Free checklist template · Word

Case Closure Checklist

A case closure checklist confirms that every step needed to close an employee relations case properly has been done before the file is archived. It checks outcome communication, completion of actions, the appeal window, a retaliation check-in with the complainant, record retention and lessons learned.

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[Company Logo][Company Name]

CASE CLOSURE CHECKLIST

Case No.:: [Reference Number]
Case Type:: [Grievance / Complaint / Investigation]
Case Owner:: [HR Name]
Proposed Closure Date:: [Date]

Outcome Communication

Outcome letter issued to complainant / employee
Outcome communicated separately to respondent
Witnesses thanked and reminded of confidentiality
Manager informed of actions relevant to them only

Actions

All corrective actions completed and evidence filed
Any disciplinary action concluded through due process
Policy or process changes logged with owner

Appeal

Appeal period ended on [Date] with no appeal
Or appeal decided on [Date] and communicated

Wellbeing and Retaliation

Check-in held with complainant on [Date]
No reports of retaliation or unfavourable treatment
Interim measures reviewed and lifted or made permanent

Records

Case file complete (intake, acknowledgement, statements, report, letters)
Closure letter issued
Case tracker and complaint register updated
File archived securely with retention date [Date]
Access permissions removed for non-essential persons

Lessons Learned

What went well
What could be improved
Patterns or risks noticed

Case Owner
[HR Name]
Date: [Date]

Approved by
[HR Head]
Date: [Date]

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What this template includes

Outcome communication to each party
Completion of agreed actions
Appeal period ended or appeal decided
Retaliation check-in
File completeness and archiving
Tracker and register updated
Lessons learned recorded

When to use it

Before marking any grievance, complaint or investigation case as closed
During monthly ER reviews to verify closures
When a case owner leaves and their cases are being handed over
Before an internal audit of employee relations records

How to customise this template

1Add case-type-specific items, such as IC report for POSH referrals
2Insert your record retention period
3Name who approves closure for high-risk cases
4Attach to the case file once signed
5Use the lessons learned section in quarterly reviews

HR tips

Do not close a case only because the complainant went quiet; confirm with them
Check in with the complainant some weeks after closure
Archive physical files under lock and key
Remove case access for people no longer involved

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Frequently asked questions

When can an HR case be closed?+

When the outcome has been communicated, actions are completed, the appeal process is over and the file is complete.

Why check for retaliation at closure?+

Retaliation often appears after the formal process ends, so a check-in helps protect the complainant and witnesses.

Who signs off case closure?+

The case owner, with approval from the HR head for high-risk or sensitive cases.

All 50 employee relations & grievances →

[Company Logo][Company Name]
GRIEVANCE CLOSURE LETTER
Ref. No.:
[Reference Number]
Date:
[Date]
To,
[Employee Name]
[Designation], [Department]
Employee ID: [Employee ID]
Subject: Closure of grievance case no. [Reference Number]
Dear [Employee Name],
This letter confirms that your grievance dated [Date] regarding [brief description] is now closed with effect from [Date] for the following reason:
- All actions set out in the resolution letter dated [Date] have been completed
- The appeal period ended on [Date] and no appeal was received
- The appeal was decided on [Date] and the decision is final
- You withdrew the grievance voluntarily by your letter/email dated [Date]
Letter · Word
Grievance Closure Letter
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[Company Logo][Company Name]
EMPLOYEE RELATIONS CASE FORM
Case No.:
[Reference Number]
Date Opened:
[Date]
Opened by:
[HR Name]
Classification:
Confidential
A. Case Source
- Employee (written)
- Employee (verbal)
- Manager referral
- Ethics / whistleblower channel
- Exit interview
- Other
B. Case Type
- Grievance
- Conduct complaint
- Bullying / behaviour
- Discrimination
- Retaliation
- Attendance / performance
- Workplace conflict
- Sexual harassment (refer to Internal Committee)
- Other
C. Parties
Form · Word
Employee Relations Case Form
Download .docx

[Company Logo][Company Name]

EMPLOYEE RELATIONS CASE TRACKER

Company:: [Company Name]
Updated on:: [Date]
Maintained by:: [HR Name]
Classification:: Confidential

Case No.	Date Opened	Case Type	Risk	Site / Dept	Owner	Stage	Next Action	Due Date	Days Open	Outcome / Closed On
[Reference Number]	[DD/MM/YYYY]	[Grievance]	[High / Medium / Low]	[Department]	[HR Name]	[Intake]	[Acknowledge and meet employee]	[DD/MM/YYYY]	[Number]	[Open]
[Reference Number]	[DD/MM/YYYY]	[Conduct complaint]	[Risk]	[Department]	[HR Name]	[Investigation]	[Interview witnesses]	[DD/MM/YYYY]	[Number]	[Open]
[Reference Number]	[DD/MM/YYYY]	[Workplace conflict]	[Risk]	[Department]	[HR Name]	[Mediation]	[Review meeting]	[DD/MM/YYYY]	[Number]	[Open]
[Reference Number]	[DD/MM/YYYY]	[Attendance]	[Risk]	[Department]	[HR Name]	[Closed]	[None]	[DD/MM/YYYY]	[Number]	[Outcome, DD/MM/YYYY]

