Investigations

The Investigations module provides a comprehensive system for managing formal investigations from initial intake through final resolution and closure. It provides data entry forms and views for documenting allegations and complaints, assigning investigators and planning investigation scope, collecting and tracking evidence with defensible chain-of-custody controls, conducting and documenting interviews, analyzing findings against policies and regulations, issuing recommendations and corrective actions, tracking financial recoveries and restitution, producing formal investigation reports, and managing referrals to internal or external authorities. The module supports employee misconduct investigations, fraud inquiries, ethics hotline complaints, safety incident reviews, regulatory violation examinations, data breach investigations, quality control cases, inspector general inquiries, internal affairs reviews, and compliance examinations with full audit trails and confidentiality controls.

Typical use cases include workplace conduct investigations, financial fraud detection and recovery, regulatory compliance examinations, safety and incident analysis, quality assurance investigations, ethics and conflict of interest reviews, data security breach investigations, whistleblower complaint management, inspector general oversight cases, and internal audit investigations.

Using the Module

The module provides forms and views to support investigation management throughout the complete case lifecycle from intake through resolution. Investigation cases originate through Investigation Intake records capturing initial allegations with intake source, reporting channel, reporter information, allegation summary, and screening decision. Investigation records serve as the primary case entity with investigation numbers, Investigative Type assignments (fraud, misconduct, safety, ethics, quality, data breach), Investigative Category classifications, case status, assigned investigators, confidentiality levels, Judicial District references, Legal Authority and Compliance Framework citations, and case priority. Investigation Allegation records can document specific claims or accusations being evaluated within a case. Investigation Related Cases can link duplicate, predecessor, parallel, or systemically-connected investigations. Investigation Party records link persons or organizations in defined Investigative Party Role categories—subjects, reporters, witnesses, impacted parties, legal representatives, or custodians. Investigation Location records can document relevant facilities, sites, regions, or systems for geographic context.

Investigation planning is formalized through Investigation Plan records documenting objectives, scope, methodology, milestones, and resource assignments. Investigative Issue records can structure specific questions, policy elements, or compliance requirements being examined, providing a framework for systematic analysis and thorough coverage. Investigation Interview records document scheduled or completed interview sessions with interview types, dates, interviewers, locations, status, and summaries. Investigation Interview Participant records link participants with defined roles—interviewers, witnesses, subjects, observers, counsel, or translators.

Evidence management maintains rigorous chain-of-custody controls through Evidence Item records representing collected materials (documents, images, devices, logs, physical objects) categorized by Evidence Type with collection details, condition indicators, and Evidence Storage Location references (lockers, vaults, repositories, archives). Evidence Custody Record entries maintain chain-of-custody audit trails documenting each transfer, handling event, location change, or condition verification with custody dates, transferring and receiving persons, reasons, and security identifiers. Evidence Access Log records track who viewed, downloaded, or accessed evidence items with access date/time, purpose, type, and system identifications. Evidence Link records associate evidence to specific allegations, issues, interviews, or findings.

Analysis outcomes are documented through Investigation Finding records capturing formal conclusions (substantiated, unsubstantiated, inconclusive, exonerated, unfounded) with finding dates, rationale, severity assessments, evidence references, and policy citations. Investigation Recommendation records propose corrective actions, preventive measures, control improvements, or training requirements with priorities, responsible parties, and timelines. Investigation Corrective Action records track assigned remediation with owners, due dates, status, completion verification, and effectiveness indicators. Investigation Recovery Record entries document recovered funds, assets, restitution, or cost savings with recovery types, amounts, dates, and disbursement details.

Case resolution is formalized through Investigation Outcome records providing resolution summaries with outcome types (closed-substantiated, closed-unsubstantiated, closed-no action, referred externally, administratively closed) and closure rationale. Investigation Report records maintain formal reports with report types (preliminary, final, executive summary), dates, authors, status, and approval workflow. Investigation Referral records document referrals categorized by Investigative Referral Type (internal, legal counsel, law enforcement, regulatory, HR, ethics office) with referral dates, reasons, and status.

