
The decision in Quinault Allottee Ass’n v. United States,
197 Ct. Cl. 134, frequently has been cited as setting an appropriate
eight-part test for assessing whether or not to certify. The Quinault
court adopted much of the practice and procedure of Rule 23 of the Federal
Rules of Civil Procedure employed by the district courts, and stated,
“[t]here is no reason why this court cannot use the same device, if it is
appropriate.” Id. at 137. As noted, the Quinault court, however, declined
to articulate a general rule of standards, for certifying class actions and
suggested proceeding on a case by case basis. Id. at 140. See also
Crone v. United States, 210 Ct. Cl. 499, 515 (1976); Clincher v. United
States, 205 Ct. Cl. 8, 11 (1974), cert. denied, 420 U.S. 991 (1975);
Buchan v. United States, 27 Fed. Cl. at 224; Black v. United States,
24 Cl. Ct. at 477; O’Hanlon v. United States, 7 Cl. Ct. at 206.
Using some portions of Rule 23 of the Federal Rules of Civil
Procedure, the court in Quinault set out eight conjunctive criteria for
determining whether certification is appropriate:
(i) the [members] must constitute a large but manageable class, (ii) there
is a question of law common to the whole class, (iii) this common legal
issue is a predominant one, overriding any separate factual issues
affecting the individual members, (iv) the claims of the present plaintiffs
are typical of the claims of the class, (v) the government has acted on
grounds generally applicable to the whole class, (vi) the claims are so
small that it is doubtful that they would be pursued other than through
this case, (vii) the current plaintiffs will fairly and adequately protect
the interests of the class without a conflict of interest, (viii) the
prosecution of individual actions by members of the class, some in district
courts and some in this court, would create a risk of inconsistent or
varying adjudications.
Quinault v. United States, 197 Ct. Cl. at 140-41.
The eight elements of the Quinault standard for class
certification closely parallel Federal Rule of Civil Procedure 23, as
follows: (1) Quinault states that the members of the class must constitute
a large, but manageable class; Federal Rule of Civil Procedure 23(a)(1)
allows certification if the class is so numerous that joinder of all
members is impracticable, and Federal Rule of Civil Procedure 23(b)(3)(D)
takes into account manageability in allowing class certification;
(2) Quinault requires that there must be a question of law common to the
whole class; Federal Rule of Civil Procedure 23(a)(2) requires questions of
law or fact common to the class; (3) Quinault directs that there must be a
common legal issue that overrides separate factual issues affecting
individual members; Federal Rule of Civil Procedure 23(b)(3) has a
consistent requirement that the question of law or fact common to the
members of the class predominate over any questions affecting only
individual members and that a class action is superior to other available
methods for fair and efficient adjudication; (4) Quinault offers that the
claims of the party plaintiffs should be typical of the claims of the class;
Federal Rule of Civil Procedure 23(a)(3) requires that the claims or
defenses of the representative parties be typical of the claims or defenses
of the class; (5) Quinault directs that the government must have acted on
grounds generally applicable to the whole class; another of the alternatives
identified in Federal Rule of Civil Procedure 23(b) states that one of the
possible elements of a maintainable class action is that the opposing party
to the class has acted or refused to act on grounds generally applicable to
the group (Rule 23(b)(2)); (6) Quinault offers that the court should review
whether the claims of the many claimants are so small that it is doubtful
they otherwise would be pursued; similarly, the underlying theme of Federal
Rule of Civil Procedure 23, as discussed in the Advisory Committee Notes of
1966, suggests that “the amounts at stake for individuals may be so small
that separate suits would be impracticable,” see Federal Rule of Civil
Procedure 23 (Advisory Committee Notes discussing subsection (b)(3) of Rule
23); see also Amchem Products, Inc. v. Windsor, 521 U.S. 591, 616 (1997);
(7) Quinault directs that the party plaintiffs must adequately and fairly
protect the interests of the class without a conflict of interest; the same
requirement is covered in Federal Rule of Civil Procedure 23(a)(4);
(8) Quinault requires consideration of whether the prosecution of individual
lawsuits could create a risk of inconsistent or varying adjudications;
Federal Rule of Civil Procedure 23(b)(1)(A) addresses the same concern.
