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Fillable Form Confidential Investigation Report

As soon as a formal complaint is lodged or an incident happens, an investigative report is a document that details the findings of an investigation. This is where prosecutors document the problems of the case, examine the facts, and draw a conclusion.

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What is a Confidential Investigation Report?

A Confidential Investigation Report is a document that shows the step-by-step process of defining the facts in an issue or incident. It also documents the case study, interpretation of data, shred of evidence, and the conclusion from the initial allegations.

The report contains the summary of findings of an investigated complaint or incident. All accumulated information and underways of the investigation will be kept confidential.

What is the purpose of a Confidential Investigation Report?

A Confidential Investigation Report is a document that takes legal actions based on the official findings. It may lead to the termination of employment, disciplinary proceedings, corrective action or written warning, counseling, and other actions drew on findings. All information contained in an investigation report is cited in any legal action.

The report is also a record of procedures of the investigation that can be used as a piece of strong evidence for a conviction. Furthermore, the steps taken in an investigation may uncover additional questions and clarify thoughts that add significance to a case.

Once a case has been resolved, the investigation can be used as a new procurement for implementing new preventive measures and regulations in the company.

How to fill out a Confidential Investigation Report?

The content of this report serves as a guide for conducting an investigation. Format changes in this report may occur depending on the individual’s case.

DEPARTMENT

Enter the department of the alleged person belongs to.

ALLEGATION/ISSUE

State the allegation or issue under investigation.

TYPE OF INVESTIGATION

Enter the type of investigation that will take place based on the company’s code of conduct.

NAME/POST OF EMPLOYEE(S) SUBJECT TO INVESTIGATION

Enter the name of the employee(s) to be investigated.

NAME OF COMPLAINANT

Enter the complainant’s name or the person who escalated the case.

INVESTIGATOR

Enter the name of the prosecutor(s) who will conduct the investigation.

HR SUPPORT LINK

Enter the Human Resources support link in your company.

BACKGROUND

State the reason why an issue or incident needs further action.

The background details help the investigator to identify the possible causes of the issue or incident by analyzing a brief history of the event. This is the vital part of knowing the roots and basis of an investigation.

REMIT OF THE INVESTIGATION

List in bullet points the allegations or concerns. This investigation will be expanded in the Findings section.

INVESTIGATION PROCESS

Explain how the investigation proceeded in examining the case study. This includes reasons for decisions that were made. The following shows the process of investigation:

  • Write a brief description of the method(s) used to gather information.

  • Show the documents/evidence were reviewed.

  • Entail the timeline of each event.

  • Document the record of interviews/statements were undertaken, when, and their appendix number within the bundled of evidence.

  • Report the decision made even If the investigator has not interviewed all individuals suggested by the subject of the investigation.

WITNESSES

Enter the name of the involved persons who witnessed the issue or incident.

FINDINGS

This covers the summary of findings and observations:

  • Present the findings for each point, allegation, or issue by affirming the facts upon the procedure of investigation, conformation of events, cross-referencing any documentation, and emphasis of small factors that affect or aggravate the situation.
  • Quote the statements directly from the parties involved. The investigator is obliged to analyze all testimonies and draw out available supporting evidence. Respondents are not coherent with their answers during an interview. Therefore, the investigator should interpret their words to posit the ideas and findings accurately.
  • Report the significance of evidence that is yet inconclusive. The instigating manager wants to know if there is any evidence that supports the allegations and it is the investigator’s responsibility to clarify the relevance of the evidence.

Note: See the agreed remit of investigation to ensure that all points are covered.

CONCLUSIONS

The investigator concludes a reasonable belief based on facts and their assessment of evidence collected from the case study. The balance of probabilities should always follow the standard of proof for internal investigations and any subsequent disciplinary hearing or grievance meeting.

Each conclusion must be drawn as follows:

  • For each allegation, incident, or issue shall provide an overall fact-based viewpoint, whether there is any evidence supporting the accusation or rigorous strength of the evidence.
  • Conclusions must be supported with the strongest evidence. It should be clear and concise.
  • Discuss the strengths and weaknesses of the evidence to the reader, which also explains the value of small details and can lead to a different interpretation.
  • Draw out key facts demonstrating particular breaches of policy, such as code of conduct, harassment, policies and regulations, and other procurement.

APPENDICES

Provide the chronology of events, witness’s statements/testimonies, investigatory interview notes, organizational structure, medico-legal, etc.


SIGNATURE

Ensure that all information indicated is correct in this investigation report.

Sign and date the report by the investigating officer.

Tips for writing a Confidential Investigation Report

  1. Start the report with case-specific information that identifies the issue or incident concisely. You must also include the investigator’s name, case number, the time and date stamp of the investigation.
  2. Cite the primary source or the complainant’s information, such as employee number, work phone number, email, office location, department, and job title. This identifies the person lodging the complaint.
  3. Determine the type of allegation and describe how the incident happened.
  4. You also need to provide the information of the subject or the accused person, such as the name, work phone number, email, office location, department, and job title.
  5. Provide a statement that pictures the objectives of the investigation.
  6. Ensure to include a brief description of the assigned task and action taken throughout the investigation.
  7. Document and make a list of investigation interviews during the investigation. The list should be in chronological order. See the outline below:
  • Name of the interviewer
  • Name of the respondent and their role in the investigation
  • Location of the interview
  • Date of interview
  1. Create interview reports to establish brief summaries of each investigation interview. This report elaborates the investigation to attain a credible assessment and investigator notes.
  2. Make a list of evidence. The data should show the following:
  • Type of evidence: video, photo, recorder, cctv, email, etc.
  • Name of the person who presented the evidence.
  • Location of the evidence.
  • Date of the collected evidence.
  1. Draw conclusions to determine the appropriate legal actions of the allegation. Make recommendations to back up the conditions outlined in the company’s code of conduct and action plan.

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