Documenting the Statement of Complaint

A statement of complaint is the written record of what an employee is alleging, taken at intake before any investigation begins. A good one captures who, what, when, where and who else saw it, in the complainant's own words, along with the specific allegations and the policies they may implicate, and it is signed and dated. It gives the employer an accurate starting point for judging how serious the complaint is and how it should be investigated.

Why the Statement of Complaint Matters

Every later step of an investigation builds on the intake. The allegations define the scope of the investigation, determine who needs to be interviewed, and set the questions the final report has to answer. If the intake is vague, the investigation drifts. If it is inaccurate, the employer may investigate the wrong issue and later be told it ignored the real one.

A written statement also protects both sides. The complainant has a record that their concern was heard and taken down accurately. The employer has evidence of what it was told and when — the starting date for everything it did afterward, including any interim measures.

What a Statement of Complaint Should Include

Administrative details

• Date the statement was taken and a case number, if your process assigns one.
• Name, job title, department and immediate supervisor of the person making the complaint.
• Name of the person taking the statement, and anyone else present.
• How the complaint was first raised — in person, by email, through a hotline, or via a manager.

The substance

• Date, time and location of each incident, or the best approximation available.
• The people involved, including the person the complaint is about.
• The complainant's relationship to those involved — particularly whether the accused is a supervisor, a peer or someone outside the organization.
• Names and contact details of witnesses, and what each is believed to have seen or heard.
• The complainant's account of what happened, with specific words, actions and sequence.
• Any documents, messages or other material the complainant has or knows about. Note these here; how they are collected and stored is a separate step covered in evidence collection and storage.
• Whether the complainant has raised the issue before, with whom, and what happened.

Clarifying the allegations

• A plain statement of each specific allegation — for example, "My supervisor commented on my appearance in team meetings on three occasions" rather than "harassment."
• The policies that may have been violated, such as the anti-harassment, anti-discrimination, retaliation, timekeeping or leave policies.
• Any link to a protected activity or protected characteristic the complainant identifies, such as a recent leave request or accommodation request.
• What the complainant would like to happen, recorded without promising it.

Closing language

End with a standard statement just above the signature explaining how the document was prepared — for example, that the statement was written by the interviewer from the complainant's account, read back or reviewed by the complainant, and corrected where needed before signing. Both the complainant and the interviewer sign and date it.

How to Take the Statement

• Use the complainant's words. Quote key statements directly. Paraphrasing an allegation into HR terminology can change its meaning.
• Ask open questions first. "Tell me what happened" before "Did he touch your arm?" Leading questions produce a statement that is easy to attack later.
• Pin down specifics. Dates, locations, exact words, who was nearby. Where the complainant cannot remember, record that rather than filling a gap.
• Separate fact from interpretation. Record what the complainant saw and heard, and separately what they believe it meant.
• Do not evaluate at intake. The person taking the statement should not signal belief, disbelief or a likely outcome.
• Read it back. Give the complainant the chance to correct and add before signing. Keep corrections visible rather than rewriting the document.

What to Tell the Complainant

At the end of intake, explain what happens next in general terms. Tell the complainant that the information will be shared only with those who need it to investigate and respond — do not promise complete confidentiality, because an investigation cannot be conducted without speaking to others. Remind them that retaliation for making a complaint or participating in an investigation is prohibited and should be reported immediately. If you want to ask them not to discuss the specifics with potential witnesses while the investigation is underway, word the request narrowly and tie it to protecting the integrity of the investigation — blanket confidentiality instructions to non-supervisory employees can raise issues under federal labor law, so follow your organization's approved wording.

Assessing Significance After Intake

The statement of complaint is what lets the employer judge the seriousness of the complaint and the risk to the organization. Once it is signed, review it to decide:

• Whether the allegations, if true, would violate law or policy.
• Whether anyone faces an ongoing risk that calls for interim measures, such as a schedule change or a change in reporting line that does not disadvantage the complainant.
• Who should investigate — an HR investigator, a manager outside the reporting line, or an outside investigator, depending on seniority and complexity.
• Whether the matter involves possible criminal conduct and needs different handling.
• Whether the complaint overlaps with leave, accommodation or pay issues that other teams must coordinate on.

Record these decisions in the case file with their dates.

Common Intake Mistakes

• Waiting to write anything down until an investigation is formally opened.
• Summarizing the complaint in a single line that loses the specific allegations.
• Letting the complainant's manager take the statement when the manager is involved.
• Promising an outcome or confidentiality the organization cannot deliver.
• Failing to sign and date the statement, or losing track of which version is final.

Frequently Asked Questions

Does the complainant have to write the statement themselves?

No. The interviewer often writes it from the complainant's account. What matters is that the complainant reviews it, corrects it and signs it, and that the closing language says how it was prepared.

What if the complainant refuses to sign?

Note the refusal, the date and any reason given. The employer's duty to address the complaint does not depend on a signature.

What if the complaint was made anonymously?

Document what was received, when and how, and proceed as far as the information allows. There will be no signed statement, so the record of receipt carries more weight.

Should a verbal complaint be documented?

Yes. A complaint does not have to be in writing to trigger the employer's obligations. Document it as soon as possible.

Related Reading and Training

Once intake is complete, see evidence collection and storage and workplace investigation interview questions and techniques. What is retaliation covers the risk that follows every complaint. Our workplace investigations training and the Advanced Internal Investigations Certificate Program cover the full investigation process.