Thus, according to the Quinault court, the elements articulated in
Federal Rule of Civil Procedure 23, created, in combination, “good lessons”
for determining when to proceed as a class action, Quinault, 197 Ct. Cl.
at 141, and the elements are parallel except in one respect. For class
certification, Federal Rule of Civil Procedure 23 requires four
prerequisites and one of three other factors, including some of the
alternative requirement grounds for certification. In comparison, the
Quinault articulation suggests that all eight elements articulated by the
court should be reviewed to determine whether class certification is
appropriate.
The plaintiffs are correct that the first Quinault factor, which
requires a large, but manageable class, has been satisfied in the instant
case. The plaintiffs allege that there would be approximately 1,595
possible plaintiffs in the proposed class. This is a sufficiently large
number of prospective litigants even if certain potential members are found
to be ineligible because of an expired statute of limitations. Each case
raises the identical legal questions, and originates from the same factual
background, the impact of the Memorandum of Instruction issued by the
Secretary. The potential class, although not small, is manageable, in part
because the defendant should be able to identify the class members by using
military personnel records.
In Taylor v. United States, 213 Army and Air Force employees
were found to satisfy the requirement for a sufficiently large, but
manageable class when the court used a discretionary, case-by-case approach
to approve the numerosity requirements for the class certification. See
Taylor v. United States, 41 Fed. Cl. at 445. The court considered whether
the members of the class were “readily identifiable, easily reachable, and
whether there [were] factual distinctions that would interfere with
resolution of the issues and thus undermine the manageability of the
class.” Id. The court found that, despite the possibility that the
potential plaintiffs were located around the globe, they were linked
through the Army and Air Force, and based on this connection were easily
reachable. Id. Similar to the case at bar, there appeared to be few
factual differences between the liability issues raised by the potential
class members in Taylor v. United States. Id.; see also Moore v. United
States, 41 Fed. Cl. at 397-98); Armitage v. United States, 18 Cl. Ct. at
313 (finding numerosity satisfied by 100,000 class members, yet denying
certification based in part on unidentifiable class members).
The second and third elements of the Quinault test require that the
plaintiffs’ legal claim for recovery must be common to all of the
commissioned officers who met the FY93 RIF Board, and that the separate
factual issues must not override the common legal question. In the instant
case, the plaintiff and defendant agree that the legal and common questions
raised by the plaintiffs’ complaint is whether the FY93 RIF Board denied
the plaintiff equal protection of the law under the Fifth Amendment, and,
if so, whether such a finding should be applied to each plaintiff in a per
se fashion. The issue of whether there is a question of law common to the
whole class is satisfied “when there is one core legal question that is
likely to have one common defense.” Taylor v. United States, 41 Fed. Cl.
at 446 (citing Moore v. United States, 41 Fed. Cl. at 397-98). In Taylor v.
United States, the court held that the common question of law should be
addressed first and is separate from any factual differences involving
damages determination. Id. at 446.
The defendant asserts that there are individual factual issues which
distinguish members of the proposed class and which make this case
inappropriate for class certification. The defendant argues that whether a
specific officer should have been retained on active duty should be based
on his or her individual record of performance. Moreover, the defendant
suggests that over 400 members of the proposed class are women, members of
identifiable minority groups, or both, which would raise issues
substantially different from those of male and non-minority class members,
and that some members of the proposed class were already awaiting
court-martial or separation for cause at the time of the FY93 RIF Board.
These alleged differences, however, should not bar certification in the
instant case once the court makes a determination on the common legal
issues. If the plaintiff were to prevail on the facial challenge to the
Secretary’s Memorandum of Instruction, and if the defendant were to prevail
on the inappropriateness of per se application of a finding adverse to the
defendant on individual plaintiffs, the court could choose to remand the
questions relevant to retention on active duty, correction of military
records, and back pay, to the Secretary of the Air Force for action
consistent with the court’s decision, see Orloff v. Willoughby,
345 U.S. 83, 94 (1953), or develop another mechanism to resolve certain
cases and reach individual damage determinations for those whose military
records are uncontested, see Taylor v. United States, 41 Fed. Cl. at 446.
