Internal Investigation Checklist (HR)
Ensure thorough, legally sound internal investigations with our Internal Investigation Checklist. From initial report to final resolution, this HR checklist guides you through key steps, minimizing risk and protecting your organization. Download now for a proactive approach to workplace concerns!
This Template was installed 5 times.
Initial Intake & Assessment
Documenting the initial report and determining the need for a formal investigation.
Report Date
Summary of Initial Report
Report Type
Reporting Party Status
Number of Individuals Involved
Summary of Allegations
Planning & Scope Definition
Defining the investigation's objectives, scope, and potential witnesses.
Initial Allegation Summary
Type of Allegation (e.g., Harassment, Discrimination, Misconduct)
Number of Potential Witnesses
Estimated Start Date of Investigation
Potential Areas of Inquiry
Scope Limitations/Excluded Areas
Witness Interviews
Conducting interviews with relevant witnesses and documenting their statements.
Witness Name
Witness Statement
Interview Date
Interview Time
Interview Location
Witness Reliability Assessment
Witness Signature
Interview Duration (minutes)
Evidence Collection & Preservation
Gathering and preserving all relevant evidence, including documents, emails, and data.
Relevant Documents (e.g., emails, memos)
Detailed Description of Physical Evidence
Date Evidence Collected
Time Evidence Collected
Location Evidence Found
Signature of Person Collecting Evidence
Chain of Custody Documentation
Evidence Item Number (if applicable)
Legal Consultation & Review
Seeking legal advice regarding the investigation's process and potential legal implications.
Legal Counsel Involved?
Counsel Name
Date of Initial Consultation
Summary of Legal Consultation Discussion
Topics Discussed (Select all that apply)
Specific Legal Advice Received
Analysis & Findings
Analyzing the collected information and formulating a preliminary set of findings.
Summary of Allegations
Summary of Witness Statements
Applicable Company Policies Violated (select all that apply)
Number of Witnesses Interviewed
Overall Credibility of Allegations (based on evidence)
Justification for Credibility Assessment
Report Documentation & Review
Preparing a comprehensive report detailing the investigation's findings, conclusions, and recommendations.
Executive Summary of Findings
Detailed Narrative of Investigation Process
Witness Statement Summaries (Anonymized)
Applicable Company Policies Violated
Number of Witnesses Interviewed
Date of Report Finalization
Investigator Signature
Supporting Evidence (e.g., exhibits, emails)
Corrective Action & Remediation
Implementing corrective actions to address the issues identified in the investigation and prevent recurrence.
Detailed Description of Corrective Action
Cost of Corrective Action (Estimated)
Responsible Department for Action
Implementation Start Date
Completion Target Date
Affected Employee(s) (if applicable)
Signature of Responsible Party
Follow-up & Monitoring
Monitoring the effectiveness of corrective actions and ensuring ongoing compliance.
Date of Initial Corrective Action
Number of Repeat Incidents (Post-Action)
Effectiveness of Corrective Action (Overall)
Notes on Employee Performance/Behavior Post-Action
Date of Next Review/Follow-Up
Management Confidence in Continued Improvement
Record Retention & Disposal
Maintaining appropriate records of the investigation and disposing of them in accordance with legal and company policies.
Date of Investigation Closure
Summary of Retention Schedule Applied
Number of Years Records Retained (per schedule)
Method of Record Destruction
Details of 'Other' Destruction Method (if selected)
Date of Record Destruction
Signature of Person Responsible for Record Destruction
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