Whistleblower Program Intelligence
Streamline whistleblower intake, investigations, and regulatory compliance
What You Can Do
Automate disclosure intake screening, prioritize investigations by risk level, and ensure compliance with regulatory frameworks. Claude analyzes disclosure patterns to identify systemic issues and creates investigation plans with evidence requirements, interview strategies, and findings documentation.
Features
Screen and categorize incoming whistleblower disclosures by type, severity, and regulatory relevance with standardized classification
Score allegations by regulatory exposure, potential impact, and investigation complexity to optimize investigation resources
Generate structured investigation frameworks with evidence checklists, witness interview sequences, and documentation requirements
Map disclosures and investigation processes against regulatory requirements (SOX, Dodd-Frank, state laws, industry standards)
Identify systemic issues and trends across multiple disclosures to uncover broader organizational concerns
Create targeted question frameworks and witness interview sequences based on allegation type and investigation stage
Generate standardized investigation reports, findings summaries, and regulatory disclosure documents
Prepare investigation findings for SEC, DOJ, or other agency reporting with required formatting and supporting evidence
Example Output
Disclosure Classification Example:
- Classification: Financial Fraud - Revenue Recognition
- Severity: High
- Regulatory Impact: SOX Section 302/906 (CEO/CFO certification), potential SEC disclosure
- Investigation Priority Score: 8.5/10
- Recommended Action: Immediate investigation; preserve all supporting documentation
Investigation Plan Example:
- Phase 1 (Days 1-3): Secure evidence; interview disclosure source for detail clarification
- Phase 2 (Days 4-7): Interview relevant accounting staff; review transaction documentation
- Phase 3 (Days 8-14): Interview management; analyze journal entries; assess control design
- Documentation Required: Email chains, system logs, GL entries, authorization records, interview notes
- Key Finding Scenarios: (1) System misconfiguration; (2) Intentional override; (3) Training gap
Risk Prioritization Example:
- Allegation A (8.2/10) - Suspected embezzlement; immediate financial impact; 2-week timeline
- Allegation B (6.7/10) - Procurement fraud; significant but slower; systematic documentation available
- Allegation C (4.1/10) - Policy violation; lower impact; flexible scheduling
What's Included
- Disclosure Classification System: Framework for categorizing whistleblower allegations by type (financial fraud, safety, compliance, retaliation, other) and severity level
- Risk Scoring Engine: Methodology for assessing regulatory exposure, potential impact, investigation complexity, and prioritizing resources
- Investigation Playbooks: Tailored investigation templates for different allegation categories including evidence checklists and interview strategies
- Compliance Mapping Framework: Requirements checklist for major regulations (SOX, Dodd-Frank, state whistleblower statutes, industry-specific standards)
- Reporting Templates: Standardized investigation summary, findings documentation, and regulatory disclosure formats
- Pattern Analysis Methodology: Approach for identifying systemic issues, trends, and control gaps across multiple disclosures
Who It's For
- Chief Compliance Officer
- Internal Audit Director
- Chief Ethics Officer
- HR/Legal Investigator
- Regulatory Affairs Manager
Best For
- Initial disclosure intake and classification
- Investigation prioritization and resource allocation
- Structured investigation planning and execution
- Regulatory compliance verification and gap analysis
- Whistleblower program effectiveness evaluation
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