10 Case Management Forms Every Organization Should Use

Which case management forms do I need? Check out our comprehensive list.

How do you document your workplace investigations? Consistent, compliant and efficient documentation not only keeps your team organized, but also protects your organization if your processes are ever called into question in a lawsuit or by regulators.

Your investigators probably use dozens of case management forms every day to ensure their case documentation meets standards while working efficiently. What are the top 10 case management forms to consider for streamlining your investigations? Read our list below.

1) Complaint/Intake Form: This form is used to document the initial complaint or report of an issue within the workplace. It should capture details such as the date, time and location of the incident, individuals involved and a brief description of the alleged misconduct. You should offer an anonymous reporting option on your reporting mechanism in case the reporter feels nervous bringing an issue to light for some reason (e.g. they fear retaliation, they were harassed by their boss).


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2) Incident Report: While the intake form captures information from a complainant, an incident report is more detailed and often completed by an investigator. It includes a full timeline of the incident, personal and contact information for all involved parties including witnesses and immediate actions that were taken after the incident occurred.

3) Investigation Plan: An investigation plan outlines the scope and goals of the investigation, the timeline, each investigator’s responsibilities and the steps to be completed during the investigation. Starting each investigation with a plan keeps it on track so you can resolve issues quickly and prevent repeat incidents.

4) Evidence Log: Keep a log of all evidence collected during the investigation, including documents, emails, photographs or any other relevant materials. Note the source, date and description of each piece of evidence. If you use case management software like Case IQ, your evidence log is included right in the case file so you can easily access evidence at any time during the investigation.

5) Confidentiality Agreement: Ask individuals involved in the investigation, including witnesses and the complainant, to sign a confidentiality agreement to protect sensitive information. This case management form is especially important for incidents involving personal details (such as sexual harassment) or financial details (such as theft and fraud).

6) Conflict of Interest Disclosure Form: Investigators should disclose any actual, potential or even perceived conflicts of interest that could compromise the integrity of the investigation before they are officially assigned to a case. This form should reference your organization’s conflict of interest policy and explain the different ways an employee could be conflicted.

7) Interim Action Plan: If applicable, document any interim actions taken during the investigation, such as suspensions, reassignments or other measures to ensure the safety and well-being of employees. Note the dates these actions were taken and reasons behind them, and have the employee sign the form, in case an employee tries to claim that you wrongfully disciplined them.

8) Final Investigation Report: When the investigation is complete, compile a comprehensive report summarizing your team’s findings, conclusions and recommendations. This report should be well organized and easy to read, and include all supporting documents and evidence.


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9) Notification Letters: Send notification letters to relevant parties, such as the complainant and the subject of the investigation, to inform them of the investigation’s outcome and any actions taken. This case management form is important because employees might try to question or appeal your decision if they don’t agree with the outcome.

10) Risk Assessment Form: A risk assessment helps your team take proactive action against future incidents. Fill in this form with historic case data and details of your organization’s current processes to measure your risk of certain types of workplace incidents (e.g., harassment, security breach, discrimination, etc.).


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Which case management forms do I need?

Every organization is different. Based on your company’s size, industry and other factors, you might need all of the above case management forms, or only a few of them.

While using forms to keep your documentation consistent certainly boosts efficiency, using case management software like Case IQ can improve your investigations even more. Case IQ lets you configure forms to match your needs and processes in the platform, then saves them so you can access them right in your case files. This ensures investigators always use the most up-to-date version of a form and don’t waste time hunting for form documents.

Want to learn more about Case IQ’s custom forms for case management? Click here.