Class Certification and the Substantive Merits

The United States Supreme Court, in its 1974 decision, Eisen v. Carlisle & Jacquelin, held that judges should not conduct a preliminary inquiry into the merits of a suit as part of the decision whether to certify a class. The federal courts have struggled ever since to honor Eisen\u27s bar while still conducting a credible certification analysis-a task complicated by the fact that merits-related factors are often relevant to Rule 23 requirements. The result is a muddled body of case law in which courts tend to certify generously and avoid inquiring into the merits of substantive issues even when those issues are crucial to the certification analysis. This approach creates high social costs by inviting frivolous and weak class action suits. This Article argues that the Eisen rule should be abolished. Trial judges should assess competing evidence, not just allegations, and should evaluate case strength whenever the specific requirements of Rule 23 call for an inquiry into merits-related factors. For example, a party relying on a substantive issue to show commonality or predominance should have to demonstrate a likelihood of success on the issue. The Article also goes further and recommends that judges always conduct a preliminary inquiry into the merits before certifying a class, regardless of whether merits-related factors are directly relevant to a specific requirement of Rule 23. The Article first reviews the history of the Eisen rule and surveys the current state of the law, before turning to a policy analysis of the rule\u27s effects. The policy discussion criticizes the traditional arguments and then offers a systematic evaluation of error and process costs. Error costs must be evaluated in light of the extremely high probability of postcertification settlement. Eisen\u27s liberal approach creates a substantial risk of erroneous certification grants that cannot be corrected later when a case settles. This risk coupled with the high likelihood of settlement invites frivolous and weak class action suits. The result is a serious error-cost problem with regard to certification. At the same time, requiring a merits review at the certification stage increases the risk of erroneous certification denials. But for several reasons this risk is not likely to increase dramatically, and the associated costs are not likely to be large. The net result therefore supports a merits inquiry, and this conclusion remains valid even after process costs are added to the policy mix

Condensation transitions in a model for a directed network with weighted links

An exactly solvable model for the rewiring dynamics of weighted, directed networks is introduced. Simulations indicate that the model exhibits two types of condensation: (i) a phase in which, for each node, a finite fraction of its total out-strength condenses onto a single link; (ii) a phase in which a finite fraction of the total weight in the system is directed into a single node. A virtue of the model is that its dynamics can be mapped onto those of a zero-range process with many species of interacting particles -- an exactly solvable model of particles hopping between the sites of a lattice. This mapping, which is described in detail, guides the analysis of the steady state of the network model and leads to theoretical predictions for the conditions under which the different types of condensation may be observed. A further advantage of the mapping is that, by exploiting what is known about exactly solvable generalisations of the zero-range process, one can infer a number of generalisations of the network model and dynamics which remain exactly solvable.Comment: 23 pages, 8 figure

On Normal ordering and Canonical transformations in Thermal Field Theory

We look at a real scalar field in thermal equilibrium in the context of the new normal ordering and field split defined by Evans and Steer. We show that the field split defines a natural canonical transformation, but that this transformation differs from others known in thermal field theory.Comment: 13 pages, LaTeX. (Revisions made to discussion and various small errors in equations corrected

To what extent does severity of loneliness vary among different mental health diagnostic groups: A cross-sectional study.

Loneliness is a common and debilitating problem in individuals with mental health disorders. However, our knowledge on severity of loneliness in different mental health diagnostic groups and factors associated with loneliness is poor, thus limiting the ability to target and improve loneliness interventions. The current study investigated the association between diagnoses and loneliness and explored whether psychological and social factors were related to loneliness. This study employed a cross-sectional design using data from a completed study which developed a measure of social inclusion. It included 192 participants from secondary, specialist mental health services with a primary diagnosis of psychotic disorders (n = 106), common mental disorders (n = 49), or personality disorders (n = 37). The study explored differences in loneliness between these broad diagnostic groups, and the relationship to loneliness of: affective symptoms, social isolation, perceived discrimination, and internalized stigma. The study adhered to the STROBE checklist for observational research. People with common mental disorders (MD = 3.94, CI = 2.15 to 5.72, P < 0.001) and people with personality disorders (MD = 4.96, CI = 2.88 to 7.05, P < 0.001) reported higher levels of loneliness compared to people with psychosis. These differences remained significant after adjustment for all psychological and social variables. Perceived discrimination and internalized stigma were also independently associated with loneliness and substantially contributed to a final explanatory model. The severity of loneliness varies between different mental health diagnostic groups. Both people with common mental disorders and personality disorders reported higher levels of loneliness than people with psychosis. Addressing perceived mental health discrimination and stigma may help to reduce loneliness

Solvent mediated interactions between model colloids and interfaces: A microscopic approach

We determine the solvent mediated contribution to the effective potentials for model colloidal or nano- particles dispersed in a binary solvent that exhibits fluid-fluid phase separation. Using a simple density functional theory we calculate the density profiles of both solvent species in the presence of the `colloids', which are treated as external potentials, and determine the solvent mediated (SM) potentials. Specifically, we calculate SM potentials between (i) two colloids, (ii) a colloid and a planar fluid-fluid interface, and (iii) a colloid and a planar wall with an adsorbed wetting film. We consider three different types of colloidal particles: colloid A which prefers the bulk solvent phase rich in species 2, colloid C which prefers the solvent phase rich in species 1, and `neutral' colloid B which has no strong preference for either phase, i.e. the free energies to insert the colloid into either of the coexisting bulk phases are almost equal. When a colloid which has a preference for one of the two solvent phases is inserted into the disfavored phase at statepoints close to coexistence a thick adsorbed `wetting' film of the preferred phase may form around the colloids. The presence of the adsorbed film has a profound influence on the form of the SM potentials.Comment: 17 Pages, 13 Figures. Accepted for publication in Journal of Chemical Physic

Generalized fluctuation relation and effective temperatures in a driven fluid

By numerical simulation of a Lennard-Jones like liquid driven by a velocity gradient \gamma we test the fluctuation relation (FR) below the (numerical) glass transition temperature T_g. We show that, in this region, the FR deserves to be generalized introducing a numerical factor X(T,\gamma)<1 that defines an ``effective temperature'' T_{FR}=T/X. On the same system we also measure the effective temperature T_{eff}, as defined from the generalized fluctuation-dissipation relation, and find a qualitative agreement between the two different nonequilibrium temperatures.Comment: Version accepted for publication on Phys.Rev.E; major changes, 1 figure adde

A variable rate speech compressor for mobile applications

One of the most promising speech coder at the bit rate of 9.6 to 4.8 kbits/s is CELP. Code Excited Linear Prediction (CELP) has been dominating 9.6 to 4.8 kbits/s region during the past 3 to 4 years. Its set back however, is its expensive implementation. As an alternative to CELP, the Base-Band CELP (CELP-BB) was developed which produced good quality speech comparable to CELP and a single chip implementable complexity as reported previously. Its robustness was also improved to tolerate errors up to 1.0 pct. and maintain intelligibility up to 5.0 pct. and more. Although, CELP-BB produces good quality speech at around 4.8 kbits/s, it has a fundamental problem when updating the pitch filter memory. A sub-optimal solution is proposed for this problem. Below 4.8 kbits/s, however, CELP-BB suffers from noticeable quantization noise as a result of the large vector dimensions used. Efficient representation of speech below 4.8 kbits/s is reported by introducing Sinusoidal Transform Coding (STC) to represent the LPC excitation which is called Sine Wave Excited LPC (SWELP). In this case, natural sounding good quality synthetic speech is obtained at around 2.4 kbits/s