graph TD
  appbase_ComplianceFramework(Compliance Framework)
  appbase_Document(Document)
  appbase_EvidenceAccessLog(Evidence Access Log)
  appbase_EvidenceCustodyRecord(Evidence Custody Record)
  appbase_EvidenceItem(Evidence Item)
  appbase_EvidenceLink(Evidence Link)
  appbase_EvidenceStorageLocation(Evidence Storage Location)
  appbase_EvidenceType(Evidence Type)
  appbase_Investigation(Investigation)
  appbase_InvestigationAllegation(Investigation Allegation)
  appbase_InvestigationCorrectiveAction(Investigation Corrective Action)
  appbase_InvestigationFinding(Investigation Finding)
  appbase_InvestigationIntake(Investigation Intake)
  appbase_InvestigationInterview(Investigation Interview)
  appbase_InvestigationInterviewParticipant(Investigation Interview Participant)
  appbase_InvestigationIssue(Investigation Issue)
  appbase_InvestigationLocation(Investigation Location)
  appbase_InvestigationOutcome(Investigation Outcome)
  appbase_InvestigationParty(Investigation Party)
  appbase_InvestigationPlan(Investigation Plan)
  appbase_InvestigationRecommendation(Investigation Recommendation)
  appbase_InvestigationRecoveryRecord(Investigation Recovery Record)
  appbase_InvestigationReferral(Investigation Referral)
  appbase_InvestigationRelatedCases(Investigation Related Cases)
  appbase_InvestigationReport(Investigation Report)
  appbase_InvestigativeCategory(Investigative Category)
  appbase_InvestigativeIssue(Investigative Issue)
  appbase_InvestigativePartyRole(Investigative Party Role)
  appbase_InvestigativeReferralType(Investigative Referral Type)
  appbase_InvestigativeType(Investigative Type)
  appbase_JudicialDistrict(Judicial District)
  appbase_LegalAuthority(Legal Authority)
  appbase_Investigation --> appbase_ComplianceFramework
  appbase_EvidenceItem --> appbase_Document
  appbase_InvestigationFinding --> appbase_Document
  appbase_InvestigationIntake --> appbase_Document
  appbase_InvestigationInterview --> appbase_Document
  appbase_InvestigationInterview --> appbase_Document
  appbase_InvestigationOutcome --> appbase_Document
  appbase_InvestigationPlan --> appbase_Document
  appbase_InvestigationRecoveryRecord --> appbase_Document
  appbase_InvestigationReferral --> appbase_Document
  appbase_InvestigationReport --> appbase_Document
  appbase_EvidenceAccessLog --> appbase_EvidenceItem
  appbase_EvidenceCustodyRecord --> appbase_EvidenceItem
  appbase_EvidenceLink --> appbase_EvidenceItem
  appbase_EvidenceCustodyRecord --> appbase_EvidenceStorageLocation
  appbase_EvidenceCustodyRecord --> appbase_EvidenceStorageLocation
  appbase_EvidenceItem --> appbase_EvidenceStorageLocation
  appbase_EvidenceItem --> appbase_EvidenceType
  appbase_EvidenceItem --> appbase_Investigation
  appbase_EvidenceLink --> appbase_Investigation
  appbase_Investigation --> appbase_Investigation
  appbase_Investigation --> appbase_Investigation
  appbase_InvestigationAllegation --> appbase_Investigation
  appbase_InvestigationCorrectiveAction --> appbase_Investigation
  appbase_InvestigationFinding --> appbase_Investigation
  appbase_InvestigationIntake --> appbase_Investigation
  appbase_InvestigationInterview --> appbase_Investigation
  appbase_InvestigationIssue --> appbase_Investigation
  appbase_InvestigationLocation --> appbase_Investigation
  appbase_InvestigationOutcome --> appbase_Investigation
  appbase_InvestigationParty --> appbase_Investigation
  appbase_InvestigationPlan --> appbase_Investigation
  appbase_InvestigationRecommendation --> appbase_Investigation
  appbase_InvestigationRecoveryRecord --> appbase_Investigation
  appbase_InvestigationReferral --> appbase_Investigation
  appbase_InvestigationRelatedCases --> appbase_Investigation
  appbase_InvestigationRelatedCases --> appbase_Investigation
  appbase_InvestigationReport --> appbase_Investigation
  appbase_EvidenceLink --> appbase_InvestigationAllegation
  appbase_InvestigationFinding --> appbase_InvestigationAllegation
  appbase_InvestigationIssue --> appbase_InvestigationAllegation
  appbase_InvestigationRecommendation --> appbase_InvestigationCorrectiveAction
  appbase_EvidenceLink --> appbase_InvestigationFinding
  appbase_InvestigationCorrectiveAction --> appbase_InvestigationFinding
  appbase_InvestigationRecommendation --> appbase_InvestigationFinding
  appbase_InvestigationRecoveryRecord --> appbase_InvestigationFinding
  appbase_EvidenceLink --> appbase_InvestigationInterview
  appbase_InvestigationInterviewParticipant --> appbase_InvestigationInterview
  appbase_InvestigationCorrectiveAction --> appbase_InvestigationRecommendation
  appbase_Investigation --> appbase_InvestigativeCategory
  appbase_InvestigativeCategory --> appbase_InvestigativeCategory
  appbase_EvidenceLink --> appbase_InvestigativeIssue
  appbase_InvestigationFinding --> appbase_InvestigativeIssue
  appbase_InvestigationParty --> appbase_InvestigativePartyRole
  appbase_InvestigationReferral --> appbase_InvestigativeReferralType
  appbase_Investigation --> appbase_InvestigativeType
  appbase_InvestigationIntake --> appbase_InvestigativeType
  appbase_Investigation --> appbase_JudicialDistrict
  appbase_Investigation --> appbase_LegalAuthority
  appbase_InvestigationAllegation --> appbase_LegalAuthority

