REVISED April 15, 2009
IN THE UNITED STATES COURT OF APPEALS
FOR THE FIFTH CIRCUIT
United States Court of Appeals
Fifth Circuit
FILED
No. 08-30201 April 14, 2009
Charles R. Fulbruge III
MARK HENRY Clerk
Plaintiff-Appellee
v.
LAKE CHARLES AMERICAN PRESS LLC; LAKE CHARLES AMERICAN
PRESS INC; SHEARMAN CO LLC; SHEARMAN CORP; HECTOR SAN
MIGUEL
Defendants-Appellants
Appeal from the United States District Court
for the Western District of Louisiana
Before SMITH, BARKSDALE, and PRADO, Circuit Judges.
PRADO, Circuit Judge:
In the forty-five years since the Supreme Court’s decision in New York
Times Co. v. Sullivan, 376 U.S. 254 (1964), courts and legislatures have
endeavored to strike a balance between individuals’ interests in their reputation
and the public interest in free and robust debate. The resulting interplay of
defamation law and the First Amendment has substantially lessened the chilling
effect of abusive tort claims for conduct stemming from the exercise of First
Amendment rights. While these efforts have shielded individuals from the chill
No. 08-30201
of liability, they have often failed to protect speakers from the similarly-chilling
cost and burden of defending such tort claims. Concerned over the growth of
meritless lawsuits that have the purpose or effect of chilling the exercise of First
Amendment rights, a number of state legislatures have created a novel method
for better striking the balance between interests in individual reputation and
freedom of speech.
This appeal addresses one such method, specifically, Article 971 of
Louisiana’s Code of Civil Procedure. Article 971 provides a mechanism whereby
a plaintiff bringing a defamation claim must show a probability of success on the
merits before proceeding. Defendants-Appellants consist of four entities—Lake
Charles American Press, L.L.C.; Lake Charles American Press, Inc.; Shearman
Co. L.L.C.; and Shearman Corp.—as well as the author of the majority of the
newspaper articles in question—Hector San Miguel (collectively “American
Press”). American Press brought an Article 971 motion in response to Plaintiff-
Appellee Mark Henry’s (“Henry”) defamation suit. Henry, owner of an airport
refueling operation, asserts that American Press defamed him by reporting that
Henry provided military aircraft with contaminated fuel that caused their
engines to fail, or “flame out.”
The district court denied American Press’s motion, and American Press
brought an immediate appeal. As a threshold matter, we hold that we have
jurisdiction over this interlocutory appeal. Moreover, as Henry has failed to
establish the necessary probability of success, we reverse the district court’s
order and render judgment dismissing Henry’s defamation claim. Further, we
remand the case to the district court for a determination of American Press’s
entitlement to fees and costs.
I. FACTUAL AND PROCEDURAL BACKGROUND
Henry was the owner and president of Chennault Jet Center, Inc. (“CJC”)
from 1995 to 2005. CJC operated out of the Chennault International Airport in
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No. 08-30201
Lake Charles, Louisiana, and had contracted with the Defense Logistics Agency
to refuel military aircraft. In February 2005, the government notified CJC that
it was initiating an investigation into whether CJC had sold contractually
noncompliant fuel for use in military aircraft. In April 2005, the government
terminated the Defense Logistics Agency’s contract with CJC.
From May 2005 to January 2006, American Press published a series of
articles describing the investigation of CJC’s fueling practices. Henry asserts
that these articles contained several defamatory statements, but focuses
primarily on reports that CJC provided “contaminated fuel” to military aircraft
that may have caused them to flame out.
On May 10, 2006, Henry sued American Press for defamation in Texas
state court. American Press removed the case to the Southern District of Texas
on the basis of diversity and later successfully moved to transfer the case to the
Western District of Louisiana. On August 20, 2007, the district court
determined that Louisiana substantive law governed the dispute and permitted
American Press to file a special motion to strike pursuant to Article 971 of the
Louisiana Code of Civil Procedure (“Article 971”). As discussed further below,
Article 971 provides a mechanism whereby plaintiffs bringing certain tort claims
must show a probability of success on their claim before proceeding. The district
court initially denied American Press’s Article 971 motion, and American Press
requested reconsideration. The district court granted reconsideration and again
denied American Press’s motion in a more detailed opinion. American Press
then filed a notice of appeal from the district court’s order denying its Article 971
motion.
II. STANDARD OF REVIEW
Louisiana law, including the nominally-procedural Article 971, governs
this diversity case. See Erie R.R. Co. v. Tompkins, 304 U.S. 64, 78 (1938);
Welborn v. State Farm Mut. Auto. Ins. Co., 480 F.3d 685, 687 (5th Cir. 2007) (per
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No. 08-30201
curiam); cf. United States ex rel. Newsham v. Lockheed Missiles & Space Co., 190
F.3d 963, 972–73 (9th Cir. 1999) (holding that a similar motion to strike under
California state law applies in federal court); Thomas v. Fry’s Elecs., Inc., 400
F.3d 1206, 1207 (9th Cir. 2005) (per curiam) (reaffirming Newsham).
This court has jurisdiction to determine its own jurisdiction. Houston
Cmty. Hosp. v. Blue Cross & Blue Shield of Tex., Inc., 481 F.3d 265, 268 (5th Cir.
2007). As to the merits, an Article 971 special motion to strike presents a
question of law that Louisiana state courts review de novo. See, e.g., Melius v.
Keiffer, 980 So. 2d 167, 170 (La. App. 4th Cir. 2008); Lamz v. Wells, 938 So. 2d
792, 795 (La. App. 1st Cir. 2006); Aymond v. Dupree, 928 So. 2d 721, 726 (La.
App. 3d Cir.), writ denied, 938 So. 2d 85 (La. 2006). Thus, this court reviews de
novo a district court’s ruling on an Article 971 motion. Cf. Zamani v. Carnes,
491 F.3d 990, 994 (9th Cir. 2007) (reviewing de novo a district court’s decision
on a similar motion to strike under California state law); Bosley Med. Inst., Inc.
v. Kremer, 403 F.3d 672, 676 (9th Cir. 2005) (same); Vess v. Ciba-Geigy Corp.
USA, 317 F.3d 1097, 1102 (9th Cir. 2003) (same).
