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FCC 14.39
Revised as of October 2, 2015
Goto Year:2014 | 2016
§ 14.39   Format and content of formal complaints.

   (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: 2014 | 2016
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