Developing a Legal Complaint: A Blueprint

What Are Legal Complaints?

A legal complaint is a fundamental document in the initiation of the United States legal process. A lawsuit in most instances begins with the filing of a civil complaint within the trial court’s jurisdiction. The complaint itself will bring essential facts, issues, and documents into the entity which can evaluate the legal validity of the claim.
In this way, the complaint is a declaration of intent to commence a civil action against a party or parties (individually or on behalf of business entities) the plaintiff believes have incurred legal wrong through their actions or failed actions (a term known as omission).
In the complaint, the plaintiff must set forth jurisdiction (by facts and claims), adequate identification of named parties, and factual allegations supporting the arguments that the named parties are responsible for the actions claimed by the plaintiff .
In the most general terms, the complaint is a statement of grievance over the actions of named parties. That grievance may be against the named parties directly or by their agents if applicable (that is if either employee commits a legal wrong, the employer is also liable).
In some instances, the court may allow the plaintiff to amend the complaint to cure advertisement. In other cases, the complaint is deemed fatally flawed, the plaintiff is subject to sanctions, and must bear the burden of damages should the suit be commenced in error or without merit. Third parties, such as a defendant, may suffer horrendous legal consequences if a plaintiff files a frivolous lawsuit.

Necessary Elements of a Legal Complaint

When a clear and legally valid dispute arises between parties where one party has sustained harm which must be rectified, a legal complaint is the document which is used to memorialize an opening of the dialogue and begin the litigation process. In order for a complaint to be valid and register in the legal system, however, the district court or other adjudicative body must "accept" the complaint as "fact" in the navigation of the law. Having an attorney at your side working to ensure that your legal complaint takes all of the requisite and study-defined forms is essential. Here are the basic components in need of inclusion in your legal complaint:

1.) Caption

The first component of a legal complaint is known in the vernacular of attorneys and judges as the "Caption". This is the portion of the complaint where the court name, district, and case number are input and thus "captured". For example, if you were to file in the Eastern District of Pennsylvania under docket number 1234, the text in the caption of a complaint would appear as such:
Eastern District of Pennsylvania
Civil Action No. 1234

2.) CJRA & Jury Demand

The CJRA (Civil Justice Reform Act) is a statute that was implemented into the Federal Rules of Civil Procedure in order to speed up the amount of time it takes to resolve a dispute filed within the civil system in our district courts. While the CJRA is not currently in active use, it is a vestige of a past procedural development that may resurface in the future. In the event that your case is governed by the CJRA, your complaint will require a specific paragraph that reads as follows: "This case is not subject to the CJRA". In cases governed by the CJRA, further language would be required which describes the level of expedited treatment to which your case should be held subject.

3.) Jurisdiction

Jurisdiction is the nature of the legal jurisdiction – federal or state in which your case is being filed. Federal rules require adjudication on the basis of a complete diversity of citizenship or a federal question. State courts require adjudication in an entirely different manner which is governed by the individual states under their own rules.

4.) Allegations

Allegations are the meat and potatoes of the legal complaint. They are the list of statements of facts which together provide evidence for each required legal element of your particular cause of action. Each allegation must be specifically enumerated in list format. A final summation allegation is not required, although is often included.

5.) Prayer and Demand to Relief

The final elements of a legal complaint are the prayer and demand to relief. The prayer is the specific statutory authority (or case law) which activates the rights and powers of the statute or remaining authority upon which your prayer is based. The demand is the request for a specific remedy designed to correct the harm.

Identifying Legal Grounds

Once you have determined the parties and general scope of the complaint, you need to zero in on the legal grounds for the action. The law is immense, but it is not infinite, and identifying the cause of action will help you greatly in your research. For example, if you have a mishmash of allegations involving a contract, a tort, and corporate dissolution, you are going to be more lost than if you focus on which one you think best describes your action. (You are also going to be more lost if you assert all of them in one complaint; the analysis below assumes that each cause of action is separately pleaded.) A good starting place is the Restatement (Second) of Torts or the subject-specific Restatement that most closely pertains to the type of complaint you are planning to draft. (Although the Third Restatement is coming into fashion, keep in mind that it is given less weight in court than the Second.) Your case may then involve a specific statute, such as a consumer fraud statute, civil rights statute or statutory prohibition against corporate expropriation. Lastly, you can look to constitutional claims, such as eminent domain, use and takings, or due process violations. If your claim is not, in whole or in part, based on a civil or constitutional statute, you will file a common law complaint, or one based on non-statutory law. These would include contracts, torts, unjust enrichment, equitable restitution, conversion, trespass and professional negligence.

