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Investigation Workflow - Disclosurely Process Guide

Master the complete investigation lifecycle from assessment to resolution. Evidence gathering, analysis, findings, and compliance with regulatory timeframes.

Investigation Workflow

A comprehensive guide to managing the investigation lifecycle from initial review to resolution.

Overview

The investigation workflow in Disclosurely follows a structured process to ensure thorough, fair, and compliant investigations. Understanding each stage helps investigators work efficiently and maintain high standards.

Investigation Lifecycle

Stage 1: Initial Assessment (Days 1-3)

Objectives:

  • Understand the allegation
  • Assess severity and urgency
  • Determine investigation scope
  • Identify resources needed

Actions:

  1. Review Report Content

    • Read full report carefully
    • Note specific allegations made
    • Identify parties involved
    • Review any attached evidence
    • Check for previous related reports

  2. Assess Credibility

    • Are allegations specific and detailed?
    • Is evidence provided?
    • Does report seem genuine?
    • Are there inconsistencies?
    • Is additional information needed?

  3. Categorize & Prioritize

    • Confirm category is correct
    • Set priority level:
      • Critical: Immediate safety risk, legal violation
      • High: Serious misconduct, financial impact
      • Medium: Policy violation, team conflict
      • Low: Minor procedural issue

  4. Determine Scope

    • What exactly will be investigated?
    • What period of time is relevant?
    • Which departments involved?
    • Who needs to be interviewed?
    • What records need review?

  5. Request Additional Information

    • Use secure messaging to ask reporter:
      • Specific dates and times
      • Names of witnesses
      • Location details
      • Additional documentation
    • Set reasonable deadline for response

  6. Update Status

    • Change from "New" to "Under Review" using status management
    • Add initial assessment notes
    • Set expected investigation timeline
    • Notify reporter of next steps

Stage 2: Evidence Gathering (Days 3-14)

Objectives:

  • Collect all relevant evidence
  • Interview witnesses and involved parties
  • Document findings thoroughly
  • Maintain chain of custody

Actions:

  1. Document Review

    • Email communications
    • Financial records
    • HR files
    • CCTV footage
    • Access logs
    • Meeting minutes
    • Previous complaints

  2. Witness Interviews

    Preparing for Interviews:

    • Identify witnesses to interview
    • Prepare interview questions
    • Schedule interviews privately
    • Ensure confidentiality
    • Document consent

    Conducting Interviews:

    • Explain purpose and confidentiality
    • Ask open-ended questions
    • Take detailed notes
    • Record key quotes verbatim
    • Allow witness to add anything
    • Thank them for participation

    After Interviews:

    • Transcribe notes while fresh
    • Upload to case evidence
    • Identify corroboration or conflicts
    • Determine if follow-up needed

  3. Evidence Collection Best Practices

    For Digital Evidence:

    • Screenshot emails with full headers
    • Export with metadata intact
    • Hash files to prove authenticity
    • Maintain original and copy
    • Document collection date/time

    For Physical Evidence:

    • Photograph in situ if possible
    • Label clearly with date/case ID
    • Store securely
    • Maintain chain of custody log
    • Get receipt if taking from location

  4. Organize Evidence

    • Upload all evidence to case
    • Tag and categorize each item
    • Create evidence index
    • Link evidence to specific allegations
    • Note relevance and weight

  5. Update Case Notes

Stage 3: Analysis & Findings (Days 14-21)

Objectives:

  • Analyze all collected evidence
  • Determine if allegations substantiated
  • Identify policy violations
  • Consider mitigating factors
  • Draft preliminary findings

Actions:

  1. Evidence Analysis

    For Each Allegation:

    • List evidence supporting
    • List evidence contradicting
    • Assess credibility of each source
    • Identify corroboration
    • Note gaps or uncertainties

  2. Apply Standards of Proof

    Levels Used:

    • Balance of probabilities: More likely than not (50%+)
    • Clear and convincing: Highly probable (75%+)
    • Beyond reasonable doubt: Almost certain (95%+)

    Typically:

    • Employment matters: Balance of probabilities
    • Serious misconduct: Clear and convincing
    • Criminal matters: Refer to authorities

  3. Determine Findings

    For Each Allegation:

    • Substantiated: Evidence supports allegation
    • Unsubstantiated: Insufficient evidence
    • False: Evidence disproves allegation
    • Inconclusive: Conflicting evidence

  4. Consider Context

    • Were there mitigating circumstances?
    • Was conduct intentional or accidental?
    • Is there a pattern of behavior?
    • Are policies clear and communicated?
    • Has training been provided?