III. DISCUSSION
A. Jurisdiction
1. Louisiana’s Article 971
A number of state legislatures have expressed concerns over the use (or
abuse) of lawsuits that have the purpose or effect of chilling the exercise of First
Amendment rights. These suits are commonly referred to as “strategic lawsuits
against public participation,” or “SLAPPs.” In response to the growth of
SLAPPs, some states have provided a procedural method—often called a “special
motion to strike” but also known as an “anti-SLAPP motion” or
“SLAPPback”—to weed out and dismiss meritless claims early in litigation.
Dismissal of these frivolous tort claims saves defendants the cost and burden of
trial and minimizes the chilling effect of these lawsuits. At the same time,
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No. 08-30201
meritorious claims proceed, vindicating the interests of those who actually
suffered from defamation or other torts.
Article 971 of the Louisiana Code of Civil Procedure provides one such
method. In the act creating Article 971, the Louisiana legislature set out the
reasons behind and purposes of the law:
The legislature finds and declares that there has been a disturbing
increase in lawsuits brought primarily to chill the valid exercise of
the constitutional rights of freedom of speech and petition for
redress of grievances. The legislature finds and declares that it is
in the public interest to encourage continued participation in
matters of public significance, and that this participation should not
be chilled through abuse of the judicial process. To this end, it is the
intention of the legislature that the Article enacted pursuant to this
Act shall be construed broadly.
Thomas v. City of Monroe, 833 So. 2d 1282, 1286 (La. App. 2d Cir. 2002) (quoting
1999 La. Acts 734). Thus, “Article 971 was enacted by the legislature as a
procedural device to be used early in legal proceedings to screen meritless claims
pursued to chill one’s constitutional rights under the First Amendment of the
United States Constitution to freedom of speech and press.” Lee v. Pennington,
830 So. 2d 1037, 1041 (La. App. 4th Cir. 2002), writ denied, 836 So. 2d 52 (La.
2003); see also Lamz, 938 So. 2d at 796 (“The intent of Article 971 is to encourage
continued participation in matters of public significance and to prevent this
participation from being chilled through an abuse of judicial process.”); Baxter
v. Scott, 847 So. 2d 225, 231 (La. App. 2d Cir.) (“Article 971 is a procedural
device to be used in the early stages of litigation to screen those claims which
lack merit and which would chill public participation in matters of public
interest.”), vacated as moot, 860 So. 2d 535 (La. 2003); Stern v. Doe, 806 So. 2d
98, 100 (La. App. 4th Cir. 2001) (“The purpose of [Article 971] is to review
frivolous and meritless claims against the media at a very early stage in the
legal proceedings.”).
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No. 08-30201
The portion of Article 971 relevant to the present purposes provides as
follows:
A cause of action against a person arising from any act of that
person in furtherance of the person’s right of petition or free speech
under the United States or Louisiana Constitution in connection
with a public issue shall be subject to a special motion to strike,
unless the court determines that the plaintiff has established a
probability of success on the claim.
LA. CODE CIV. PROC. art. 971(A)(1). Once a defendant files an Article 971 motion,
the trial court stays all discovery except that which the court, “on noticed motion
and for good cause,” orders to be conducted. Id. art. 971(D). The prevailing
party on a special motion is entitled to reasonable attorneys fees and costs, id.
art. 971(B), and a plaintiff that successfully establishes a probability of success
on the merits may submit the trial court’s determination as evidence at trial, id.
art. 971(A)(3).
Article 971 establishes a burden-shifting analysis for weeding out frivolous
claims. To succeed on an Article 971 motion, the defendant must first make a
prima facie showing that Article 971 covers the activity underlying the suit.
That is, the defendant must “establish[] that a cause of action against him arises
from an act by him in furtherance of the exercise of his right of petition or free
speech under the United States or Louisiana Constitution in connection with a
public issue.” Starr v. Boudreaux, 978 So. 2d 384, 388–89 (La. App. 1st Cir.
2007). If the defendant makes this showing, “the burden then shifts to the
plaintiff to demonstrate a probability of success on his claim.” Id. at 389.
If the plaintiff fails to demonstrate a probability of success, the trial court
dismisses the claim. Otherwise, the trial court denies the motion and the suit
proceeds as it normally would. In Louisiana state courts, an unsuccessful
movant can obtain immediate appellate review of the trial court’s denial of the
Article 971 motion through a writ of supervision under Article 2201 of the
Louisiana Code of Civil Procedure. See LA. CODE CIV. PROC. art. 2201
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No. 08-30201
(“Supervisory writs may be applied for and granted in accordance with the
constitution and rules of the supreme court and other courts exercising appellate
jurisdiction.”). Several Louisiana courts of appeal have immediately reviewed
a trial court’s denial of an Article 971 motion pursuant to these supervisory
writs. See, e.g., Darden v. Smith, 879 So. 2d 390, 393 (La. App. 3d Cir.), writ
denied, 887 So. 2d 480 (La. 2004); Baxter, 847 So. 2d at 230; Benson v. City of
Marksville, 812 So. 2d 687, 690 (La. App. 3d Cir.), writ denied, 817 So. 2d 1158
(La. 2002).
2. The Collateral Order Doctrine
The threshold issue in this appeal is whether a district court’s denial of an
Article 971 motion is immediately appealable under 28 U.S.C. § 1291. “[S]ince
appeals of right have been authorized by Congress . . . , there has been a firm
congressional policy against interlocutory or ‘piecemeal’ appeals and courts have
consistently given effect to that policy.” Abney v. United States, 431 U.S. 651,
656 (1977). Section 1291 is part of that policy. Under § 1291, this court has
“jurisdiction of appeals from all final decisions of the district courts of the United
States.” 28 U.S.C. § 1291. “For purposes of [§ 1291], a final judgment is
normally deemed not to have occurred ‘until there has been a decision by the
District Court that ends the litigation on the merits and leaves nothing for the
court to do but execute the judgment.’” Midland Asphalt Corp. v. United States,
489 U.S. 794, 798 (1989) (quoting Van Cauwenberghe v. Biard, 486 U.S. 517, 521
(1988)). Thus, as a general rule, parties must litigate all issues in the trial court
