What's included?
The workbook includes a ready-to-use Incident Investigation worksheet plus a practical Quick Guide.
- Investigation and incident reference numbers
- Incident date and investigation start date
- Incident type and location
- Investigator or investigation owner
- Incident summary
- Immediate actions and controls
- Evidence reviewed
- People consulted or interviewed
- What happened
- Contributing factors
- Root cause
- Risk or severity
- Corrective actions
- Action owner and due date
- Completion evidence
- Effectiveness check
- Verification and closure
Incident investigation: a practical process
The purpose of an incident investigation is not simply to complete paperwork. A useful investigation helps a business understand what happened, why it happened and what can reasonably be changed to reduce the likelihood or impact of recurrence.
Incident register vs incident investigation
These two records serve different purposes.
An incident register provides a central record of incidents and helps a business track their status.
An incident investigation examines an individual event in greater detail to understand causes and determine what action should be taken.
If you do not already have an incident register, download our Free Incident Register Template NZ.
Look beyond individual error
Investigations are more useful when they consider the wider system rather than automatically concluding that a person made a mistake.
Contributing factors may include unclear procedures, poor handovers, inadequate controls, equipment, workload, training, communication, system design or environmental conditions.
Connect investigations to corrective action
Where an investigation identifies an underlying control weakness, corrective action should address that weakness rather than only the immediate symptom.
For more structured corrective-action tracking, see our Free CAPA Register Template NZ.
Related free NZ compliance resources
Build a connected compliance system
The NZ Quality & Compliance Starter Pack brings incident recording, investigation, corrective actions, risk management and other practical compliance tools together for small businesses.
See the NZ$79 Starter PackFrequently asked questions
What should an incident investigation include?
Depending on the event, an investigation can document what happened, immediate actions, evidence reviewed, people consulted, contributing factors, root causes, corrective actions, owners, due dates and verification.
Do all incidents require the same investigation?
No. A proportionate approach is generally more practical. A minor event may need a short review, while a serious, repeated or high-risk event may justify a more formal investigation and specialist advice.
Is this incident investigation template free?
Yes. The Excel template is available as a free practical resource from NZ Quality & Compliance Hub.
Important: Some incidents may have separate notification, evidence-preservation, record-keeping, privacy, employment, contractual, insurer, funder or sector-specific requirements. This general template does not determine whether an incident is legally notifiable or what investigation process is required for a particular organisation.
Disclaimer: This resource provides general information and a practical business template. It is not legal advice or a substitute for professional or sector-specific advice.