Because the facial challenge to the Secretary’s Memorandum of Instruction
and its application must be decided first, the second and third
requirements of the Quinault test are satisfied in the instant case.
Next, in order to meet the fourth Quinault test, the plaintiffs
contend that their constitutional claims are uniform and typical of the
proposed class by the very nature of their claim that the Secretary’s
Memorandum of Instruction issued to the FY93 RIF Board violated the
constitutionally protected right of equal protection under the law for all
of the commissioned officers who were involuntarily separated. The
defendant responds by suggesting that if the class is certified, the
individual members of the proposed class will be denied the opportunity to
bring other separate claims beyond the constitutional allegations included
in plaintiff’s complaint. The defendant further argues that dissimilar
remedies, which it believes apply to each of the class members, prevent the
potential class from having the required typicality of claims directed by
the forth element of the Quinault model.
In the past, the typicality requirement in the Quinault test has not
been found to be unusually restrictive. For example, in Armitage v. United
States, 18 Cl. Ct. at 313, the court, although ultimately denying the
request for class certification, was satisfied that the typicality
requirement was met, even though the named plaintiffs, law enforcement
officers, wanted to represent a class of potentially 100,000 diverse federal
employees. A constitutional challenge to federal taking of private land
likewise fulfilled the typicality prerequisite based on a sample of deeds
furnished. Moore v. United States, 41 Fed. Cl. at 399. In Taylor v. United
States, five plaintiffs who claimed they were denied separation pay were
found to be sufficiently typical to represent “all future, present, and
former Army and Air Force Exchange Service (AAFES), non-mobile employees
and all future, present, and former AAFES, mobile employees who did not
make a Permanent Change of Station . . . and who are, were, or will be
employees as defined by 5 U.S.C. § 5597(a)(3).” 41 Fed. Cl. at 443. In the
case at bar, the court believes that the named plaintiffs, who claim a
denial of equal protection under the Constitution of the United States,
are typical of the 1,595 commissioned officers who, according to the
allegations in the plaintiffs’ complaint, were denied the equal protection
of the law based on the Memorandum of Instruction issued by the Secretary
of the Air Force.
The fifth Quinault requirement for class certification calls for the
government to have acted on grounds generally applicable to the whole class.
The plaintiffs assert that the essence of their claim is the uniform use of
racial and gender classifications by the government, as a result of one
secretarial Memorandum of Instruction issued as guidance for use by the
FY93 RIF Board to determine which commissioned officers should be chosen
for involuntary separation. The defendant does not address whether the
alleged action by the government is generally applicable to the whole class;
instead, in its brief, the government lumps together the fourth, fifth and
seventh Quinault tests and propounds its view of the atypical nature of the
proposed class action and the proposed class members.
The fifth Quinault test is satisfied in the above captioned case
because the plaintiffs’ claim alleges that one purportedly unconstitutional
mandate issued by the Secretary of the Air Force was the cause of
plaintiffs’ loss of equal protection under the Constitution. See Moore v.
United States, 41 Fed. Cl. at 400 (holding that the fifth Quinault factor
was met because “the Amendments impact all class members. The government
did not act separately as to landowners; rather its actions affected them
simultaneously.”); Buchan v. United States, 27 Fed. Cl. at 225 (the fifth
Quinault test was met because “the government acted on grounds generally
applicable to the whole class by denying each prospective class member
regularly-scheduled overtime pay for work during the riot.”); Armitage v.
United States, 18 Cl. Ct. at 313 (the fifth Quinault test was met because
the court was satisfied that the government acted in a way generally
applicable to the whole class and the “action [did] not appear to be one
which, at least at the liability phase, implicate[d] matters unique to a
given employee or job.”).
The sixth factor of Quinault directs this court to inquire whether the
claims of the plaintiffs are so small that it is doubtful that otherwise
the claims would be pursued, but for certification of the class action.