before appealing any one issue. “Appeal is thereby precluded from any decision
which is tentative, informal or incomplete, as well as from any fully
consummated decisions, where they are but steps towards final judgment in
which they will merge.” P.R. Aqueduct & Sewer Auth. v. Metcalf & Eddy, Inc.,
506 U.S. 139, 142 (1993) (quotation marks omitted).
In Cohen v. Beneficial Industrial Loan Corp., 337 U.S. 541, 546 (1949), the
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No. 08-30201
Supreme Court recognized the existence of a “small class [of decisions] which
finally determine claims of right separable from, and collateral to, rights
asserted in the action, too important to be denied review and too independent of
the cause itself to require that appellate consideration be deferred until the
whole case is adjudicated.” Thus was born the “collateral order doctrine,” which
“establishes that certain decisions of the district court are final in effect although
they do not dispose of the litigation.” Davis v. E. Baton Rouge Parish Sch. Bd.,
78 F.3d 920, 925 (5th Cir. 1996). The Cohen Court noted that it “ha[d] long
given [§ 1291] this practical rather than a technical construction,” 337 U.S. at
546, and later courts have emphasized that “[t]he collateral order doctrine is best
understood not as an exception to the ‘final decision’ rule laid down by Congress
in § 1291, but as a ‘practical construction’ of it,” Digital Equip. Corp. v. Desktop
Direct, Inc., 511 U.S. 863, 867 (1994); see also Will v. Hallock, 546 U.S. 345, 349
(2006); Regan v. Starcraft Marine, LLC, 524 F.3d 627, 632 (5th Cir. 2008);
Sherwinski v. Peterson, 98 F.3d 849, 851 (5th Cir. 1996). The primary issue in
the present appeal, then, is whether a district court’s denial of an Article 971
motion is among that “small class of interlocutory orders [that] are immediately
appealable to the courts of appeals.” Nixon v. Fitzgerald, 457 U.S. 731, 742
(1982).
To fall within Cohen’s collateral order doctrine, an “order must
(1) conclusively determine the disputed question, (2) resolve an important issue
completely separate from the merits of the action, and (3) be effectively
unreviewable on appeal from a final judgment.” Coopers & Lybrand v. Livesay,
437 U.S. 463, 468 (1978) (numbering added); see also Will, 546 U.S. at 349
(noting that “[t]he requirements for collateral order appeal have been distilled
down to [these] three conditions”). Although the second condition requires that
an issue be “important,” there has been much confusion over where importance
actually applies. See Kelly v. Ford Motor Co. (In re Ford Motor Co.), 110 F.3d
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No. 08-30201
954, 959 (3d Cir. 1997) (noting that “the jurisprudence surrounding the
importance criterion is somewhat murky”). Some Fifth Circuit cases treat
separability and importance as two distinct conditions of the collateral order
doctrine, see, e.g., Acosta v. Tenneco Oil Co., 913 F.2d 205, 207–08 (5th Cir.
1990), while others treat them as one, see, e.g., Goodman v. Harris County, 443
F.3d 464, 469 (5th Cir. 2006). The Supreme Court has discussed importance in
the context of the third numbered element, unreviewability, and (as discussed
below) recent Supreme Court decisions increasingly look to importance as a
general and overarching consideration in the collateral order inquiry.
The confusion over where importance fits into the collateral order analysis
is a symptom of the more general confusion over what constitutes a final
collateral order. As Judge Jerome Frank once said,
“Final” is not a clear one-purpose word; it is slithery, tricky. It does
not have a meaning constant in all contexts. What was said as to
“final” orders a half century ago still holds: The cases, it must be
conceded, are not altogether harmonious. There is, still, too little
finality about “finality.” “A final decision” is not necessarily the
ultimate judgment or decree completely closing up a proceeding.
But it is not easy to determine what decisions short of that point are
final.
United States v. 243.22 Acres of Land, 129 F.2d 678, 680 (2d Cir. 1942)
(quotation marks, citations, and footnotes omitted). In determining finality,
courts have been inconsistent in enumerating the conditions that an order must
meet to be considered collateral, resulting in such a variety of formulations that
“it is easy to point to cases that ignore some of [the collateral order conditions]
or twist them into unrecognizable shapes.” 15A CHARLES ALAN WRIGHT, ARTHUR
R. MILLER & EDWARD H. COOPER, FEDERAL PRACTICE AND PROCEDURE § 3911, at
329–30 (2d ed. 1992). The inconsistencies do not stop at the enumeration of
conditions; applications of the conditions vary in their strictness, and
distinctions drawn between cases are sometimes difficult to reconcile. As one
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court has put it, “No one can make a seamless web out of all of the decisions on
collateral orders.” United States v. Billmyer, 57 F.3d 31, 35 (1st Cir. 1995).
Other courts and commentators have maligned current finality jurisprudence as
“hopelessly complicated,” “legal gymnastics,” “dazzling in its
complexity,” “unconscionable intricacy” with “overlapping
exceptions, each less lucid than the next,” “an unacceptable morass,”
“dizzying,” “tortured,” “a jurisprudence of unbelievable
impenetrability,” “helter-skelter,” “a crazy quilt,” “a near-chaotic
state of affairs,” a “Serbonian Bog,” and “sorely in need of limiting
principles.”
Adam N. Steinman, Reinventing Appellate Jurisdiction, 48 B.C. L. REV. 1237,
1238–39 (2007) (citations omitted). Indeed, one commentator has suggested that
the Cohen conditions are not really what determine whether an order is
immediately appealable, as the collateral order doctrine’s “cumbersome-yet-
unhelpful framework” obscures “the policy judgments that actually determine
whether immediate appellate review is available.” Id. at 1243.
Part of this confusion stems from the three Cohen conditions—conclusivity,
separability, and unreviewability. There exists in each of these conditions
substantial nuance, and it is in this nuance that we find the interests that drive
collateral order determinations. That is, the collateral order determination often
involves, explicitly or not, a balancing of the interests in postponing appellate
review (finality, efficiency, etc.) and in allowing immediate review (the
importance of the asserted right, the consequences of disallowing immediate
appeal, etc.). Moreover, although we sometimes speak of the three Cohen
criteria as strict preconditions for appellate review, see, e.g., Goodman, 443 F.3d
at 468, even a brief exploration of the case law reveals that they might better be
regarded as guidelines in making the pragmatic determination of whether to
allow an order to be immediately appealed.
Granted, a wholly pragmatic approach to finality inexcusably sacrifices
clarity and predictability. Indeed, a case-by-case approach to the collateral order
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No. 08-30201
doctrine would be inimical to the general final order rule, as it would require
balancing in each and every case. Under such an approach, every order would
be appealable if only to determine whether jurisdiction existed to appeal the
order. Thus, a wholly pragmatic approach would undermine the interests that
lie at the heart of the collateral order doctrine.
