INTERNAL INVESTIGATION CHECKLIST (HR)

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--- INITIAL INTAKE & ASSESSMENT ---
[ ] Report Date
[ ] Summary of Initial Report
[ ] Report Type (Harassment, Discrimination, Retaliation, Violation of Policy, Other)
[ ] Reporting Party Status (Employee, Former Employee, Contractor, Third Party)
[ ] Number of Individuals Involved
[ ] Summary of Allegations

--- PLANNING & SCOPE DEFINITION ---
[ ] Initial Allegation Summary
[ ] Type of Allegation (e.g., Harassment, Discrimination, Misconduct) (Harassment, Discrimination, Misconduct, Retaliation, Other)
[ ] Number of Potential Witnesses
[ ] Estimated Start Date of Investigation
[ ] Potential Areas of Inquiry (Email Records, Personnel Files, Security Footage, Financial Records, Witness Interviews)
[ ] Scope Limitations/Excluded Areas

--- WITNESS INTERVIEWS ---
[ ] Witness Name
[ ] Witness Statement
[ ] Interview Date
[ ] Interview Time
[ ] Interview Location
[ ] Witness Reliability Assessment (Highly Reliable, Reliable, Somewhat Reliable, Unreliable)
[ ] Witness Signature
[ ] Interview Duration (minutes)

--- EVIDENCE COLLECTION & PRESERVATION ---
[ ] 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 ---
[ ] Legal Counsel Involved? (Yes, No)
[ ] Counsel Name
[ ] Date of Initial Consultation
[ ] Summary of Legal Consultation Discussion
[ ] Topics Discussed (Select all that apply) (Legal Risks, Compliance Issues, Employee Rights, Potential Litigation, Reporting Obligations)
[ ] Specific Legal Advice Received

--- ANALYSIS & FINDINGS ---
[ ] Summary of Allegations
[ ] Summary of Witness Statements
[ ] Applicable Company Policies Violated (select all that apply) (Code of Conduct, Harassment Policy, Confidentiality Agreement, Ethics Policy, Other (specify in LONG_TEXT))
[ ] Number of Witnesses Interviewed
[ ] Overall Credibility of Allegations (based on evidence) (High, Moderate, Low, Unable to Determine)
[ ] Justification for Credibility Assessment

--- REPORT DOCUMENTATION & REVIEW ---
[ ] Executive Summary of Findings
[ ] Detailed Narrative of Investigation Process
[ ] Witness Statement Summaries (Anonymized)
[ ] Applicable Company Policies Violated (Code of Conduct, Harassment Policy, Confidentiality Agreement, Data Security Policy, Other (Specify))
[ ] Number of Witnesses Interviewed
[ ] Date of Report Finalization
[ ] Investigator Signature
[ ] Supporting Evidence (e.g., exhibits, emails)

--- CORRECTIVE ACTION & REMEDIATION ---
[ ] Detailed Description of Corrective Action
[ ] Cost of Corrective Action (Estimated)
[ ] Responsible Department for Action (HR, Legal, Operations, Finance)
[ ] Implementation Start Date
[ ] Completion Target Date
[ ] Affected Employee(s) (if applicable) (Employee A, Employee B, Employee C)
[ ] Signature of Responsible Party

--- FOLLOW-UP & MONITORING ---
[ ] Date of Initial Corrective Action
[ ] Number of Repeat Incidents (Post-Action)
[ ] Effectiveness of Corrective Action (Overall) (Highly Effective, Moderately Effective, Minimally Effective, Not Effective)
[ ] Notes on Employee Performance/Behavior Post-Action
[ ] Date of Next Review/Follow-Up
[ ] Management Confidence in Continued Improvement (High, Moderate, Low)

--- RECORD RETENTION & DISPOSAL ---
[ ] Date of Investigation Closure
[ ] Summary of Retention Schedule Applied
[ ] Number of Years Records Retained (per schedule)
[ ] Method of Record Destruction (Shredding, Secure Data Erasure, Other (Specify))
[ ] Details of 'Other' Destruction Method (if selected)
[ ] Date of Record Destruction
[ ] Signature of Person Responsible for Record Destruction

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