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FCC 14.39
Revised as of October 3, 2018
Goto Year:2018 | 2020
  § 14.39   Format and content of formal complaints.

   Link to an amendment published at  83 FR 44843 , September 4, 2018.

   (a) Subject to paragraph (d) of this section governing supplemental
   complaints filed pursuant to § 14.39 of this subpart, a formal complaint
   shall contain:

   (1) The name of each complainant and defendant;

   (2) The occupation, address and telephone number of each complainant
   and, to the extent known, each defendant;

   (3) The name, address, and telephone number of complainant's attorney,
   if represented by counsel;

   (4) Citation to the section of the Communications Act and/or order
   and/or regulation of the Commission alleged to have been violated;

   (5) A complete statement of facts which, if proven true, would
   constitute such a violation. All material facts must be supported,
   pursuant to the requirements of § 14.38(c) of this subpart and paragraph
   (a)(11) of this section, by relevant affidavits and documentation,
   including copies of relevant written agreements, offers,
   counter-offers, denials, or other related correspondence. The statement
   of facts shall include a detailed explanation of the manner and time
   period in which a defendant has allegedly violated the Act, Commission
   order, or Commission rule in question, including a full identification
   or description of the communications, transmissions, services, or other
   carrier conduct complained of and the nature of any injury allegedly
   sustained by the complainant. Assertions based on information and
   belief are expressly prohibited unless made in good faith and
   accompanied by an affidavit explaining the basis for the plaintiff's
   belief and why the complainant could not reasonably ascertain the facts
   from the defendant or any other source;

   (6) Proposed findings of fact, conclusions of law, and legal analysis
   relevant to the claims and arguments set forth in the complaint;

   (7) The relief sought, including recovery of damages and the amount of
   damages claimed, if known;

   (8) Certification that the complainant has, in good faith, discussed or
   attempted to discuss the possibility of settlement with each defendant
   prior to the filing of the formal complaint. Such certification shall
   include a statement that, prior to the filing of the complaint, the
   complainant mailed a certified letter outlining the allegations that
   form the basis of the complaint it anticipated filing with the
   Commission to the defendant carrier or one of the defendant's
   registered agents for service of process that invited a response within
   a reasonable period of time and a brief summary of all additional steps
   taken to resolve the dispute prior to the filing of the formal
   complaint. If no additional steps were taken, such certificate shall
   state the reason(s) why the complainant believed such steps would be
   fruitless;

   (9) Whether a separate action has been filed with the Commission, any
   court, or other government agency that is based on the same claim or
   same set of facts, in whole or in part, or whether the complaint seeks
   prospective relief identical to the relief proposed or at issue in a
   notice-and-comment proceeding that is concurrently before the
   Commission;

   (10) An information designation containing:

   (i) The name, address, and position of each individual believed to have
   firsthand knowledge of the facts alleged with particularity in the
   complaint, along with a description of the facts within any such
   individual's knowledge;

   (ii) A description of all documents, data compilations and tangible
   things in the complainant's possession, custody, or control, that are
   relevant to the facts alleged with particularity in the complaint. Such
   description shall include for each document:

   (A) The date it was prepared, mailed, transmitted, or otherwise
   disseminated;

   (B) The author, preparer, or other source;

   (C) The recipient(s) or intended recipient(s);

   (D) Its physical location; and

   (E) A description of its relevance to the matters contained in the
   complaint; and

   (iii) A complete description of the manner in which the complainant
   identified all persons with information and designated all documents,
   data compilations and tangible things as being relevant to the dispute,
   including, but not limited to, identifying the individual(s) that
   conducted the information search and the criteria used to identify such
   persons, documents, data compilations, tangible things, and
   information;

   (11) Copies of all affidavits, documents, data compilations and
   tangible things in the complainant's possession, custody, or control,
   upon which the complainant relies or intends to rely to support the
   facts alleged and legal arguments made in the complaint;

   (12) A completed Formal Complaint Intake Form;

   (13) A declaration, under penalty of perjury, by the complainant or
   complainant's counsel describing the amount, method, and the
   complainant's 10-digit FCC Registration Number, if any;

   (14) A certificate of service; and

   (15) A FCC Registration Number is required under part 1, subpart W.
   Submission of a complaint without the FCC Registration Number as
   required by part 1, subpart W will result in dismissal of the
   complaint.

   (b) The following format may be used in cases to which it is
   applicable, with such modifications as the circumstances may render
   necessary:

   Before the Federal Communications Commission, Washington, DC 20554

   In the matter of

   Complainant,

   v.

   Defendant.

   File No. (To be inserted by the Enforcement Bureau)

Complaint

   To: The Commission.

   The complainant (here insert full name of each complainant and, if a
   corporation, the corporate title of such complainant) shows that:

   (1) (Here state post office address, and telephone number of each
   complainant).

   (2) (Here insert the name, and, to the extent known, address and
   telephone number of defendants).

   (3) (Here insert fully and clearly the specific act or thing complained
   of, together with such facts as are necessary to give a full
   understanding of the matter, including relevant legal and documentary
   support).

   Wherefore, complainant asks (here state specifically the relief
   desired).

   (Date)

   (Name of each complainant)

   (Name, address, and telephone number of attorney, if any)

   (c) The complainant may petition the staff, pursuant to § 1.3 of this
   chapter, for a waiver of any of the requirements of this section. Such
   waiver may be granted for good cause shown.

   (d) Supplemental complaints.

   (1) Supplemental complaints filed pursuant to § 14.39 shall conform to
   the requirements set out in this section and § 14.38 of this subpart,
   except that the requirements in § § 14.38(b), 14.39 (a)(4), (a)(5),
   (a)(8), (a)(9), (a)(12), and (a)(13) of this subpart shall not apply to
   such supplemental complaints;

   (2) In addition, supplemental complaints filed pursuant to § 14.39 of
   this subpart shall contain a complete statement of facts which, if
   proven true, would support complainant's calculation of damages for
   each category of damages for which recovery is sought. All material
   facts must be supported, pursuant to the requirements of § 14.38(c) of
   this subpart and paragraph (a)(11) of this section, by relevant
   affidavits and other documentation. The statement of facts shall
   include a detailed explanation of the matters relied upon, including a
   full identification or description of the communications,
   transmissions, services, or other matters relevant to the calculation
   of damages and the nature of any injury allegedly sustained by the
   complainant. Assertions based on information and belief are expressly
   prohibited unless made in good faith and accompanied by an affidavit
   explaining the basis for the complainant's belief and why the
   complainant could not reasonably ascertain the facts from the defendant
   or any other source;

   (3) Supplemental complaints filed pursuant to § 14.39 of this subpart
   shall contain a certification that the complainant has, in good faith,
   discussed or attempted to discuss the possibility of settlement with
   respect to damages for which recovery is sought with each defendant
   prior to the filing of the supplemental complaint. Such certification
   shall include a statement that, no later than 30 days after the release
   of the liability order, the complainant mailed a certified letter to
   the primary individual who represented the defendant carrier during the
   initial complaint proceeding outlining the allegations that form the
   basis of the supplemental complaint it anticipates filing with the
   Commission and inviting a response from the carrier within a reasonable
   period of time. The certification shall also contain a brief summary of
   all additional steps taken to resolve the dispute prior to the filing
   of the supplemental complaint. If no additional steps were taken, such
   certification shall state the reason(s) why the complainant believed
   such steps would be fruitless.

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Goto Section: 14.38 | 14.40

Goto Year: 2018 | 2020
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