Consequently, we do not weigh the interests of granting and denying
immediate appellate review in each and every case. Consistent with Supreme
Court precedent and the general purposes of the final judgment rule, we
determine whether an order is appealable as a general or categorical matter.
See Cunningham v. Hamilton County, 527 U.S. 198, 206 (1999) (“[W]e have
consistently eschewed a case-by-case approach to deciding whether an order is
sufficiently collateral.”); Digital Equip., 511 U.S. at 868 (“[T]he issue of
appealability under § 1291 is to be determined for the entire category to which
a claim belongs, without regard to the chance that the litigation at hand might
be speeded, or a particular injustice averted, by a prompt appellate court
decision.” (quotation marks, citation, and alteration omitted)); see also In re
Carco Elec., 536 F.3d 211, 213 (3d Cir. 2008) (“[T]he Supreme Court’s statement
in Cunningham that we should not apply the collateral order doctrine on a ‘case-
by-case’ basis indicates that we should not attempt to carve out individualized,
case-specific exceptions to the general rule that discovery orders are not
immediately appealable.”). In other words, instead of making these decisions on
a case-by-case basis, we make them on a type-of-order-by-type-of-order basis.
Thus, for our present purposes, we do not look to whether the order in the
context of this particular case is immediately appealable, but to whether orders
denying motions brought under anti-SLAPP statutes such as Article 971 satisfy
the conditions of the collateral order doctrine. To do so, an order denying such
a motion must be sufficiently conclusive, separate, unreviewable, and (perhaps
most-importantly) important that the benefits of immediate appellate review
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outweigh the loss of efficiency that any movement away from a strict finality
approach entails.
a. Conclusivity
We must first determine whether the denial of an Article 971 motion is
conclusive. Conclusivity does not merely require that the specific issue be
conclusively determined; were that the case, any issue on which a district court
has rendered a decision would be conclusive. See Goodman, 443 F.3d at 468.
Instead, for an order to be conclusive, it should not be subject to later review or
revision in the district court. See Coopers & Lybrand, 437 U.S. at 469 (noting
that the denial of a request for class certification is not conclusive under the
collateral order doctrine because “such an order is subject to revision in the
District Court”); Baldridge v. SBC Commc’ns., Inc., 404 F.3d 930, 931 (5th Cir.
2005) (noting that the denial of a request for certification for a Fair Labor
Standards Act collective action is not conclusive under the collateral order
doctrine because it “is subject to revision before the district court addresses the
merits”). The mere power to revisit an order, however, is insufficient to preclude
a finding of conclusivity; it should be unlikely that the district court will revisit
the order. See 15A WRIGHT ET AL., supra, § 3911, at 333 (“So long as there is a
plain prospect that the trial court may itself alter the challenged ruling, there
is little justification for immediate appellate intrusion. The bare fact that the
court has power to change its ruling, however, does not preclude review. It is
enough that no further consideration is contemplated.” (citations omitted)). That
is, the order should be one that a district court rarely, if ever, revisits.
An order denying an Article 971 motion satisfies any concerns regarding
conclusivity. A district court’s denial of an Article 971 motion is conclusive as
to whether Article 971 mandates dismissal of the suit. The motion freezes a suit
while the court determines whether the plaintiff’s claim has merit. If a trial
court grants an Article 971 motion, the litigation ceases and the case is
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dismissed. If a trial court denies an Article 971 motion, then the case proceeds
as it normally would. There is also no indication that a trial court would revisit
an earlier decision on an Article 971 motion. We therefore conclude that an
order denying an Article 971 motion is conclusive for the purposes of the
collateral order doctrine.
b. Separability
Second, we must determine whether an Article 971 motion resolves an
issue completely separate from the merits of the case. Issues are not separate
“where they are but steps towards [a] final judgment in which they will merge.”
Cohen, 337 U.S. at 546. Moreover, where the issues raised in an interlocutory
appeal “involve[] considerations that are ‘enmeshed in the factual and legal
issues comprising the plaintiff’s cause of action,’” the order is often found not to
be separate. Coopers & Lybrand, 437 U.S. at 469 (quoting Mercantile Nat’l Bank
v. Langdeau, 371 U.S. 555, 558 (1963)).
For example, in Pan Eastern Exploration Co. v. Hufo Oils, 798 F.2d 837,
838 (5th Cir. 1986), the trial court denied a foreign defendant’s motion to dismiss
proceedings against it based upon considerations of international comity. The
defendant argued that the district court should have granted the motion out of
deference to a Canadian court’s order staying all judicial proceedings against the
defendant. Id. In determining that the denial of the defendant’s motion was not
an immediately-appealable collateral order, this court noted that “the
considerations necessary to decide whether to extend comity to the Canadian
stay order [were] inextricably bound with the facts relevant to the merits.” Id.
at 839. Because “[t]he substantiality of [the plaintiff’s] claims [was] relevant to
the question [of] whether comity [was] consistent with domestic interests,” the
court concluded that the issues underlying the motion to dismiss were not
sufficiently separate from the merits. Id. at 840.
In contrast, courts have held that issues concerning immunity from suit
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are often separate from the underlying dispute in the litigation. For example,
in Mitchell v. Forsyth, 472 U.S. 511, 527–28 (1985), the Supreme Court noted
that a claim of qualified immunity “is conceptually distinct from the merits of
the plaintiff’s claim” because “[a]n appellate court reviewing the denial of the
defendant’s claim of immunity need not consider the correctness of the plaintiff’s
version of the facts, nor even determine whether the plaintiff’s allegations
actually state a claim.” Similarly, in Abney, the Court held that a denial of a
claim of double jeopardy immunity was separate from the underlying dispute
because “the very nature of a double jeopardy claim is such that it is collateral
to, and separable from[,] the principal issue at the accused’s impending criminal
trial, i.e., whether or not the accused is guilty of the offense charged.” 431 U.S.
at 659 (italics omitted). The immunity decisions indicate that some involvement
with the underlying facts is acceptable, as the Court has found the issue of
immunity to be separate from the merits of the underlying dispute “even though
a reviewing court must consider the plaintiff’s factual allegations in resolving
the immunity issue.” Mitchell, 472 U.S. at 529; see also Moore v. Felger, 19 F.3d
1054, 1057 (5th Cir. 1994) (“This court has exercised appellate jurisdiction when
factual disputes relevant to the district court decision on the qualified immunity
question were resolvable based on the record.”). Thus, an order does not have
to be separate from the entirety of the underlying dispute to satisfy Cohen.