  5. Identify Policy Violations

    • Which policies were breached?
    • Severity of each breach
    • Previous violations by subject
    • Consistency with past cases
    • Regulatory implications

  6. Document AI Assistance

    • If using AI Case Helper for analysis
    • Note which AI insights used
    • Verify AI conclusions independently
    • Document human review and decision
    • Maintain investigator accountability

Stage 4: Subject Response (Days 21-24)

Objectives:

  • Ensure procedural fairness
  • Give subject opportunity to respond
  • Consider their perspective
  • Maintain impartiality

Actions:

  1. Prepare Subject Interview

    • Draft allegation summary (no reporter details)
    • List evidence to present
    • Prepare questions
    • Consider subject's rights
    • Arrange witness/representative if allowed

  2. Conduct Subject Interview

    Opening:

    • Explain investigation process
    • Present allegations clearly
    • Confirm understanding
    • Note they can provide information

    During:

    • Allow full response to each allegation
    • Listen without judgment
    • Ask clarifying questions
    • Request any supporting evidence
    • Note their version of events

    Closing:

    • Summarize their response
    • Ask if anything to add
    • Explain next steps
    • Set timeline for decision
    • Reinforce confidentiality

  3. Evaluate Subject Response

    • Does response change findings?
    • Is new evidence provided?
    • Are there credible explanations?
    • Do you need to re-interview others?
    • Should findings be revised?

Stage 5: Decision & Recommendation (Days 24-28)

Objectives:

  • Finalize investigation findings
  • Recommend appropriate actions
  • Ensure consistency and fairness
  • Document thoroughly

Learn more about determining findings and appropriate actions.

Actions:

  1. Finalize Findings

    • Review all evidence one final time
    • Confirm conclusions are supported
    • Consider subject's response
    • Check for bias or assumptions
    • Validate consistency with past cases

  2. Develop Recommendations

    If Substantiated:

    • No action (if resolved or minor)
    • Coaching/counseling
    • Formal warning
    • Training required
    • Demotion or transfer
    • Suspension
    • Termination
    • Referral to authorities

    Consider:

    • Severity of misconduct
    • Subject's role and seniority
    • Previous disciplinary record
    • Impact on victims/organization
    • Mitigating circumstances
    • Consistency with past cases
    • Legal and regulatory requirements

  3. Remedial Actions

    • Policy updates needed?
    • Additional training required?
    • Process improvements?
    • Control weaknesses identified?
    • Cultural issues to address?

  4. Write Investigation Report

    Structure:

    • Executive summary
    • Background and scope
    • Investigation methodology
    • Evidence gathered and reviewed
    • Findings for each allegation
    • Subject response summary
    • Conclusions
    • Recommendations
    • Appendices (evidence index)

  5. Internal Review

    • Have findings reviewed by:
      • Senior investigator
      • Legal counsel (if serious)
      • HR director (employment matters)
      • Compliance officer
    • Incorporate feedback
    • Ensure recommendations appropriate

Stage 6: Resolution & Communication (Days 28-30)

Objectives:

  • Implement decisions
  • Communicate outcomes appropriately
  • Close case properly
  • Maintain confidentiality

Actions:

  1. Implement Decisions

    • Forward to HR for disciplinary action
    • Brief relevant managers
    • Monitor implementation
    • Set review dates if ongoing actions
    • Update policies if needed

  2. Communicate to Reporter

    Via Secure Messaging:

    • Thank them for reporting
    • Confirm investigation completed
    • Provide outcome summary:
      • Substantiated/unsubstantiated/inconclusive
      • Action taken (general terms)
      • Changes implemented
    • Do Not Share:
      • Specific disciplinary actions
      • Names of those interviewed
      • Detailed evidence
      • Information about subject's employment

  3. Communicate to Subject

    • Meeting with HR and manager
    • Present findings clearly
    • Explain disciplinary action
    • Provide appeal rights
    • Document acknowledgment
    • Arrange any support needed

