Module Overview
The Investigation Management System (IMS) is a comprehensive platform for managing investigations from case creation through final report, with complete evidence tracking, team collaboration, and quality assurance.
What is IMS?
IMS provides a complete workflow for managing investigations including complaints, fraud cases, HR investigations, compliance reviews, and any other investigative processes. It combines case management, evidence handling, team collaboration, and quality reviews in a single integrated system.
Case Management
Complete case lifecycle from creation to closure with status tracking
Evidence Handling
Secure evidence upload with chain of custody and type classification
Team Collaboration
Threaded discussions, task assignments, and time tracking
Quality Reviews
Professional review process with scoring and approval workflows
IMS Investigation Workflow
Key Feature
IMS integrates with other StrataGRC modules including Risk Register, Compliance Management, and Document Handling for comprehensive governance and oversight.
Key Features
What IMS Provides
Case Creation
Create cases with complaint type, infraction type, priority, and location details
Team Assignment
Assign primary investigator, supervisor, and support team members
Evidence Upload
Upload and categorize evidence with chain of custody tracking
Collaboration
Threaded discussions, internal/external flags, and pinned messages
Task Management
Create tasks with assignments, priorities, due dates, and time tracking
Quality Reviews
Professional review process with templates, scoring, and approval
Report Generation
Generate professional reports in PDF/Word with customizable templates
Case Intelligence
Link related cases, detect duplicates, and identify patterns
Case Lifecycle Management
Complete workflow from case creation through final closure.
Case Status Flow
| Status | Description | Next Action |
|---|---|---|
| New | Case created, awaiting assignment | Assign investigator and supervisor |
| Assigned | Team assigned, investigation starting | Begin evidence collection |
| In Progress | Active investigation underway | Collect evidence, interview witnesses |
| Review | Investigation complete, awaiting review | Quality review and approval |
| Completed | Report finalized and approved | Case closure and archiving |
Creating a Case
Navigate to IMS Dashboard
Go to IMS → Dashboard or click "New Investigation" button.
Fill Case Details
Enter case information:
- Title: Brief case description
- Description: Detailed case background
- Complaint Type: Category of complaint
- Infraction Type: Type of violation
- Priority: Low/Medium/High/Urgent
- Source: How case was received (email, manual, other)
- Location: State, business unit, government area
Assign Team
Assign investigation team:
- Primary Investigator: Lead investigator
- Supervisor: Case supervisor
- Support Team: Additional team members
Set Due Date
Set investigation due date for tracking and overdue alerts.
Create Case
Click "Create Case" to save. Case number is auto-generated (e.g., INV-2025-0001).
Evidence Management
Secure evidence handling with chain of custody tracking.
Evidence Types
| Type | Description | Examples |
|---|---|---|
| Document | Text-based evidence | PDFs, Word docs, emails, contracts |
| Image | Visual evidence | Photos, screenshots, scanned documents |
| Audio | Audio recordings | Interview recordings, voicemails |
| Video | Video recordings | Surveillance footage, interview videos |
| Other | Other evidence types | Spreadsheets, databases, etc. |
Uploading Evidence
Navigate to Case
Open the investigation case from IMS Dashboard or Cases list.
Click Upload Evidence
Click "Upload Evidence" button in the Evidence section.
Select Files
Choose files to upload. Multiple files can be selected.
Categorize Evidence
For each file:
- Evidence Type: Document/Image/Audio/Video/Other
- Description: What the evidence shows
- Chain of Custody: Source and handling notes
Upload
Click "Upload" to save evidence to the case.
Chain of Custody
All evidence uploads are logged with:
• Who uploaded it
• When it was uploaded
• Source information
• Any handling notes
This ensures evidence integrity for legal proceedings.
Team Collaboration
Powerful collaboration tools for investigation teams.
Collaboration Features
Threaded Discussions
Start discussion threads with replies, internal/external flags, and pinning
Task Assignments
Create tasks with assignees, priorities, due dates, and time estimates
Time Tracking
Track estimated vs actual hours for tasks and overall investigation
Role-Based Access
Primary investigator, supervisor, and support team roles with permissions
Using Collaboration Dashboard
Access Collaboration Dashboard
From investigation view, click "Collaboration" button or navigate to Collaboration Dashboard from IMS menu.
Start Discussion
Click "New Discussion" to:
- Write message
- Mark as Internal (team only) or External (shareable)
- Pin important discussions
- Reply to existing threads
Create Task
Click "New Task" to:
- Enter task title and description
- Assign to team member
- Set priority (Low/Medium/High/Urgent)
- Set due date
- Estimate hours
Track Progress
Monitor task status:
- Update task status (Not Started/In Progress/Completed)
- Log actual hours worked
- View task statistics
Quality Reviews
Professional quality assurance for investigations.
Quality Review Process
Request Review
When investigation is complete, request quality review from Quality Management section.
Reviewer Assignment
Quality manager assigns reviewer (not involved in investigation).
Review Against Criteria
Reviewer evaluates investigation against quality criteria:
- Evidence completeness
- Interview documentation
- Legal compliance
- Report quality
- Timeline adherence
Scoring
Reviewer assigns scores (0-100%) for each criterion.
