An employee investigation record documents a disciplinary investigation: the incident, the attendees, the questions and answers, the employee's statement, witnesses and the recommendation, signed by the investigator and the employee. Pick the type of violation above to load suggested questions, then type the answers into the record. The second tab holds an explanation request that comes before the investigation.
No penalty should be imposed before the employee is told in writing, investigated and heard. The record proves that: five questions in the absence example, all answered, and a recommendation of a written warning for management to decide on.
How to use the employee investigation form
- Choose Mr. or Ms. and a violation example: absence, negligence, conduct or a financial violation.
- Type the employee, company and investigator into the record, edit the questions or add a row.
- In Advanced mode, add attendees, witness statements, documents, the employee's statement, the investigator's opinion and the recommendation.
- Download the record in Word to put it on company letterhead, or print the blank copy and write the answers by hand.
What is an administrative investigation record
It is the written proof that the employee was heard on an alleged violation. It protects both sides: the company can show it gave the employee a chance to defend themselves, and the employee's account is recorded as given. An administrative investigation runs inside the company under its work regulations; anything that may be criminal is referred to the competent authority.
Steps to investigate an employee
- Notify the employee in writing of the incident and the date, or start with an explanation request.
- Hear the employee with a member or witness present, and write each answer as given.
- Hear witnesses and attach documents such as the attendance sheet.
- Write the opinion and recommendation, read the record to the employee and have it signed.
A neutral question asks about facts: "Where were you on 5 October?", not "Why were you absent without an excuse?", which assumes the answer.
Sample questions by violation
Absence: have you read the working hours, where were you, why did you not notify your supervisor, do you have proof? Negligence: what tasks were assigned, were the instructions written? Conduct: describe what happened and who was present. Financial: what custody did you hold, when did you learn of the shortage? Pick the matching example to load its questions, and always end with "Do you have anything else to add?".
How the investigation leads to a warning or deduction
The penalty decision rests on the record: close the case, a written notice, a warning, a wage deduction as set by the violations schedule, or referral. A penalty imposed without an investigation is exposed to being overturned on objection. The warning letter and salary deduction form are separate pages used after the record.
Common mistakes
- A verbal investigation with no signed record.
- Leading questions that carry a verdict.
- Not recording a refusal to sign in front of a witness.
- One record for several employees without separating each statement.
Regulatory notes
The Saudi Labor Law lists disciplinary penalties in Article 66, requires in Article 71 that the worker be told in writing, investigated and heard before a penalty, and in Article 72 that the penalty be notified in writing (verify). Time limits for investigation and objection are in the company's approved work regulations. Treat this form as a starting point: have it reviewed by a legal adviser and check the current texts with the Ministry of Human Resources and Social Development.
When each employee's records and penalties are hard to track
At Microtec we build ERP accounting software for businesses in Saudi Arabia, including an HR module.
Employee investigation FAQ
Does a witness need to attend the investigation?
The text does not necessarily require one, but a committee member or witness confirms how the investigation ran, and you need one in practice if the employee refuses to sign or does not attend. Check your work regulations.
What if the employee refuses to sign the investigation record?
Tick "Employee refused to sign" in Advanced mode. A line is added stating the refusal after the record was read, in the presence of the witness, and the witness and investigator sign.
How long can an employee investigation take?
The form does not set a period. The time limits for holding the investigation and imposing a penalty are in the Labor Law and the company's regulations (verify), so check them before you set the date.
Is the investigation record kept in the employee file?
Yes. Keep the signed record, its attachments and the penalty decision in the personnel file, as it supports the decision if the employee objects or the violation is repeated.