Preparing a Legal Complaint: A Comprehensive Process

When beginning the drafting process for a legal complaint, the litigant should first note that doing so may seem like an intricate task, with requirements to follow and rules to adhere to. Because the legal complaint is the first step in laying the foundation for a lawsuit, including the statutory and/or constitutional basis for the claim(s), it is essential that the complaint be drafted in accordance with the Federal Rules of Civil Procedure ("FRCP") or the state rules of civil procedure. The following is the drafting process for an effective legal complaint.
First, remember that brevity is the soul of the complaint. If your complaint can be expressed in short paragraphs, do so. This will increase the quality of your pleading, while ensuring the completeness and clarity of your arguments.
Second, each paragraph should contain "a single legal theory of recovery." A short paragraph should contain a single assertion or theory. "A short paragraph is much easier to read by the judge who has to struggle through over 100 pages of pleadings."
Third, use plain and simple language in drafting your legal complaint. Keep one concept, thought, argument, or idea per paragraph. This will ensure clarity, so that the complaint can be understood by the judge who is reading it.
Fourth, if you are the plaintiff in the lawsuit, you will need to set forth the legal and factual basis for the claim you are suing over. Each claim requires at least a short explanation of your right to bring the lawsuit. You must also include the source of the court’s power to decide on the matter (jurisdiction), and what specific relief you are asking for from the court.
Fifth, in drafting the legal complaint, be sure to include all the parties involved in the case. Who the plaintiff is. Who the defendant is. Where the lawsuit is being brought. Where the incident took place. What relief is being requested of the court. Who the lawyers are who are representing each party. In basic terms, the names of all the parties, where they are located, and what jurisdiction the case is being brought in.
Finally, after the initial draft is written, take time to revise the complaint using the basic principles of what a complaint should contain. Include an introduction. Include the pertinent facts involved in the case. Include the legal theory or theories being raised. Include any relevant statutes or case law that supports the legal theories. Include the request for relief, which usually asks the court to order the defendant to answer the complaint, dismiss the case, or set a court date. You need to ask for at least one form of relief. Otherwise, the complaint could be dismissed.

Filing and Serving a Legal Complaint

Filing Hints and Service of Process
Once you’ve carefully considered the facts and law involved in your case, conceptualized your complaint and decided whether or not to include a jury trial demand and punitive damages, you’re ready to begin the process. For those who have gone through the filing process previously and have suffered through the inevitable filing fees, you will know that you should file in the court with proper venue over the controversy under consideration.
As with any legal matter, the specific procedures, deadlines and fees for filing a complaint will vary from state to state and court to court. You should check court rules, local rule requirements, court calendars and consult with the applicable state statutes prior to filing anything. Generally speaking, the requirements for a complaint will include the names of the parties, a statement of facts sufficient to apprise the defendant of the issues to be litigated, the legal basis for the claims subparts to the complaint and a request for a specific form of relief.
This process is, arguably, more difficult than it might appear on its face. Consulting with an attorney, whenever possible , is usually to your benefit. An experienced attorney can help you avoid filing a defective complaint.
A complaint is not "filed" until the clerk of court accepts it and assigns a case number. While the clerk will not typically review the complaint for defects, another court employee may assign the case number. Then, the case proceeds through to the question of service of process upon the defendant.
Once the complaint has been accepted and filed by the clerk of court, you are required to serve the defendant with a copy of the complaint and summons. This step is known as service of process. It is key to instructing the court about the real issues involved in the action and will make or break your case if done improperly.
Some states do not permit a party to serve process upon itself. Others, such as California, do. If you can serve process upon yourself, you may choose to utilize a confidential, St. Louis service of process company, since it can appear (to the defendant) that you had no notice of the action until the time for answering the complaint has run.
Other methods of service include the following:
It is incredibly important that service is made in a manner permitted by statute. Any failure to serve correctly can result in the dismissal of your lawsuit or, at best, complications that can be avoided. In short, choose wisely.

What to Avoid When Filing a Legal Complaint

Despite the importance of a well-drafted legal document, many first-time filers make avoidable errors when crafting and filing a legal complaint. Failing to follow local court rules. Each jurisdiction has its own set of local rules governing district courts and bankruptcy courts – that includes rules for filing complaints. These rules are often indicated on the local court’s website in the self-help or pro se section. Be sure to review these rules before finalizing your complaint. It’s important to note that if you fail to comply with court rules, even a seemingly harmless error like a missing page number could result in the dismissal of your complaint. Providing insufficient factual and legal basis for your claim. Complaints that do not meet the federal gatekeeping standard may be dismissed by a judge without a hearing. The bar for stating a valid cause of action is low, but it is one that must be cleared to move onto the next phase of the process or succeed on your claim. Be sure to familiarize yourself with the legal definition of what you are claiming. For instance, if you are filing a complaint for breach of contract, be sure you have adequately stated the elements of the claim: the existence of a valid contract, performance by the complaining party, breach of contract by the other party, and damages resulting from the breach. Neglecting to read and proofread your complaint. Once your complaint is drafted, it’s a good idea to set the document down for at least an hour or more before returning to proofread. When you return to proofread, approach the document using a very critical eye. Look for spelling errors, repeated phrases, and overhaul the grammar to ensure all of your sentences make sense. More importantly, you want to confirm that the complaint is in compliance with the local filing rules. Finally, before filing your complaint, either electronically or in person, reread the complaint once again to make sure the information remains current, accurate, and your arguments are easily understood. Not properly serving your complaint. The last thing you want is for your carefully drafted legal complaint to be thrown out due to an improper service of process. Although each jurisdiction has its own set of rules regarding service of process, generally speaking, the complaining party must serve the complaint and summons on each of the named defendants within seven (7) days after the complaint is filed, unless there is good cause to extend the limit for serving process. Be sure to check the rules for your specific district here and follow them accordingly.

Finding Help

Speaking with a Lawyer
As we noted above in the discussion of the elements of a complaint, there are a number of intricacies and specific requirements that must be adhered to by the plaintiff. When it is clear that a dispute exists, or has previously occurred and a plaintiff is more likely than not entitled to the requested relief he or she is seeking in the complaint section of the form, it is common practice to leave the drafting of the complaint to a lawyer .
All courts encourage individuals to seek the assistance of a lawyer to help them determine their rights according to the law. For assistance finding a lawyer, one should look to the American Bar Association or his or her state bar association website. Many state bar associations provide free or low-cost advice through local lawyer referral services or limited scope assistance programs.