Free checklist template · Word

Employee Relations Audit Checklist

An employee relations audit checklist helps HR review, once or twice a year, whether the company's systems for handling employee issues are in place and working. It covers policies, the grievance mechanism, POSH Internal Committee, standing orders, committees, records, training and a sample review of case quality.

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[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

Internal Committee constituted where there are 10 or more employees
IC composition, including external member, as required
IC member names and contacts displayed
Awareness sessions held for employees and IC training completed
Annual report prepared by the IC

D. Records and Confidentiality

Case files complete and stored securely
Access limited to authorised persons
Retention period defined and followed
Personal data minimised (e.g., masked Aadhaar)

E. Training and Awareness

Managers trained on handling grievances and complaints
Investigators trained on fair process
Employees aware of how to raise concerns (sample check)

F. Sample Case Review

Case No.	Timely	Fair Hearing Given	Neutral Report	Retaliation Check	Remarks
[Reference Number]	[Y/N]	[Y/N]	[Y/N]	[Y/N]	[Remarks]
[Reference Number]	[Y/N]	[Y/N]	[Y/N]	[Y/N]	[Remarks]
[Reference Number]	[Y/N]	[Y/N]	[Y/N]	[Y/N]	[Remarks]

G. Findings and Action Plan

Gap	Action	Owner	Target Date
[Gap]	[Action]	[Owner]	[DD/MM/YYYY]
[Gap]	[Action]	[Owner]	[DD/MM/YYYY]

Auditor
[Name]
Date: [Date]

HR Head
[Name]
Date: [Date]

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What this template includes

Policy and documentation checks
Grievance mechanism and escalation matrix
POSH compliance points including IC constitution
Standing orders and display requirements
Records and confidentiality
Training and awareness
Sample case file review
Findings and action plan

When to use it

Annual or half-yearly internal HR audit
Before a client, certification or due diligence audit
After a serious incident to check whether systems failed
When a new HR head joins and wants a baseline

How to customise this template

1Add state-specific Shops and Establishments or factory items
2Adjust for whether you have a works committee or union
3Sample a fixed number of case files per site
4Record evidence reviewed beside each item
5Convert gaps into an action plan with owners

HR tips

Check practice, not just whether a policy exists
Speak to a few employees to test awareness of the grievance route
Have someone outside the ER team carry out the audit
Note that the Labour Codes came into force from 21 November 2025; check updated state rules

This checklist is a starting point. Requirements vary by state, industry and headcount; review it against the Labour Codes, POSH Act 2013, applicable state rules and with a legal adviser.

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Frequently asked questions

What is an employee relations audit?+

A structured review of policies, processes and records for handling employee issues, to check compliance and effectiveness.

How often should an ER audit be done?+

Many companies do it annually, with a lighter mid-year check, and after any major incident.

Does the ER audit cover POSH?+

Yes, it should check that the Internal Committee is constituted where required, members are trained and the policy is displayed and communicated.

All 50 employee relations & grievances →

[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]
NOTICE OF EMPLOYEE RELATIONS MEETING
Ref. No.:
[Reference Number]
Date of Notice:
[Date]
Committee:
[Works Committee / Grievance Redressal Committee / Employee Forum]
All members of the [Committee Name] of [Company Name], [Work Location], are informed that meeting no. [Number] will be held as follows:
Particular Details
Date [DD/MM/YYYY]
Time [Time]
Venue [Conference Room / Canteen Hall / Video Link]
Chairperson [Name, Designation]
Agenda
1. Confirmation of minutes of the previous meeting held on [Date]
2. Action taken report on earlier decisions
3. [Agenda item, e.g., revision of shift timings from next month]
4. [Agenda item, e.g., canteen and drinking water facilities]
5. [Agenda item, e.g., safety observations from the last quarter]
6. Review of pending grievances (summary, without names)
7. Any other matter with permission of the Chair
Members Invited
Notice · Word
Employee Relations Meeting Notice
Download .docx

Particular	Details
Date	[DD/MM/YYYY]
Time	[Time]
Venue	[Conference Room / Canteen Hall / Video Link]
Chairperson	[Name, Designation]