The “class-action device was designed to allow an exception to the usual
rule that litigation is conducted by and on behalf of the individual named
parties only.” Califano v. Yamasaki, 442 U.S. 682, 700-01 (1979). Although
each person involved in litigation has a significant interest in
individually controlling the prosecution of his or her case, those interests
“may be no more than theoretic where the individual stake is so small as to
make a separate action impracticable.” See Amchem Products v. Windsor,
521 U.S. at 616 (citing Kaplan, Continuing Work of the Civil Committee:
1966 Amendments of the Federal Rules of Civil Procedure (I), 81 Harv. L.
Rev. 356 (1967) (footnotes omitted in original)). If the approximately
potential 1,595 alleged class members, who are located throughout the
United States, were to bring their not-so-large claims individually, it
could be cost prohibitive for some, if not many.
The seventh requirement of the Quinault test, that the named
plaintiffs will fairly and adequately protect the interests of the class
without a conflict of interest, is satisfied by the eleven named plaintiffs.
All of the plaintiffs are requesting reinstatement and compensation for the
involuntary separation caused by the alleged discriminatory decisions made
by the FY93 RIF Board as a result of the Secretary’s Memorandum of
Instruction. Thus, the plaintiffs argue that they can adequately represent
all former commissioned officers who seek relief pursuant to the Fifth
Amendment of the United States Constitution for actions by the FY93 RIF
Board. Neither side has raised any issue with regard to a possible
conflict of interest regarding any of the named plaintiffs. Moreover,
after the benefit of briefings and oral presentations, it is clear to the
court that as to the liability issues raised in this case, the plaintiffs
and their attorneys can and will fairly and adequately protect the interests
of the class. The court believes that, should a decision in favor of the
plaintiffs on the facial challenge to the Secretary’s directive result in
the need to address potential differences among individual claimants’ claims
for reinstatement and/or entitlement to differing sums of money, the court
then can devise a mechanism to handle those issues, having already
benefitted greatly by certifying the class, both in terms of time and funds
expended by the parties and the court.
The eighth and final consideration for certification under the
Quinault test is whether the prosecution of individual actions by members
of the purported class would create a risk of inconsistent or varying
adjudications. As a general rule, military pay cases come under the review
jurisdiction of the United States Court of Appeals for the Federal Circuit.
28 U.S.C. § 1295(a)(2) (1994); 28 U.S.C. 1346(a)(2) (1994). Consequently,
the applicable precedent is generated in one appellate court.
The United States Supreme Court explained the pattern of judicial
review in United States v. Hohri, 482 U.S. 64, 72-73 (1987), as follows:
Tucker Act claims for more then $10,000 may be brought only in the
United States Claims Court. 28 U.S.C. § 1491(a)(1). Decisions of the
United States Claims Court are appealable only to the Federal Circuit, not
the regional courts of appeals. § 1295(a)(3). Claims for less than $10,000
(i.e., Little Tucker Act claims) may be brought either in federal district
court or in the United States Claims Court. § 1346(a)(2). These claims, so
long as they are not related to federal taxes, also are appealable only to
the Federal Circuit. §§ 1295(a)(2), (3). A conspicuous feature of these
judicial arrangements is the creation of exclusive Federal Circuit
jurisdiction over every appeal from a Tucker Act or nontax Little Tucker Act
claim.
Id. at 72-73; see, e.g., Randell v. United States, 95 F.3d 339, 346 (1996)
(“[t]he United States Court of Appeals for the Federal Circuit, not the
regional courts of appeals, hear cases based in ‘whole or in part’ on the
Tucker Act. 28 U.S.C. 1295(a)(2).”); Wyatt v. United States, 2 F.3d 398
(1993) (a military pay case in which the appeal was adjudicated by the
United States Court of Appeals for the Federal Circuit).
The court in Taylor v. United States similarly concluded that “the
eighth Quinault criterion is no longer applicable because the Federal
Circuit hears all appeals from the district courts and this court in cases
involving requests for money damages from the government.”
41 Fed. Cl. at 447 (citing Moore v. United States, 41 Fed. Cl. at 400).
The eighth factor, therefore, should not prevent this court from certifying
a class action in the above-captioned case.