Stage Definitions

Intake: case received, classified and acknowledged
Assessment: route decided and owner assigned
Investigation / Hearing / Mediation: process underway
Decision: outcome decided and communicated
Actions: agreed actions being completed
Closed: closure letter issued and file archived

Weekly Summary

Open cases
New this week
Closed this week
Overdue next actions
High-risk cases needing leadership attention

Template · Word

Employee Relations Case Tracker

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[Company Logo][Company Name]
HR INVESTIGATION CHECKLIST
Case No.:
[Reference Number]
Investigator:
[Investigator Name]
Start Date:
[Date]
Phase 1: Intake and Scoping
- Complaint or concern received in writing and acknowledged
- Checked whether the matter involves sexual harassment and, if so, referred to the Internal Committee
- Issues to be investigated written as clear terms of reference
- Relevant policies and standing orders identified
Phase 2: Independence and Protection
- Investigator confirmed impartial with no conflict of interest
- Interim measures considered (shift, seating, reporting line, suspension as per standing orders)
- Complainant told how to report any retaliation
- Access to case file restricted
Phase 3: Evidence
Checklist · Word
HR Investigation Checklist
Download .docx
[Company Logo][Company Name]
HR CASE ESCALATION FORM
Case No.:
[Reference Number]
Escalation Date:
[Date]
Escalated by:
[HR Name]
Escalated to:
[Name, Designation]
Classification:
Confidential
1. Case Summary
Case type
Date opened
Parties (roles and departments)
Brief neutral summary
2. Reason for Escalation
- Beyond case owner's authority
- Policy timeline exceeded
- Involves senior leader or manager of case owner
- Legal or regulatory risk
- Safety risk
- Media or reputational risk
- Employee requested escalation or appeal
- Other
3. Actions Taken So Far
Form · Word
HR Case Escalation Form
Download .docx
[Company Logo][Company Name]
EMPLOYEE RELATIONS AUDIT CHECKLIST
Company / Site:
[Company Name] / [Work Location]
Audit Period:
[Date] to [Date]
Auditor:
[Name]
Audit Date:
[Date]
A. Policies and Documentation
- Grievance management policy approved and current
- Code of conduct communicated to all employees
- Anti-harassment and POSH policy in place
- Whistleblower / vigil mechanism policy (where applicable)
- Standing orders or service rules available and displayed as applicable
- Policies available in languages employees understand
B. Grievance Mechanism
- Grievance Redressal Committee constituted where applicable
- Escalation matrix displayed with current contacts
- Complaint register maintained in serial order
- Acknowledgements issued within policy timelines
- Appeal route defined and used
C. POSH Compliance
Checklist · Word
Employee Relations Audit Checklist
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[Company Logo][Company Name]
EMPLOYEE GRIEVANCE FORM
Company:
[Company Name]
Grievance Case No.:
[Reference Number]
Date of Submission:
[Date]
Use this form to formally raise a work-related grievance. Please write clearly and attach any supporting documents. Complaints of sexual harassment must be submitted to the Internal Committee under the company's POSH policy and not on this form.
Section A: Employee Details
Employee Name
Employee ID
Designation
Department
Work Location
Reporting Manager
Mobile Number
Official Email
Section B: Nature of Grievance
- Salary, wages, overtime or deductions
- Leave or attendance
- Working conditions, shift or safety
- Transfer, promotion or appraisal
- Interpersonal issue with a colleague or manager
- Application of a company policy
- Other (please specify)
Form · Word
Employee Grievance Form
Download .docx
[Company Logo][Company Name]
EMPLOYEE COMPLAINT FORM
Company:
[Company Name]
Complaint No.:
[Reference Number]
Date:
[Date]
This form is used to report conduct that you believe breaches company rules or the code of conduct. All complaints are treated confidentially. If your complaint relates to sexual harassment, please approach the Internal Committee directly as per the company's POSH policy.
1. Complainant Details
Employee Name
Employee ID
Designation
Department
Work Location
Contact Number
Preferred mode of contact
2. Person(s) Complained Against
Name
Designation / Role
Department or Organisation (if vendor/customer)
Relationship to you (colleague, supervisor, vendor, other)
Form · Word
Employee Complaint Form
Download .docx