[Company Logo][Company Name]

EMPLOYEE RELATIONS ESCALATION MATRIX

Company:: [Company Name]
Applicable to:: [All locations / Work Location]
Effective from:: [Date]
Owner:: [HR Head]

Case Type	Level 1	Level 2	Level 3	Escalate When
Pay, leave, attendance	[HR Executive], respond in [Number] days	[HR Manager], [Number] days	[HR Head], [Number] days	No response or unresolved at level
Work conditions, shift, facilities	[Reporting Manager], [Number] days	[Department Head], [Number] days	[Grievance Redressal Committee]	Unresolved or affects many employees
Interpersonal conflict, behaviour	[Reporting Manager]	[HR Business Partner]	[HR Head]	Repeated incidents or manager involved
Bullying, discrimination, retaliation	[HR Business Partner]	[HR Head]	[CHRO / Ethics Committee]	High risk or senior person involved
Code of conduct, ethics	[Compliance Officer]	[Ethics Committee]	[Audit Committee]	Financial or legal risk

Separate Routes

Matter	Contact	Details
Sexual harassment	Internal Committee: [IC Presiding Officer Name]	[IC Email / Phone]
Whistleblower disclosure	Vigilance Officer: [Name]	[Vigilance Email]
Safety emergency	Safety Officer / Security	[Phone]

Rules

You may go directly to the next level if your issue involves the Level 1 owner.
Each level will acknowledge your issue and respond within the time shown.
If there is no response in time, you may escalate without anyone's permission.
All matters are handled confidentially and no one will be treated unfavourably for raising or escalating a concern.

Template · Word

Employee Relations Escalation Matrix

Download .docx

[Company Logo][Company Name]

EMPLOYEE RELATIONS TRACKER

Company:: [Company Name]
Period:: [Month / Quarter, Year]
Prepared by:: [HR Name]
Classification:: Internal – anonymised

1. Cases by Category

Category	Opened	Closed	Open at Month End	Avg. Days to Resolve
Grievances (pay, leave, conditions)	[Number]	[Number]	[Number]	[Number]
Conduct and behaviour complaints	[Number]	[Number]	[Number]	[Number]
Bullying / discrimination / retaliation	[Number]	[Number]	[Number]	[Number]
Ethics / whistleblower (count only)	[Number]	[Number]	[Number]	[Number]
POSH referrals to IC (count only)	[Number]	[Number]	[Number]	[Number]

2. Cases by Location / Department

Site / Department	Headcount	Cases Opened	Cases per 100 Employees	Top Theme
[Work Location]	[Number]	[Number]	[Number]	[Theme]
[Work Location]	[Number]	[Number]	[Number]	[Theme]
[Department]	[Number]	[Number]	[Number]	[Theme]

3. Outcomes

Template · Word

Employee Relations Tracker

Download .docx

[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
[Company Logo][Company Name]
ACKNOWLEDGEMENT OF GRIEVANCE
Ref. No.:
[Reference Number]
Date:
[Date]
To,
[Employee Name]
[Designation], [Department]
Employee ID: [Employee ID]
[Work Location]
Subject: Acknowledgement of your grievance dated [Date]
Dear [Employee Name],
We acknowledge receipt of your grievance submitted on [Date] regarding [brief neutral description of grievance]. It has been registered under case number [Reference Number]. Please quote this number in all future communication on this matter.
Your grievance has been assigned to [Reviewer Name], [Reviewer Designation], who will review the matter in line with the company's Grievance Redressal Policy. The next steps are:
Letter · Word
Employee Grievance Acknowledgement
Download .docx

Employee Name
Employee ID
Designation
Department
Work Location
Reporting Manager
Mobile Number
Official Email

Name
Designation / Role
Department or Organisation (if vendor/customer)
Relationship to you (colleague, supervisor, vendor, other)

Employee Relations Audit Checklist

Preview of the checklist

A. Policies and Documentation

B. Grievance Mechanism

C. POSH Compliance

D. Records and Confidentiality

E. Training and Awareness

F. Sample Case Review

G. Findings and Action Plan

What this template includes

When to use it

How to customise this template

HR tips

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Frequently asked questions

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