At first blush, an order denying an Article 971 motion seems to clearly
decide an issue separate from the merits; it determines only the issue of whether
Article 971 requires dismissal of a suit. Our inquiry should not end here,
however, as further consideration raises several concerns. First, the Article 971
determination requires an assessment of the plaintiff’s probability of success.
This risks involving an appellate court in the factual and legal issues underlying
the plaintiff’s claim. Indeed, the Article 971 determination is an assessment of
the merits of a plaintiff’s claim, and this court has previously suggested that
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such an inquiry might weigh against a finding of separability. See Acosta, 913
F.2d at 208 (finding that a discovery order met the separability condition where
“[r]eviewing the propriety of the order does not require this Court to examine the
merits of [the plaintiff’s] claim or [the defendant’s] affirmative defense”).
Second—assuming for the sake of argument that Article 971’s evidentiary
provision would apply in federal court—Article 971 allows plaintiffs to introduce
a trial court’s denial of a special motion to strike as evidence at trial. See LA.
CODE CIV. PROC. art. 971(A)(3). Thus, although an Article 971 motion does not
necessarily involve issues that arise later in the trial, issues that arise later in
the trial might involve an Article 971 motion. This also weighs against a finding
of separability. See Cohen, 337 U.S. at 546 (noting that collateral orders “are not
of such an interlocutory nature as to affect, or to be affected by, decision of the
merits of this case” (emphasis added)).
These potential entanglements, however, are insufficient to forestall a
finding of separability. First, Article 971 has a purpose distinct from that of the
underlying suit. As the Ninth Circuit reasoned in addressing the appealability
of a similar California statute, an anti-SLAPP motion “resolves a question
separate from the merits in that it merely finds that such merits may exist,
without evaluating whether the plaintiff’s claim will succeed.” Batzel v. Smith,
333 F.3d 1018, 1025 (9th Cir. 2003). Moreover, “[t]he purpose of an anti-SLAPP
motion is to determine whether the defendant is being forced to defend against
a meritless claim,” not to determine whether the defendant actually committed
the relevant tort. Id. Article 971 thus “exists separately from the merits of the
defamation claim itself.” Id.
Further, the policy behind the collateral order doctrine militates in favor
of finding separability. The final order rule limits appeals to encourage the
aggregation of all necessary issues for one appeal and to provide for efficient
adjudication. The separability requirement furthers this purpose by preventing
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appeals on issues that will be definitively decided later in the case. In this way,
one might characterize separability as a way of ensuring that a movant is not
attempting to have an appellate court preemptively resolve a disputed issue still
pending in the district court. Thus, in Pan Eastern Exploration Co., discussed
above, the issue of whether interests of international comity warranted dismissal
of the suit was dependent upon the interests in proceeding with the litigation,
and the district court would balance these interests as the trial progressed. See
798 F.2d at 840. In contrast, issues of immunity are decided prior to trial and
then not normally revisited. Consequently, even where the immunity
determination looks to the facts underlying the dispute, the immunity
determination is tangential to the merits of the underlying case. Similarly,
although an Article 971 motion looks to the plaintiff’s probability of success, the
court decides it before proceeding to trial and then moves on. Immediate
appellate review would thus determine an issue separate from any issues that
remain before the district court.
Finally, the mere fact that a trial court’s decision denying an Article 971
motion is admissible at trial does not change our conclusion. Article 971(A)(3),
as originally enacted, provided,
If the court determines that the plaintiff has established a
probability of success on the claim, neither that determination nor
the fact of that determination shall be admissible in evidence at any
later stage of the proceeding, and no burden of proof or degree of
proof otherwise applicable shall be affected by that determination.
1999 La. Acts 734. The Louisiana legislature amended this provision in 2004 to
allow a trial court’s denial of an Article 971 motion to be admissible at trial. See
2004 La. Acts 232 (amending Article 971(A)(3) to read, “If the court determines
that the plaintiff has established a probability of success on the claim, that
determination shall be admissible in evidence at any later stage of the
proceeding.”). The purpose of this change is unclear, but this provision appears
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to strike a balance between the costs and benefits of filing an Article 971 motion.
That is, defendants should be hesitant to file a frivolous Article 971 motion, as
an adverse decision can then be used against them at trial.
Although seeming to have a bearing on the underlying suit, we fail to see
how this unique evidentiary provision affects our collateral order analysis in any
substantial way. Granted, if an appellate court affirms a district court’s denial
of an Article 971 motion on an interlocutory appeal, this unique evidentiary rule
could mean that an appellate court’s assessment of the merits of a plaintiff’s
claim might influence future trial proceedings. But a decision on an Article 971
motion is not a ruling on the ultimate merits; it is merely tangential to the
merits. A court deciding an Article 971 motion does not ask whether the
plaintiff has proved her claim, but whether she has shown a sufficient
probability of being able to prove her claim. This is akin to a court determining
only that a plaintiff has presented a threshold showing that allows her claim to
proceed. If the court’s determination is later admitted into evidence, it is only
one piece of evidence that the jury could choose to consider or reject. As such,
it is hardly dispositive as to the merits of the suit. More importantly, this
evidentiary provision does not render the denial of an Article 971 motion any
less (or more) final; it does not affect the efficiency of judicial proceedings, blur
the contours of the issue being appealed, or alter the interests that immediate
appeal vindicates. This provision thus has only a minimal bearing on our
inquiry.
Moreover, the minor possibility of minimal entanglement is insufficient to
overcome the interests that favor a finding of immediate appealability. As
discussed below, Article 971 aims to serve the substantial public interest of
protecting those exercising their First Amendment rights from the chilling effect
of defending meritless and abusive tort suits. Article 971 does so by immunizing
speakers from suits stemming from the exercise of First Amendment rights, thus
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No. 08-30201
preserving both an individual’s right to speak and the public’s collective interest
in free and robust debate. The importance of the interests that Article 971
serves thus resolves any lingering doubts regarding separability. We therefore
conclude that the denial of an Article 971 motion is sufficiently separate from the
merits of the underlying case for the purposes of the collateral order doctrine.
c. Unreviewability
We must also determine whether a district court’s denial of an Article 971
motion is effectively unreviewable on appeal. Unreviewability is “the
fundamental characteristic of the collateral order doctrine.” Pan E. Exploration
Co., 798 F.2d at 840; see also Mitchell, 472 U.S. at 525 (“A major characteristic
of the denial or granting of a claim appealable under Cohen’s collateral order
doctrine is that unless it can be reviewed before the proceedings terminate, it
can never be reviewed at all.” (quotation marks and alteration omitted)). As this
court stated in Pan Eastern Exploration Co.,
Because of this essential requirement, almost all denials of motions
to dismiss are not immediately appealable. If, on appeal from a
final judgment, an appellate court finds that the motion to dismiss
should have [been] granted, it can direct the lower court to dismiss.
