Free checklist template · Word

HR Investigation Checklist

An HR investigation checklist walks the investigator through every step of a fair workplace investigation, from scoping the issues and protecting the complainant to interviewing, weighing evidence and closing the case. It helps HR avoid procedural gaps that could make the outcome unfair or open to challenge.

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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

CCTV footage requested and preserved
Emails, chat messages and system logs requested through IT
Attendance, biometric and gate records obtained
Documents logged with source and date

Phase 4: Interviews

Interview plan and questions prepared
Complainant interviewed and statement signed
Respondent informed of allegations in writing and given time to prepare
Respondent interviewed and statement signed
Witnesses interviewed and statements signed
Each interviewee reminded of confidentiality and non-retaliation

Phase 5: Analysis and Report

Evidence weighed on each issue on the balance of probabilities
Respondent's explanation considered and addressed
Findings and recommendations kept separate
Report reviewed for neutral language

Phase 6: Outcome and Follow-up

Decision taken by an authorised person
Outcome communicated to complainant and respondent separately
Agreed actions assigned with dates
Retaliation check-ins scheduled
Case file archived securely

Investigator
[Investigator Name]
Date: [Date]

Reviewed by
[HR Name]
Date: [Date]

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What this template includes

Intake and scoping tasks
Conflict-of-interest and independence checks
Interim protection and anti-retaliation steps
Evidence preservation, including CCTV and system logs
Interview planning and conduct
Analysis and report writing
Outcome communication and follow-up

When to use it

Before starting any misconduct, grievance or complaint investigation
When a manager who rarely investigates is appointed as investigator
As a quality check before submitting the investigation report
To train new HR team members on investigation process

How to customise this template

1Add owners and target dates beside each item
2Include your IT contact for email and system log retrieval
3Add site-specific steps such as gate register or biometric data
4Insert your policy's timelines
5Keep the completed checklist in the case file

HR tips

Secure CCTV and digital records early; many systems overwrite footage
Tell every interviewee about confidentiality and non-retaliation
Never decide the outcome before hearing the respondent
Hand POSH complaints to the Internal Committee rather than running an HR investigation

This checklist is a starting point. Review it against applicable labour laws, your standing orders and disciplinary policy, and with a legal adviser for complex or high-risk cases.

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Frequently asked questions

What are the steps in an HR investigation?+

Intake and scoping, appointing an impartial investigator, protecting parties, gathering evidence, interviewing, analysing findings, reporting and follow-up.

How long should an HR investigation take?+

It depends on complexity and your policy timelines. The key is to proceed without unnecessary delay and keep parties updated.

Should the respondent be told about the investigation?+

Yes. They must be told the allegations and given a fair chance to respond before any finding is made.

All 50 employee relations & grievances →

[Company Logo][Company Name]
GRIEVANCE INVESTIGATION FORM
Case No.:
[Reference Number]
Date Opened:
[Date]
Classification:
Strictly Confidential
Part 1: Case Details
Complainant [Employee Name], [Employee ID], [Department]
Respondent (if any): Name, Designation, Department
Date grievance received
Grievance category
Part 2: Terms of Reference
Issue 1 to be investigated
Issue 2 to be investigated
Issue 3 to be investigated
Matters outside scope (if any)
Target completion date
Part 3: Investigator Appointment and Independence
Form · Word
Grievance Investigation Form
Download .docx
[Company Logo][Company Name]
GRIEVANCE INVESTIGATION REPORT
Case No.:
[Reference Number]
Report Date:
[Date]
Prepared by:
[Investigator Name], [Designation]
Submitted to:
[Decision Maker Name]
Classification:
Strictly Confidential
1. Executive Summary
This report sets out the investigation into the grievance raised by [Employee Name], [Designation], on [Date]. Of the [Number] issues investigated, [Number] were substantiated, [Number] were not substantiated and [Number] were inconclusive.
2. Background and Terms of Reference
[Brief neutral description of the grievance.] The investigator was appointed on [Date] by [Name] to examine: (a) [Issue 1]; (b) [Issue 2]; (c) [Issue 3].
3. Methodology
Report · Word
Grievance Investigation Report
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[Company Logo][Company Name]
INVESTIGATION INTERVIEW RECORD
Case No.:
[Reference Number]
Date:
[Date]
Time:
[Start] to [End]
Venue / Mode:
[Meeting Room / Video Call]
Interview Details
Interviewee name and Employee ID
Designation / Department
Role: Complainant / Respondent / Witness
Investigator(s)
Note-taker
Companion or translator present (name)
Opening Statement (read to interviewee)
Thank you for meeting us. We are investigating [neutral description of issue] under case number [Reference Number]. No decision has been made. We are speaking to everyone relevant to understand the facts. Please answer honestly and tell us if you do not know or do not remember. This discussion is confidential, and we ask you not to discuss it with colleagues. The company does not allow anyone to be treated unfavourably for taking part in an investigation; if this happens, please tell HR immediately. Do you have any questions before we begin?
Questions and Answers
Form · Word
HR Investigation Interview Form
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Complainant	[Employee Name], [Employee ID], [Department]
Respondent (if any): Name, Designation, Department
Date grievance received
Grievance category