  4. Update Stakeholders

    • Board/executives (if serious)
    • Department heads (if policy changes)
    • Legal/compliance teams
    • External regulators (if required)
    • Keep communications brief and need-to-know

  5. Update Case Status

    • Change status to "Resolved"
    • Add final outcome summary
    • Link to investigation report
    • Document action items
    • Set review dates if applicable

  6. Close Case

    • Ensure all evidence uploaded
    • Complete all required fields
    • Run final audit check
    • Archive case
    • Generate compliance reports if needed

Using Disclosurely's Workflow Tools

Status Progression

Track investigation progress using statuses:

  1. New - Just submitted, not yet reviewed
  2. Under Review - Initial assessment underway
  3. Investigating - Active evidence gathering
  4. Pending Information - Waiting for reporter/witness input
  5. Under Analysis - Reviewing evidence and forming conclusions
  6. Subject Response - Awaiting or reviewing subject's response
  7. Decision Pending - Recommendations being finalized
  8. Resolved - Investigation complete, actions implemented
  9. Closed - Case archived, no further action

Case Notes

Use case notes to document your work:

Best Practices:

  • Date and time each entry
  • Note what you did, not just what you found
  • Include who you spoke with
  • Document decisions made
  • Record reasons for key choices
  • Note any unusual circumstances
  • Add tags for easy searching

Evidence Management

Upload and organize evidence:

Upload Files:

  • Interview transcripts
  • Email screenshots
  • Financial records
  • Photos and videos
  • Audio recordings
  • Document scans

Tag Evidence:

  • By allegation
  • By source
  • By relevance level
  • By date
  • By custodian

Collaboration

Work with team members:

Assign Tasks:

  • Request document review
  • Delegate interviews
  • Ask for specialized analysis
  • Get peer review

Share Notes:

  • Make notes visible to team
  • Add comments to evidence
  • Discuss findings privately
  • Get second opinions

Investigation Timeline

Regulatory Timeframes

EU Whistleblowing Directive:

  • Acknowledge receipt: 7 days
  • Provide feedback: 3 months (extendable to 6 months)

UK Regulatory Requirements:

  • Prompt investigation required
  • "Reasonable time" standard
  • Depends on complexity

US Requirements:

  • Varies by industry and allegation type
  • SOX: Immediate for financial fraud
  • OSHA: Varies by sector

Simple Cases:

  • Minor policy violations
  • Clear evidence
  • Few parties involved
  • Target: 2-3 weeks

Standard Cases:

  • Moderate complexity
  • Multiple witnesses
  • Standard evidence gathering
  • Target: 4-6 weeks

Complex Cases:

  • Serious allegations
  • Multiple jurisdictions
  • Extensive evidence
  • External parties involved
  • Target: 8-12 weeks

Managing Extensions

If investigation extends beyond initial timeline:

  1. Assess Why

    • Additional allegations emerged?
    • Key witnesses unavailable?
    • Waiting for external information?
    • More complex than initially assessed?

  2. Communicate Extension

    • Update reporter via secure messaging
    • Explain reason for delay
    • Provide new expected timeline
    • Thank them for patience

  3. Update Status

    • Change to "Pending Information" if waiting
    • Add note explaining delay
    • Set reminder to follow up
    • Keep stakeholders informed

Quality Assurance

Investigation Checklist

Before closing case, verify:

✅ All allegations addressed ✅ Sufficient evidence gathered ✅ All relevant witnesses interviewed ✅ Subject given opportunity to respond ✅ Evidence properly documented ✅ Findings supported by evidence ✅ Recommendations consistent with past cases ✅ Reporter updated on outcome ✅ Actions implemented ✅ Case notes complete ✅ Audit trail intact ✅ Compliance requirements met

Peer Review

For serious cases, get peer review:

What to Review:

  • Investigation methodology
  • Evidence sufficiency
  • Conclusion logic
  • Recommendation appropriateness
  • Procedural fairness
  • Documentation completeness

Who Should Review:

  • Senior investigator
  • Legal counsel
  • External specialist
  • Compliance officer

Continuous Improvement

Learn from each investigation:

After Each Case:

  • What went well?
  • What could improve?
  • Were there delays? Why?
  • Was process efficient?
  • Did you have right resources?
  • Update procedures if needed

Related:

Investigation Workflow - Disclosurely Process Guide | Disclosurely Docs