The rights of the movant will have been vindicated, although after
the movant has suffered the expense and delay of trial. As we have
said before, however, this sort of injury follows in every denial of a
motion to dismiss a complaint and does not justify an exception to
the final-judgment rule.
798 F.2d at 840 (quotation marks omitted). Thus, the collateral order doctrine
requires something beyond the right to prevail at an early stage of the
proceedings for an order to be effectively unreviewable.
Perhaps the embodiment of unreviewability, then, is immunity from suit,
“for the essence of . . . immunity is its possessor’s entitlement not to have to
answer for his conduct in a civil damages action.” Mitchell, 472 U.S. at 525.
“The entitlement is an immunity from suit rather than a mere defense to
liability; . . . it is effectively lost if a case is erroneously permitted to go to trial.”
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Id. at 526. In other words, immunity is not simply a right to prevail, but a right
not to be tried. Thus, the Supreme Court and the Fifth Circuit have held that
denials of various forms of immunity are immediately-appealable collateral
orders. See P.R. Aqueduct & Sewer Auth., 506 U.S. at 144–45 (Eleventh
Amendment immunity); Mitchell, 472 U.S. at 527–30 (§ 1983 qualified
immunity); Nixon, 457 U.S. at 743 (absolute executive immunity); Helstoski v.
Meanor, 442 U.S. 500, 508 (1979) (Speech and Debate Clause immunity); Abney,
431 U.S. at 662 (immunity from double jeopardy); Shanks v. AlliedSignal, Inc.,
169 F.3d 988, 992 (5th Cir. 1999) (Texas state law immunity for communications
made during judicial, quasi-judicial, or legislative proceedings); Stena Rederi AB
v. Comision de Contratos del Comite Ejecutivo General, 923 F.2d 380, 385 (5th
Cir. 1991) (Foreign Sovereign Immunities Act immunity); Brown v. Tex. A & M
Univ., 804 F.2d 327, 332 (5th Cir. 1986) (Title VII qualified immunity).
The Supreme Court has warned, however, that “[o]ne must be careful . . .
not to play word games with the concept of a ‘right not to be tried,’” Midland
Asphalt, 489 U.S. at 801, for “virtually every right that could be enforced
appropriately by pretrial dismissal might loosely be described as conferring a
‘right not to stand trial,’” Digital Equip., 511 U.S. at 873. “There is a crucial
distinction between a right not to be tried and a right whose remedy requires the
dismissal of charges. A right not to be tried in the sense relevant to the Cohen
exception rests upon an explicit statutory or constitutional guarantee that trial
will not occur.” Midland Asphalt, 489 U.S. at 801 (quotation marks and citation
omitted). For this reason, courts have held that certain constitutional and
statutory “rights not to be tried” are effectively unreviewable for the purposes
of the collateral order doctrine, while privately contracted “rights not to be tried”
are not. See, e.g., Digital Equip., 511 U.S. at 884; Lauro Lines S.R.L. v. Chasser,
490 U.S. 495, 500–01 (1989).
The denial of an Article 971 motion satisfies the unreviewability condition.
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No. 08-30201
The purpose of Article 971 is to free defendants from the burden and expense of
litigation that has the purpose or effect of chilling the exercise of First
Amendment rights. Article 971 thus provides a right not to stand trial, as
avoiding the costs of trial is the very purpose of the statute. In other words,
Article 971 does not provide a defense to liability; defendants remain liable for
actual acts of defamation and other torts. But it does provide defendants the
right not to bear the costs of fighting a meritless defamation claim. If an Article
971 motion is erroneously denied and unappealable, then the case proceeds to
trial and this right is effectively destroyed. And in line with the Supreme
Court’s observation in Midland Asphalt, Article 971 provides an explicit
statutory guarantee of a right not to stand trial.
We therefore conclude that the denial of an Article 971 motion is
effectively unreviewable for the purposes of the collateral order doctrine. Not
only does such a denial fall directly within the language of Midland Asphalt, but
the interests underlying both the collateral order doctrine and Article 971
militate in favor of such a conclusion.*
d. Importance
As is perhaps evident from the above discussion, the traditional Cohen
*
We recognize that this holding is not wholly in line with the Ninth Circuit’s recent
decision in Englert v. MacDonnell, 551 F.3d 1099 (2009). In Englert, the court held that the
denial of a special motion to strike under Oregon’s anti-SLAPP statute was not an
immediately-appealable collateral order. Id. at 1104. Relying on the absence of a provision
allowing immediate appellate review of such an order in Oregon state court, the Ninth Circuit
determined that the Oregon legislature did not intend to give defendants a right not to be
tried. Id. at 1105–06. Based on this determination, the court concluded that the denial of a
special order to strike under Oregon law was not “effectively unreviewable” and thus not an
immediately-appealable collateral order. Id.
Like Oregon’s anti-SLAPP statute, Article 971 does not include a provision expressly
authorizing immediate appeal. But the practice of Louisiana courts appears to allow
immediate appeals through writs of supervision. See Darden, 879 So. 2d at 393; Baxter, 847
So. 2d at 230; Benson, 812 So. 2d at 689–90. In any event, for the above-stated reasons, we
hold that Article 971 creates a right not to stand trial, and denial of this right is therefore
“effectively unreviewable.”
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No. 08-30201
factors for collateral order determinations—conclusivity, separability, and
unreviewability—do not lend themselves to a satisfying and coherent exegesis.
Conclusivity does not simply mean conclusive, as all orders can be construed at
a level of generality that renders them conclusive as to a specific issue.