Approval Decision
Reviewer decides:
- Approve: Investigation meets standards
- Request Changes: Revisions needed
- Reject: Major issues, re-investigation required
Review Templates
| Template Type | Use Case | Criteria |
|---|---|---|
| Standard Review | Regular investigations | Basic quality criteria |
| Enhanced Review | High-priority cases | Comprehensive criteria with legal review |
| Expedited Review | Urgent cases | Essential criteria only |
Report Generation
Professional investigation reports with customizable templates.
Report Types
PDF Reports
Professional PDF format with company branding and digital signatures
Word Reports
Editable Word documents for further customization
Executive Summaries
High-level summaries for management presentation
Generating Reports
Access Report Generator
From investigation view, click "Generate Report" button.
Select Template
Choose from available report templates:
- Standard Investigation Report
- Executive Summary
- Legal Brief
- Custom Template
Customize Formatting
Configure:
- Company logo
- Color scheme
- Font family
- Section inclusion
Review Content
Report auto-populates with:
- Case details
- Evidence list
- Team members
- Timeline
- Findings
- Recommendations
Export
Choose export format:
- PDF (final, non-editable)
- Word (editable)
- Save as Draft (for later)
Case Intelligence
Advanced analytics and pattern detection for investigations.
Intelligence Features
Case Relationships
Link related cases manually or through duplicate detection
Duplicate Detection
AI-powered similarity scoring to identify potential duplicate cases
Pattern Analysis
Identify trends by time, type, location, and other dimensions
Case Clustering
Group related cases into clusters for coordinated investigation
Using Duplicate Detection
Open Case
Navigate to the investigation case.
Run Duplicate Detection
Click "Detect Duplicates" button. System analyzes:
- Title similarity (30% weight)
- Description similarity (25% weight)
- Complaint type match (20% weight)
- Infraction type match (15% weight)
- Priority match (10% weight)
Review Results
System shows potential duplicates with:
- Similarity percentage
- Match details
- Case status
- Assigned investigator
Link Cases
If confirmed duplicate, click "Link" to create relationship.
Pattern Analysis
Use pattern analysis to identify:
• Time-based spikes (e.g., more cases in certain months)
• Type trends (e.g., increasing harassment complaints)
• Location hotspots (e.g., specific departments with more cases)
• Investigator workload distribution
Database Structure
22 tables supporting comprehensive investigation management.
Core Tables
| Table | Purpose | Key Fields |
|---|---|---|
| ims_investigations | Main case records | case_number, title, status, priority, complaint_type |
| ims_investigation_team | Team assignments | investigation_id, user_id, role (primary/secondary/support) |
| ims_evidence | Evidence records | file_name, file_path, evidence_type, chain_of_custody |
| ims_working_papers | Investigator notes | title, content, paper_type (notes/findings/analysis) |
| ims_reports | Final reports | title, content, template, version, status |
| ims_activity_log | Audit trail | activity_type, activity_description, user_id |
Collaboration Tables
| Table | Purpose | Key Fields |
|---|---|---|
| ims_discussions | Team discussions | message, parent_id (threading), is_internal, is_pinned |
| ims_tasks | Task management | title, description, assigned_to, priority, due_date, estimated_hours |
Quality & Intelligence Tables
| Table | Purpose | Key Fields |
|---|---|---|
| ims_quality_reviews | Quality assurance | review_type, overall_score, status, reviewer_id |
| ims_case_relationships | Link related cases | primary_case_id, related_case_id, relationship_type, strength |
| ims_case_clusters | Group cases | name, description, cluster_cases (many-to-many) |
Data Integrity
All tables include:
• organization_id for multi-tenancy
• created_at/updated_at timestamps
• created_by/updated_by user tracking
• Foreign key constraints for referential integrity
Best Practices
Guidelines for effective investigation management.
Investigation Guidelines
Start with Complete Information
When creating a case, provide comprehensive details:
- Clear, descriptive title
- Detailed background in description
- Accurate complaint and infraction types
- Appropriate priority level
- Complete location information
Assign the Right Team
Consider:
- Investigator expertise and experience
- Conflict of interest checks
- Workload balance
- Supervisor availability
Document Everything
Maintain complete records:
- Upload all evidence promptly
- Document chain of custody
- Keep detailed working papers
- Log all significant activities
Use Collaboration Tools
Leverage team features:
- Regular team discussions
- Clear task assignments
- Progress tracking
- Internal vs external communications
Request Quality Review Early
Don't wait until last minute:
- Request review when investigation is 90% complete
- Allow time for revisions
- Incorporate reviewer feedback
- Final approval before report distribution
Link Related Cases
Use case intelligence:
- Run duplicate detection for new cases
- Link related investigations
- Review pattern analysis regularly
- Cluster coordinated investigations
Compliance Standards
IMS supports compliance with:
• ACFE Standards: Association of Certified Fraud Examiners
• IIA Standards: Institute of Internal Auditors
• ISO 37001: Anti-bribery management systems
• Local Regulations: Country-specific investigation requirements