FormKiQ's Incident and Investigation Management solution provides a governed document layer for the full incident lifecycle — from initial intake and classification through investigation, evidence collection, findings documentation, and resolution.
Example in FormKiQ · fictional data
One investigation file, from near-miss report to checked corrective action
1. Report and assemble evidence
Staff report a warehouse near-miss with photographs. FormKiQ opens the investigation file and shows the outstanding witness statement.
How FormKiQ handles this step
- Location entity: WH-01 connects the report to its warehouse location.
- Investigation dossier INC-1042: links the assigned investigator, submitted report, photographs, and location.
- Business Solution application: records severity, the assigned investigator, and the next review date, then displays the evidence checklist and missing witness statement.
2. Build the evidence and explain the findings
The investigator obtains the witness statement, compares it with the report and photographs, and documents the event sequence and proposed corrective action.
How FormKiQ handles this step
- Evidence documents: keep the witness statement, photographs, and report with their sources, dates, and versions; sensitive statements retain document-level permissions.
- Business Solution application: shows evidence requests and their owners, the incident chronology, and gaps the investigator still needs to resolve.
- Findings document: records the investigator’s conclusions and proposed revision to loading-area instructions, linking each finding to its supporting evidence in INC-1042.
3. Review the findings
The supervisor checks the findings, supporting evidence, and proposed corrective action. Approval moves the investigation to action tracking; corrections return it to the investigator.
How FormKiQ handles this step
- Findings document: connects the investigator’s conclusions and proposed corrective action to the report, photographs, and statement.
- FormKiQ workflow: routes the document to Safety Supervisor Review and records the decision and requested rework.
- Business Solution application: shows the decision and required next action, keeping approved findings and any rework connected to INC-1042.
4. Assign and document the corrective action
The supervisor assigns an owner and target date for revised loading instructions. The owner records progress, adds the revised document, and supplies evidence of the team briefing.
How FormKiQ handles this step
- Business Solution application: records the action owner, target date, progress, and overdue work; changes to the plan retain their reason and follow-up responsibility.
- Corrective-action documents: include the revised loading-area instructions and briefing record, linked to the finding they address rather than replacing the original evidence.
- Investigation dossier INC-1042: connects the action plan and completion evidence to the reviewed findings; the application schedules an effectiveness check before closure.
5. Check effectiveness and approve closure
The supervisor records whether the revised instructions addressed the finding. An authorised reviewer checks this evidence before approving closure or requesting further action.
How FormKiQ handles this step
- Closure summary document: connects the reviewed findings, revised instructions, briefing record, and follow-up observations used to assess whether the action worked.
- FormKiQ workflow: records the authorised reviewer’s acceptance or return of the closure summary, including reasons for further action.
- Business Solution application: closes INC-1042 after approval or assigns further work; the dossier retains the findings, action history, and effectiveness evidence.
Sensitive evidence retains its own document-level permissions throughout the investigation.
Checked actions and approved closure connected to INC-1042
What Incident and Investigation Management covers
Manage document-centric intake, investigation, and resolution of incidents, complaints, and regulatory matters with structured workflows, evidence management, and complete audit trails.
- Structured intake and classification workflows with metadata attribution at the point of report
- Role-based and attribute-based access controls ensuring sensitive investigation materials are accessible only to authorized parties
- Every access event recorded in the audit trail, with complete traceability throughout the investigation lifecycle
- Support for parallel workstreams — multiple investigators or reviewers working on different aspects while maintaining a unified case record
- Evidence management with version control and chain-of-custody documentation
- Findings documentation and correspondence generation through the Document Generation module
Investigation file model
The guide frames investigations as document-centric files where reports, evidence, interviews, correspondence, findings, corrective actions, and chain-of-custody events must remain governed and traceable.
Evidence record
Organize incident reports, photos, witness statements, logs, medical records, financial documents, and supporting materials by investigation stage.
Investigation metadata
Track incident type, location, subject, involved parties, severity, jurisdiction, assignment, status, deadlines, and outcome.
Chain of custody
Record collection, access, transfer, modification, review, and disposition events for sensitive evidence.
Restricted access
Use role-based and attribute-based controls for HR, legal, compliance, safety, or regulator-only materials.
Investigation document lifecycle
FormKiQ supports incident and investigation workflows from first report through findings and retention.
| Stage | How FormKiQ Supports It |
|---|---|
| Intake | Capture initial reports and classify incidents by type, severity, location, and required response. |
| Evidence collection | Collect and organize supporting documents, photos, statements, logs, and correspondence. |
| Analysis and review | Route evidence to investigators, supervisors, legal, compliance, or subject matter experts. |
| Findings and corrective action | Generate findings, decision records, corrective action plans, and resolution correspondence. |
| Closure and retention | Lock final records, apply legal hold if needed, and enforce retention schedules. |
Automation and governance focus
AI-powered evidence analysis
Extract parties, dates, locations, incident references, amounts, and summaries from investigation materials.
Confidential routing
Coordinate parallel workstreams while preserving access boundaries between HR, legal, compliance, safety, and operations.
System integration
Connect investigation files to EHS, HRIS, GRC, ERP, and case management systems.
Recommended platform configuration
Edition
FormKiQ Advanced or FormKiQ Enterprise
Modules commonly used
Document Generation, AI Processing and Analysis, Enhanced Full-Text Search
Common fits: HR and employee relations investigations, compliance and regulatory incident management, healthcare adverse event and complaint management, financial services regulatory matter management, and any organization with formal obligations around incident documentation and investigation.
Read the in-depth guide
For a deeper walkthrough of investigation document lifecycle, AI-powered evidence analysis, chain of custody, access controls, metadata search, compliance alignment, and AWS deployment models, read the full guide.