Separability cannot mean wholly separate, as all orders bear some tangential
relationship to the underlying dispute, with the relationship of some
immediately-appealable issues quite more than tangential. And unreviewability
cannot simply mean “effectively unreviewable,” for any order can be reviewed on
appeal, and the lack of appeal for any order can impose immense and unjust
burdens on a wrongly-denied party.
One method of bringing some unity to the doctrine is to look to another
factor in the collateral order analysis, and recent Supreme Court decisions seem
to indicate that the focus of the inquiry is shifting to “importance.” Granted,
importance is nothing new to the doctrine. In the Court’s original formulation
of the collateral order doctrine, it stated that the doctrine covered those orders
“too important to be denied review.” Cohen, 337 U.S. at 546. The Court has also
employed importance as a trump card for distinguishing its prior decisions; as
the Court stated in United States v. MacDonald, 435 U.S. 850, 860 n.7 (1978),
there is value—to all but the most unusual litigant—in triumphing
before trial, rather than after it, regardless of the substance of the
winning claim. But this truism is not to be confused with the quite
distinct proposition that certain claims (because of the substance of
the rights entailed, rather than the advantage to a litigant in
winning his claim sooner) should be resolved before trial.
And as Justice Scalia stated in Lauro Lines, “The importance of the right
asserted has always been a significant part of our collateral order doctrine.” 490
U.S. at 502 (Scalia, J., concurring).
More recent decisions have increasingly looked to importance to clarify
what is a less than clear area of the law. In Digital Equipment, the defendant
argued that importance had no place in the collateral order analysis. 511 U.S.
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No. 08-30201
at 875. The Court acknowledged that one “may validly question whether
‘importance’ is a factor ‘beyond’ the three Cohen conditions or whether it is best
considered, as [the Court had] sometimes suggested it should be, in connection
with the second, ‘separability,’ requirement.” Id. at 878. But the Court
dismissed outright any suggestion that “‘importance’ is itself unimportant,” id.,
and indicated that importance informed both the second and third conditions of
the collateral order doctrine, id. at 878–89. Moreover, regarding its preference
for constitutional or statutory rights not to be tried, the Court stated that
“[w]hen a policy is embodied in a constitutional or statutory provision entitling
a party to immunity from suit (a rare form of protection), there is little room for
the judiciary to gainsay its ‘importance.’” Id. at 879. The Court’s opinion can
even be read to indicate that importance is actually the driving force behind the
collateral order doctrine, as it defined “‘important’ in Cohen’s sense[] as being
weightier than the societal interests advanced by the ordinary operation of final
judgment principles.” Id. That is, an order is immediately appealable when the
interests in permitting immediate appeals are sufficiently important to outweigh
the interests of finality in denying immediate appeals.
The Supreme Court later emphasized the centrality of importance to
determining appealability in Will. Recognizing that a multitude of orders
denying a right not to be tried were effectively unreviewable, the Court “combed”
its cases “for some further characteristic that merits appealability under Cohen.”
546 U.S. at 351. “That something further boil[ed] down to a judgment about the
value of the interests that would be lost through rigorous application of a final
judgment requirement.” Id. at 351–52 (quotation marks omitted). Thus,
according to the Will Court, “compelling public ends rooted in the separation of
powers” were behind the Nixon Court’s decision that a denial of absolute
executive immunity was immediately appealable; “threatened disruption of
governmental functions, and fear of inhibiting able people from exercising
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No. 08-30201
discretion in public service” drove the Mitchell Court’s decision that a denial of
qualified immunity was immediately appealable; the Puerto Rico Aqueduct Court
based its decision that a denial of Eleventh Amendment immunity was
immediately appealable not only on “the burdens of litigation,” but also on “the
need to ensure vindication of a State’s dignitary interests”; and, in determining
that a denial of double jeopardy immunity was immediately appealable, the
Abney Court looked to “the enormous prosecutorial power of the government to
subject an individual to embarrassment, expense and ordeal compelling him to
live in a continuing state of anxiety.” Id. at 352 (quotations marks, citations,
and alterations omitted). The Court continued,
In each case, some particular value of a high order was marshaled
in support of the interest in avoiding trial: honoring the separation
of powers, preserving the efficiency of government and the initiative
of its officials, respecting a State’s dignitary interests, and
mitigating the government’s advantage over the individual. That is,
it is not mere avoidance of a trial, but avoidance of a trial that
would imperil a substantial public interest, that counts when asking
whether an order is “effectively” unreviewable if review is to be left
until later.
Id. at 352–53 (emphasis added). The Court in Will ultimately held that the
denial of a judgment bar motion under the Federal Tort Claims Act was not an
immediately-appealable collateral order, as the order had “no claim to greater
importance than the typical defense of claim preclusion.” Id. at 355.
If importance is what is underlying the distinctions between which orders
are conclusive, separate, and unreviewable, then the Supreme Court seems to
be endorsing an increasingly pragmatic approach to the collateral order doctrine.
This is not to say that importance is a defining or controlling criterion of
appealability, or that the collateral order determination is wholly ad hoc or
unguided. Importance instead informs the three Cohen criteria as well as our
overall analysis. And in determining importance, we find guidance in the
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No. 08-30201
Supreme Court’s emphasis on the vindication of substantial public interests,
especially those with a constitutional or legislative basis.
In the present case, importance weighs profoundly in favor of
appealability. Anti-SLAPP statutes such as Article 971 aim to curb the chilling
effect of meritless tort suits on the exercise of First Amendment rights, and as
the Supreme Court stated in Elrod v. Burns, 427 U.S. 347, 373 (1976), “The loss
of First Amendment freedoms, for even minimal periods of time, unquestionably
constitutes irreparable injury.” Indeed, the Supreme Court has time and again
emphasized the importance of First Amendment rights. See, e.g., Curtis Publ’g
Co. v. Butts, 388 U.S. 130, 165 (1967) (Warren, C.J., concurring in the result)
(noting “the fundamental interests which the First Amendment was designed to
protect”). And as Judge Posner once acknowledged, “in free-speech cases[,]
interlocutory appeals sometimes are more freely allowed.” Union Carbide Corp.
v. U.S. Cutting Serv., Inc., 782 F.2d 710, 712 (7th Cir. 1986). Article 971 thus
provides for the avoidance of a trial that would imperil a substantial public
interest. Indeed, as Article 971 embodies a legislative determination that
parties should be immune from certain abusive tort claims that have the purpose
or effect of imperiling First Amendment rights, “there is little room for the
judiciary to gainsay its ‘importance.’” See Digital Equip., 511 U.S. at 879.
