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Investigation Action Tracker

An investigation action tracker lists every recommendation that came out of an investigation report and follows each one to completion. For each action it records the owner, due date, evidence of completion and whether HR has verified it, so findings actually lead to change instead of sitting in a file.

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[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.

Tracker Owner
[HR Name]
Date: [Date]

Reviewed by
[HR Head]
Date: [Date]

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What this template includes

Link to the investigation case and report date
Each recommendation as a separate action
Action type: individual, process, training, monitoring
Owner and due date
Evidence of completion
Verification by HR or compliance
Status with overdue flag

When to use it

After a grievance, ethics or incident investigation report is accepted
When several departments own different corrective actions
When the audit or ethics committee asks for status on recommendations
When retaliation monitoring needs scheduled check-ins

How to customise this template

1Copy recommendations word-for-word from the report
2Break broad recommendations into specific actions
3Agree due dates with owners before publishing
4Add a column for revised date with reason
5Review in the ER or ethics meeting until all actions close

HR tips

Do not accept 'done' without evidence
Keep individual disciplinary details in the case file, not the tracker
Include scheduled retaliation check-ins as actions
Escalate repeatedly overdue actions

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Frequently asked questions

What is an investigation action tracker?+

A sheet that tracks each recommendation from an investigation through owner, due date, evidence and verification until it is completed.

Who maintains the action tracker?+

Usually the case owner in HR or the compliance team that managed the investigation.

Why verify actions?+

Verification with evidence ensures recommendations were genuinely implemented, which reduces repeat issues.

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
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[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
Download .docx

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

[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
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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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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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No.	Allegation	Code of Conduct Clause
1	[Allegation]	[Clause]
2	[Allegation]	[Clause]
3	[Allegation]	[Clause]

[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

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Investigation Action Tracker

Preview of the template

Summary

Notes

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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