Rule 23 Overview | ClassActionNotifications.com

Federal Rule of Civil Procedure 23 establishes the framework for class actions in federal court. It governs when a case may proceed on behalf of a class, how the court supervises the action, and when notice must—or may—be provided to class members.

Notice requirements vary according to the type and stage of the class action. The court determines whether notice is required, who should receive it, what it must communicate, and which delivery methods are appropriate.

Class certification under Rule 23

Before a case may proceed as a class action, it must satisfy the four prerequisites in Rule 23(a):

Numerosity: The class is sufficiently numerous that joining every member individually would be impracticable.
Commonality: The class members share questions of law or fact.
Typicality: The representative parties’ claims or defenses are typical of those of the class.
Adequacy: The representative parties will fairly and adequately protect the interests of the class.

The action must also qualify under at least one category in Rule 23(b).

Rule 23(b)(1) classes

Rule 23(b)(1) applies when separate actions could create inconsistent obligations for the opposing party or could impair the interests of people who are not parties to the individual actions.

The court may direct appropriate notice. The rule does not provide class members with an automatic right to request exclusion from this type of class.

Rule 23(b)(2) classes

Rule 23(b)(2) generally applies when a party has acted or refused to act on grounds common to the class, making class-wide injunctive or declaratory relief appropriate.

Notice is discretionary under Rule 23(c)(2)(A), and the rule does not provide class members with an automatic right to request exclusion.

Rule 23(b)(3) classes

Rule 23(b)(3) generally applies when common questions predominate over questions affecting only individual members and a class action is superior to other available methods of resolving the dispute.

The court must direct the best notice practicable under the circumstances, including individual notice to every class member who can be identified through reasonable effort. The notice must clearly and concisely explain:

The nature of the action
The definition of the certified class
The class claims, issues, or defenses
The right to appear through an attorney
The right to request exclusion
The deadline and procedure for requesting exclusion
The binding effect of a class judgment

See our detailed discussion of Rule 23(c)(2)(B).

Notice of a proposed class settlement

Rule 23(e) governs the settlement, voluntary dismissal, or compromise of the claims, issues, or defenses of a certified class—or a class proposed for certification for settlement purposes.

Before directing notice, the court must receive enough information to determine that it will likely be able to approve the proposal and, when necessary, certify the class for purposes of judgment. If those requirements are satisfied, the court must direct notice in a reasonable manner to all class members who would be bound by the proposal.

Settlement notice ordinarily explains the proposed resolution, available benefits, important deadlines, and the procedures for submitting a claim, objecting, or requesting exclusion when an exclusion right applies.

Important: A proposed settlement does not necessarily create a new right to opt out. For a previously certified Rule 23(b)(3) class, Rule 23(e)(4) permits—but does not require—the court to condition approval on providing another opportunity for exclusion.

Electronic delivery under Rule 23

Rule 23(c)(2)(B) expressly recognizes that notice may be delivered by United States mail, electronic means, other appropriate means, or a combination of methods. The rule does not designate one delivery method as universally preferred.

Depending on the circumstances and the court’s order, electronic notice may include email or other electronic communications. Settlement websites, digital advertising, and similar methods may also support a broader notice program. No particular method is sufficient in every case.

The 2018 Advisory Committee Note explains that courts and counsel should consider the capabilities and limitations of current technology, including class members’ likely access to it. The objective is to use the means—or combination of means—most likely to be effective in the case before the court.

Plain-language communication

Rule 23(c)(2)(B) requires certification notice for a Rule 23(b)(3) class to use “plain, easily understood language.” Effective notice should make essential information easy to find and understand, including:

Why the recipient is receiving the notice
Whether the recipient must take action
What options are available
When each deadline occurs
Where authoritative case information can be found
How to contact the administrator with questions

The language, format, and delivery method should be suited to the intended audience.

Court supervision and notice documentation

Class-action notice is administered under court supervision. Although Rule 23 does not prescribe a universal reporting format, a court-approved notice plan or applicable order may call for documentation such as:

The sources and condition of class-member contact data
Address, email, or telephone-number validation
Notices sent through each authorized channel
Delivery failures, returned mail, and email bounces
Reminder or follow-up efforts
Website activity and response data
Claims, objections, and exclusion requests
Compliance with the court-approved notice plan

Additional notice authority

Rule 23 also permits courts to require appropriate notice at other stages of a class action. Under Rule 23(d), a court may order notice to protect class members or ensure the fair conduct of the action. Rule 23(h) separately requires notice of class counsel’s fee motion to be directed to class members in a reasonable manner.

The governing subsection, procedural posture, applicable law, and court order should be evaluated before any notice program is designed or implemented.

Legal sources

This page provides general information about federal class-action procedure. It is not legal advice, does not address every requirement that may apply, and should not be relied upon as a substitute for review by qualified counsel. State-court class actions may be governed by different procedural rules.