COMPLAINT
The PLEADING that initiates a civil action; in CRIMINAL LAW, the document that sets forth the basis upon which a person is to be charged with an offense.
Civil Complaint
A civil complaint initiates a civil lawsuit by
setting forth for the court a claim for relief from
damages caused, or wrongful conduct engaged
in, by the defendant. The complaint outlines all
of the plaintiff ’s theories of relief, or causes of
action (e.g., NEGLIGENCE, BATTERY, assault),
and the facts supporting each CAUSE OF ACTION.
The complaint also serves as notice to the defen-
dant that legal action is underway. The Federal
Rules of Civil Procedure govern construction of
complaints filed in federal courts. Many state
courts follow the same rules as the federal
courts, or similar rules.
The caption opens the complaint and iden-
tifies the location of the action, the court, the
docket or file number, and the title of the action.
Each party to the lawsuit must be identified in
the caption and must be a real party in interest,
that is, either a person who has been injured or
harmed in some way, or a person accused of
causing the injury or harm. In addition, a party
must have the capacity to sue or to be sued. If a
party lacks capacity owing to mental incompe-
tence, for example, the suit may be dismissed.
Any number of parties may be named and
joined in a single lawsuit as long as all meet the
requirements of capacity and all are real parties
in interest.
Courts of limited–subject matter jurisdic-
tion, such as federal courts, require the com-
plaint to demonstrate that the court has
jurisdiction to hear the case. In general-jurisdic-
tion courts, such as most state courts, a jurisdic-
tional allegation is unnecessary.
The most critical part of the complaint is the
claim, or cause of action. The claim is a concise
and direct statement of the basis upon which the
plaintiff seeks relief. It sets forth the RULE OF
LAW that forms the basis of the lawsuit and
recounts the facts that support the rule of law.
Finally, the claim concludes that the defendant
violated the rule of law, thereby causing the
plaintiff ’s injuries or damages, and that the
plaintiff is entitled to relief. For example: A neg-
ligence claim might begin with a statement that
the defendant owed a duty of care to the plain-
tiff; that the defendant breached that duty; and
that, as a result, the plaintiff suffered injuries or
other damages. The conclusion then states that
because the defendant’s breach was the cause of
the plaintiff ’s injuries, the plaintiff is entitled to
compensation from the defendant.
The complaint may state separate claims or
theories of relief in separate counts. For exam-
ple, in a negligence case, count 1 might be for
negligence, count 2 for breach of WARRANTY,
and count 3 for FRAUD. Each count contains a
separate statement of the rule of law, supporting
facts, and conclusion. There is no limit to the
number of counts a plaintiff may include in one
complaint.
Federal courts and other jurisdictions that
follow the Federal Rules of Civil Procedure
require a brief, simple pleading known as a
notice pleading. The notice pleading informs the
defendant of the allegations and the basis for the
claim. The rules require that the complaint con-
tain “a short and plain statement of the claim
showing that the pleader is entitled to relief ”
(Fed. R. Civil P. 8[a]). Rule 8(c)(1) states, “Each
averment of a pleading shall be simple, concise,
and direct.”
Following the claim, the prayer for relief or
demand for judgment appears. Commonly
called the wherefore clause, the prayer for relief
demands judgment for the plaintiff and relief in
the form of the remedies the plaintiff requests.
The plaintiff may demand relief in several
forms. Money damages are compensation for
injuries and loss. General money damages cover
injuries directly related to the defendant’s
actions—such as pain and suffering, or emo-
tional distress. Special money damages arise
indirectly from the defendant’s actions and may
include lost wages or medical bills. The court
awards exemplary or PUNITIVE DAMAGES when
the defendant’s actions are particularly egre-
gious. The purpose of punitive damages is to
punish the defendant and deter similar wrong-
doing. Other types of damages are recovery of
property, injunctions, and SPECIFIC PERFORM-
ANCE of a contractual obligation. The plaintiff
may demand alternative relief or several differ-
ent types of relief, in the same complaint (Fed.
R. Civ. P. 8[a]).
A demand for a jury trial may be included
near the end of the complaint. The complaint
must be signed by the plaintiff ’s attorney, indi-
cating that the attorney has read the complaint;
that it is grounded in fact, to the best of the
attorney’s knowledge, information, and belief;
and that it is brought in GOOD FAITH.
Criminal Complaint
A criminal complaint charges the person
named or an unknown person with a particular
offense. For example, after the bombing of a fed-
eral building in Oklahoma City in 1995, author-
ities issued a JOHN DOE complaint, charging an
unknown person or persons with the crime.
A criminal complaint must state the facts
that constitute the offense and must be sup-
ported by PROBABLE CAUSE. It may be initiated
by the victim, a police officer, the district attor-
ney, or another interested party. After the com-
plaint is filed, it is presented to a magistrate, who
reviews it to determine whether sufficient cause
exists to issue an arrest warrant. If the magistrate
determines that the complaint does not state
sufficient probable cause, the complaint is
rejected and a warrant is not issued. In federal
court, the complaint is presented under oath (Fed. R. Crim. P. 3).
FURTHER READINGS
Federal Employees News Digest, eds. 2000. Whistleblowing: A
Federal Employee’s Guide to Charges, Procedures, and
Penalties. Reston, Va.: Federal Employees News Digest.
Kahan, Jeffrey B. 2001. “How to Prepare Response to Complaints.”
Los Angeles Lawyer 24 (April).
McCord, James W.H. “Drafting the Complaint: Defending
and Testing the Lawsuit.” Practising Law Institute 447.
CROSS-REFERENCES
Civil Procedure.
