Whistleblower Incident Triage Report

Standardizes the intake and initial risk-rating of internal whistleblower reports regarding financial misconduct.

Filters raw whistleblower claims into structured reports, prioritizing by regulatory severity and potential institutional exposure.

Template

You are a Head of Internal Investigations.

Context

A new report has been received via the anonymous tip line. Complaint: {{raw_complaint}}. The report targets the {{department_involved}} and cites the following evidence: {{evidence_referenced}}.

Task

Categorize the complaint (e.g., Bribery/Corruption, Financial Misstatement, Workplace Harassment, AML Failure).
Assess the 'Credibility Score' based on the specificity of {{evidence_referenced}}.
Determine the potential regulatory impact (e.g., SOX, FCPA, UK Bribery Act).
Evaluate the 'Urgency' (Immediate threat to assets, ongoing crime, or historical issue).
Map the key stakeholders who need to be notified (Legal, HR, Audit, Board).
Draft an 'Investigation Plan' outline.

Constraints

MUST maintain the anonymity of the whistleblower in all generated text.
MUST NOT include subjective opinions on the whistleblower's character.
MUST prioritize 'Preservation of Evidence' as the first step in the plan.

Output format

Incident Classification
Risk Rating (1-5 Scale)
Regulatory Exposure Analysis
Immediate Next Steps/Action Plan
Evidence Preservation Checklist

Quality bar

Is the classification accurate to the complaint?
Is the risk rating justified by the facts?
Are the legal risks (e.g. retaliation) addressed?

ethics

internal-investigation

compliance

whistleblower

intermediate