The Investigations module supports the structured intake, management, analysis, and resolution of formal investigations across public sector and commercial environments. It enables organizations to document allegations, assign investigators, manage interviews and evidence with defensible chain-of-custody tracking, analyze issues against policies or standards, produce formal reports, and monitor corrective actions and recoveries through closure. The module supports use cases such as employee misconduct investigations, fraud inquiries, ethics hotline complaints, safety incidents, regulatory violations, data breach reviews, quality control investigations, inspector general cases, internal affairs reviews, and compliance examinations. It provides both operational case management and governance oversight, ensuring investigations are thorough, auditable, and aligned with organizational or statutory requirements.

Tables

Investigation

Primary case record. Tracks lifecycle status, ownership, classification, key dates, confidentiality, and overall disposition.

Investigation Intake

Initial allegation or referral submission before or at case creation. Captures source, channel, summary, and screening details.

Investigation Allegation

Specific claim or accusation being evaluated within a case. A case may contain multiple allegations.

Investigative Issue

Structured question, policy element, or control area being examined. Often used to frame analysis and findings.

Investigative Type

Primary investigation taxonomy (Fraud, Misconduct, Safety, Data Breach, Quality, etc.).

Investigative Category

Secondary classification used for reporting (program area, risk domain, business unit, etc.).

Investigation Related Cases

Links cases together (duplicate, predecessor, parallel, systemic connection).

Investigation Party

Person or organization involved in the case (subject, reporter, witness, impacted party, etc.).

Investigative Party Role

Defines allowable roles a party may have in a case.

Investigation Location

Physical or virtual location relevant to the case (facility, site, region, system environment).

Investigation Plan

Documents scope, objectives, methodology, milestones, and investigative strategy.

Evidence Item

Any collected material (document, image, device, log file, physical object).

Evidence Type

Classification of evidence (email, CCTV, financial record, system log, physical item, etc.).

Evidence Link

Associates evidence to specific allegations, issues, interviews, findings, or tasks.

Evidence Custody Record

Chain-of-custody entries documenting transfer, handling, and condition changes.

Evidence Access Log

Audit log of who viewed, downloaded, or accessed an evidence item.

Evidence Storage Location

Physical or digital storage location (locker, vault, secure repository, external archive).

Investigation Interview

Scheduled or completed interview session related to the case.

Investigation Interview Participant

Links participants to interviews and defines their role (interviewer, witness, observer, counsel).

Investigation Finding

Formal conclusion regarding an allegation or issue (substantiated, unsubstantiated, inconclusive, etc.).

Investigation Recommendation

Proposed corrective, preventive, or control improvement action arising from findings.

Investigation Corrective Action

Action assigned to remediate findings, with owner, due date, and status tracking.

Investigation Outcome

Overall case resolution summary and closure rationale.

Investigation Recovery Record

Tracks recovered funds, assets, restitution, or other tangible recoveries resulting from the case.

Investigation Report

Formal written report record (draft/final versions, approvals, publication metadata).

Investigation Referral

Records referrals made to or received from internal or external entities.

Investigative Referral Type

Defines referral categories (Internal, Legal, Law Enforcement, Regulator, HR, etc.).

Note: All data shown in screenshots is fictitious and for demonstration purposes only.

Use the pac data CLI command or the Configuration Migration tool to import sample data into your environment.

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