Prior decisions also have suggested that an expiring statute of
limitations is a “legitimate concern” when deciding whether or not to
certify a class, and one which weighs in the plaintiff’s favor. See
Moore v. United States, 41 Fed. Cl. at 400 (citing Armitage v. United
States, 18 Cl. Ct. at 315). In the instant case, if the class certification
is not granted, the former commissioned officers who have not joined in the
action would be precluded from filing any future claims against the
FY93 RIF Board based on the applicable six year statute of limitations.
The above captioned case was filed by the named plaintiffs on
December 30, 1998, on the very eve of the expiration of the six year
statute of limitations, which commenced to run on December 30, 1992. The
potential class numbers 1,595 commissioned officers involuntarily separated
when the FY93 RIF Board determined the commissioned officers selected for
involuntary separation. Although as pointed out in Moore v. United States,
41 Fed. Cl. at 400, an expiring statute of limitations is not sufficient
reason to grant class action status, and other reasons not to grant class
certification can outweigh such concerns, it is appropriate for a court to
give some consideration to this concern in the interests of justice.
The certification of a class in the case at bar serves the best
interests of justice. “So long as relief is confined to a money judgment,
there is nothing in the type of jurisdiction we have, or the fact that
claims in this court are normally against the United States, to deprive us
of this modern aid to speedier and less repetitious litigation.”
Quinault v. United States, 197 Ct. Cl. at 137-138.
In sum, the United States Supreme Court has written:
The class-action device was designed as “an exception to the usual rule
that litigation is conducted by and on behalf of the individual named
parties only.” Class relief is “peculiarly appropriate” when the “issues
involved are common to the class as a whole” and when they “turn on
questions of law applicable in the same manner to each member of the
class.” For in such cases, “the class-action device saves the resources of
both the courts and the parties by permitting an issue potentially affecting
every [class member] to be litigated in an economical fashion under
Rule 23.”
General Tel. Co. of the Southwest v. Falcon, 457 U.S. 147, 155 (1982)
(citations omitted).
C O N C L U S I O N
Based on the above discussion and in the interests of justice,
judicial economy and judicial efficiency, this court will certify the class
as an opt-in class in accordance with the plaintiffs’ motion. To certify
the class as requested by the plaintiffs will conserve precious judicial
resources, as well as the resources of both the plaintiff and the defendant.
At this stage of the proceedings, the two identified liability issues
involved in the case before the court are common and typical to the class
as a whole, and do not present factual differences, moreover, they are
applicable to each plaintiff in the same manner. The liability issues
presented by the complaint and discussed at the oral argument are whether
the Memorandum of Instruction issued by the Secretary was facially defective
or not and, even if found to be facially defective, whether or not
individual plaintiffs are entitled to per se application of that finding to
their individual case histories. Issues regarding damages will be deferred.
The designated class representative can adequately represent the manageable
class without a conflict of interest, and to certify the class would
eliminate a serious potential for inconsistent adjudications.
In reaching its decision, the court has considered the potential
benefits of certifying a class in the case and of the alternative procedural
tools available to handle multi-party lawsuits stemming from the same basic
factual allegation. As pointed out in Quinault Allottee Ass’n v. United
States, 197 Ct. Cl. at 137, under 28 U.S.C. § 2071 (1994), this court can
prescribe rules of conduct for conducting its own business. In fact, the
court as a whole and individual judges have an ongoing obligation to
continually devise ways to increase judicial efficiency and to reduce costs
in a litigious age. A number of previous decisions have described this
court as favoring the test case approach or the case consolidation method
for dealing with multiple claims litigation. Although useful tools, these
are not the only ones available, and they, too, have inherent risks,
including the potential for misunderstandings and disagreements as to the
application of test case results, and the refusal by counsel to resolve
remaining cases based on completed test cases. Procedurally, test cases
may move the parties to engage in settlement negotiations for the remaining
cases. Although often successful, and, generally, good faith causes all
the parties to move forward towards successful conclusions, the test case
methodology is not a foolproof methodology. With the numerous group of
potential plaintiffs presented in the instant case, case consolidation and
the test case methodology would not be the most efficient way to proceed.
Plaintiffs’ motion to certify plaintiffs as representatives of the class is
GRANTED.
IT IS SO ORDERED.
MARIAN BLANK HORN
Judge
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