Considering all of the above, we hold that a district court’s denial of a
motion brought under an anti-SLAPP statute such as Article 971 is an
immediately-appealable collateral order. Therefore, we have jurisdiction over
the present appeal, and turn now to its merits.
B. Special Motion to Dismiss
As mentioned above, Article 971 operates through a shifting of burdens.
The party bringing the Article 971 motion “must make a prima facie showing
that the matter arises from an act in furtherance of his or her right of free
speech or the right of petition and in relation to a public issue.” Darden, 879 So.
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No. 08-30201
2d at 396. American Press has met this showing in the present case. First, as
evident on the face of Henry’s complaint, this dispute arises from a series of
news articles published by American Press, an exercise of the right of free
speech. Cf. id. at 396–97 (finding that a defendant met his prima facie case after
looking solely to the face of the complaint). Moreover, the articles concerned the
loss of a government contract and the investigation of an entity doing business
with the federal government and the State of Louisiana, both matters of public
interest. Cf. Starr, 978 So. 2d at 389; Darden, 879 So. 2d at 396. We therefore
conclude that American Press has met its prima facie showing.
After the defendant has met its prima facie showing, the plaintiff must
“demonstrate a probability of success on his or her own claim.” Darden, 879 So.
2d at 396. A plaintiff contesting an Article 971 motion must show a probability
that she will be able to establish all of the elements of her tort claim. Baxter,
847 So. 2d at 233. The elements of defamation under Louisiana law are: “(1) a
false and defamatory statement concerning another; (2) an unprivileged
publication to a third party; (3) fault (negligence or greater) on the part of the
publisher; and (4) resulting injury.” Kennedy v. Sheriff of E. Baton Rouge, 935
So. 2d 669, 674 (La. 2006). “In making its determination, the court shall
consider the pleadings and supporting and opposing affidavits stating the facts
upon which the liability or defense is based.” LA. CODE. CIV. PROC. art 971(A)(2);
see also Baxter, 847 So. 2d at 232.
“To establish a probability of prevailing on his claim, a plaintiff must state
and substantiate a legally sufficient claim. This is done through a prima facie
showing of facts sufficient to sustain a favorable judgment.” Baxter, 847 So. 2d
at 231–32. This requires more than that which is necessary to survive a normal
motion to dismiss, as “a defamation plaintiff must produce evidence of sufficient
quality and quantity to demonstrate that he will be able to meet his burden of
proof at trial.” Estiverne v. Times-Picayune, L.L.C., 950 So. 2d 858, 860 (La.
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No. 08-30201
App. 4th Cir. 2006) (quotation marks omitted). As one Louisiana court has
noted, establishing a probability of success is a “difficult burden.” Baxter, 847
So. 2d at 235. This burden is justified, however, as “the necessity of protecting
our constitutional rights of free speech and petition, particularly when exercised
in relation to public issues or matters of public interest, requires the imposition
of this burden on a plaintiff who brings a defamation action impacting these
rights.” Id.
The only evidence in the record with which we can make this
determination are the reprints of the newspaper articles and affidavits from
Henry, retired Air Force Lieutenant Colonel J.K. Switzer (“Switzer”), and
Henry’s attorney, David K. Anderson (“Anderson”). The parties primarily
dispute the standard of fault that applies to Henry’s claim. We need not delve
into this issue, however, for even if we assume that the most plaintiff-friendly
standard—negligence—applies, we still hold that Henry has not established a
probability of success on an essential element of his defamation claim.
Leaving aside the other elements, Henry has not established a probability
of successfully proving fault. The district court based its determination that
Henry had a probability of success in proving negligence on the statements in an
affidavit from Henry’s attorney, Anderson. Therein, Anderson stated that he
contacted American Press, provided them with information that the stories were
false, and also provided them with the contact information of Air Force
personnel who could confirm the stories’ falsity. Because American Press
purportedly had notice of the stories’ falsity but continued to publish them, the
district court found that Henry had satisfied his burden on this element.
On appeal, American Press points out that Anderson’s affidavit is evidence
only that Anderson contacted American Press; it provides no indication that
American Press did not follow up on the information Anderson provided. If
Henry wanted to show evidence of American Press’s negligence, he could have
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No. 08-30201
introduced an affidavit from the person Anderson told American Press to contact
indicating that American Press never contacted her. Indeed, the only way for
the district court to find evidence of negligence in Anderson’s affidavit is to
conclude that the stories were in fact false and that American Press would have
known that and would not have continued to publish them had it followed up on
the information that Anderson provided. But even assuming that the stories
were false, Anderson’s affidavit does not show that American Press acted
unreasonably in investigating and publishing the stories.
Granted, requiring such proof to establish a probability of success places
a high burden on a plaintiff bringing a defamation claim. As discussed above,
however, Louisiana courts have recognized that establishing a probability of
success is a “difficult burden,” Baxter, 847 So. 2d at 235, and this difficult burden
exists to prevent frivolous torts from chilling exercises of First Amendment
rights. If Henry had a meritorious case, he should have provided more evidence.
In line with Article 971, the district court could have allowed limited, special
discovery so that Henry could muster sufficient evidence to defeat American
Press’s motion. This ability, alongside Henry’s failure to request any such
discovery, undercuts any speculation that he did not have access to the evidence
necessary to prevail.
We therefore hold that Henry has not shown a probability of success on his
defamation claim. We reverse the district court’s conclusion on this issue and
render judgment dismissing Henry’s claim.
C. Attorney’s Fees
Article 971(B) provides, “In any action subject to Paragraph A of this
Article, a prevailing party on a special motion to strike shall be awarded
reasonable attorney fees and costs.” American Press requested fees and costs
pursuant to this provision in its Article 971 motion. As the district court denied
the motion, it never addressed this issue. Because we hold that the district court
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No. 08-30201
erred in denying American Press’s motion, we remand the case to the district
court to determine the fees and costs, if any, to which American Press is entitled.
IV. CONCLUSION
We first hold that a district court’s denial of an Article 971 motion is an
immediately-appealable collateral order. Thus, we have jurisdiction over this
interlocutory appeal. As to the merits, we REVERSE the district court’s denial
of American Press’s Article 971 motion, RENDER judgment DISMISSING
Henry’s defamation complaint, and REMAND the case to the district court for
a determination of fees and costs.
REVERSED, RENDERED, and REMANDED.
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