Issue 1 to be investigated
Issue 2 to be investigated
Issue 3 to be investigated
Matters outside scope (if any)
Target completion date

Interviewee name and Employee ID
Designation / Department
Role: Complainant / Respondent / Witness
Investigator(s)
Note-taker
Companion or translator present (name)

[Company Logo][Company Name]

WHISTLEBLOWER INVESTIGATION FORM

Disclosure Code:: [Reference Number]
Date Received:: [Date]
Vigilance Officer:: [Name]
Classification:: Strictly Confidential

1. Preliminary Assessment

Summary of disclosure (without whistleblower identity)
Falls within vigil mechanism policy? (Yes/No, reason)
Seriousness: High / Medium / Low
Involves director or senior management? (if yes, inform Audit Committee Chair)
Decision: Investigate / Refer to another forum / Close (reason)

2. Identity Protection

Whistleblower identity stored separately and accessible only to the Vigilance Officer
Disclosure code used in all documents
Investigator briefed not to attempt to identify an anonymous whistleblower
Monitoring for victimisation arranged

3. Investigator Mandate

Form · Word

Whistleblower Investigation Form

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[Company Logo][Company Name]
ETHICS INVESTIGATION REPORT
Case No.:
[Reference Number]
Report Date:
[Date]
Prepared by:
[Investigator Name]
Submitted to:
Ethics Committee, [Company Name]
Classification:
Strictly Confidential
1. Allegations
No. Allegation Code of Conduct Clause
1 [Allegation] [Clause]
2 [Allegation] [Clause]
3 [Allegation] [Clause]
2. Scope and Approach
The investigation covered the period [Date] to [Date] and included review of [purchase orders, vendor master, expense claims, emails], interviews with [Number] persons and analysis of [data]. The reporter's identity has been withheld from this report.
3. Evidence Summary
Report · Word
Ethics Investigation Report
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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
Checklist · Word
Case Closure Checklist
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No.	Allegation	Code of Conduct Clause
1	[Allegation]	[Clause]
2	[Allegation]	[Clause]
3	[Allegation]	[Clause]

[Company Logo][Company Name]

INVESTIGATION ACTION TRACKER

Case No.:: [Reference Number]
Report Date:: [Date]
Tracker Owner:: [HR Name]
Last Updated:: [Date]

No.	Recommendation / Action	Type	Owner	Due Date	Evidence of Completion	Verified By	Status
1	[Correct overtime calculation in payroll system]	Process	[Payroll Head]	[DD/MM/YYYY]	[System change note]	[HR Name]	[Open / Done / Overdue]
2	[Respectful workplace training for team]	Training	[L&D]	[DD/MM/YYYY]	[Attendance sheet]	[HR Name]	[Status]
3	[Revise approval limits for vendor payments]	Control	[Finance]	[DD/MM/YYYY]	[Revised policy]	[Compliance]	[Status]
4	Retaliation check-in with complainant	Monitoring	[HR Name]	[DD/MM/YYYY]	[Discussion record]	[HR Head]	[Status]
5	Second retaliation check-in	Monitoring	[HR Name]	[DD/MM/YYYY]	[Discussion record]	[HR Head]	[Status]

Summary

Total actions
Completed and verified
Open
Overdue
Escalated

Notes

Individual disciplinary actions are tracked confidentially in the case file.
Revised due dates must be approved by the tracker owner with reasons recorded.
This tracker is confidential and shared only with action owners for their own items.

Template · Word

Investigation Action Tracker

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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
Checklist · Word
Employee Relations Audit Checklist
Download .docx

HR Investigation Checklist

Preview of the checklist

Phase 1: Intake and Scoping

Phase 2: Independence and Protection

Phase 3: Evidence

Phase 4: Interviews

Phase 5: Analysis and Report

Phase 6: Outcome and Follow-up

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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