How to Set the Right Case Assignment Rules for Your Whistleblowing Program
Did you know that over 40% of corporate fraud cases are uncovered through internal whistleblower reports? This statistic, from the Association of Certified Fraud Examiners (ACFE), sends a clear message: every voice matters. Whistleblowing systems are more than just a compliance checkbox for laws and directives worldwide. Beyond regulatory frameworks like the EU Whistleblower Protection Directive or similar national regulations across the globe, these systems are powerful enablers of trust, transparency, and safety. They empower employees to report misconduct confidently, knowing their concerns will be heard and handled securely.
In large organizations, where the volume of whistleblower reports can be significantly higher, how can you ensure that every alert receives the necessary attention? This is where clear case assignment criteria become essential. Without a well-defined assignment framework, even the most robust whistleblowing program can struggle to manage reports effectively.
In this article, we’ll walk you through the key criteria you need to consider when building a strong and efficient whistleblowing case assignment process, so that every voice is heard and every report is handled with the care it deserves.
Why Are Assignment Criteria Essential for an Effective Whistleblowing Program?
Understanding Assignment Criteria
Assignment criteria refer to a set of rules that direct each report to the appropriate person or team, based on the nature of the alert and its context. These criteria are therefore at the heart of an effective whistleblowing program.
The Benefits of Clearly Defining Your Assignment Criteria
- A faster and more efficient handling of reports: With clear assignment rules, reports don’t get lost in endless information transfers, ensuring quicker and more targeted responses.
- A reduced risk of error: By routing each report to the right team, you minimize misinterpretations and inappropriate handling, ensuring rigorous and compliant case management.
- Better prevention of conflicts of interest: Assignment criteria help ensure that the individuals receiving the reports are not involved in the reported misconduct.
- Increased internal trust: Employees are more likely to report concerns when they know their alert will be handled with impartiality and strict confidentiality.
The 4 Essential Criteria to Structure Your Whistleblowing Program Effectively
#1 Geographical Location
Geographical location is key in managing whistleblower reports, especially for international organizations. Since whistleblower protection laws vary from one country to another, extra vigilance is required. Taking local regulations into account ensures not only legal compliance but also the protection of sensitive information and the individuals involved.
Optimizing Your Whistleblowing Program: Best Practices
A well-structured whistleblowing system not only ensures operational efficiency but also aligns with international best practices and recommendations. Want to learn more? Explore our article on whistleblowing platforms that comply with the ISO 37002 guidelines.
#2 Type of alert
For efficient case management, reports must be organized based on their type of alert. A common distinction is between HR-related reports and compliance-related reports.
Reports concerning HR issues, such as harassment (moral or sexual), sexist behavior, discrimination, violations of human rights, or health and safety breaches, require a confidential and empathetic approach, often managed by the Human Resources team.
On the other hand, reports related to fraud or corruption demand legal and sometimes technical expertise, involving multiple stakeholders like IT Security Officers (CISO), Data Protection Officers (DPO), and compliance teams. These alerts typically include cases of influence peddling, conflicts of interest, financial crimes, cybercrime, data protection breaches, theft, identity fraud, unfair or anti-competitive business practices, and more.
#3 Conflict of interest
To ensure impartiality, it is essential to have a protocol for managing conflicts of interest. If a report involves a member of the team responsible for handling it, measures must be in place to reassign the case and uphold the integrity of the investigation process.
#4 Type of Action Required
Launching an investigation depends on three key factors: the severity of the report (its impact on safety, the organization, or the individuals involved), the type of risk (legal, financial, reputational, etc.), and the presence of concrete evidence supporting its admissibility.
Additionally, some reports need to be handled locally, due to cultural or regulatory specifics, which is often the case for HR-related matters such as harassment or workplace conflicts. On the other hand, reports with significant financial or regulatory impact, such as fraud or cybersecurity incidents, require centralized and global handling.
Additional Assignment Criteria to Tailor to Your Organization’s Unique Needs
Classifying reports based on their urgency and severity allows organizations to prioritize how they are handled and what actions need to be taken. However, every company must adapt its assignment criteria to its specific internal needs, whether that’s its size, structure, or industry.
For example, in a multinational organization, report management may vary depending on the subsidiary or local entity involved. This kind of differentiation helps to better address the cultural and legal realities of each region. In short, incorporating these nuances into your whistleblowing program significantly enhances its efficiency and adaptability.
The Implementation and Adjustment Phase of Assignment Criteria
The Design Process
The success of a whistleblowing program depends on collaboration with key stakeholders across the organization. HR, Legal, and Compliance teams should be involved from the outset to ensure that all perspectives and requirements are considered.
Organizing workshops or collaborative sessions to discuss and fine-tune the assignment criteria allows you to align the process with the specific needs and constraints of each department.
Continuous Evaluation
A whistleblowing program is not a static system: it evolves to adapt to the company’s changing realities, user feedback, and evolving legal and regulatory requirements. It’s essential to gather feedback from the teams involved in managing alerts to identify necessary adjustments and continuously refine your assignment criteria based on the organization’s real needs.
You can conduct regular assessments to evaluate the effectiveness of your whistleblowing program and adjust the assignment criteria accordingly.
With Whispli, weekly updates continuously deliver new features that make managing whistleblower reports easier and enhance the overall effectiveness of your program.
Program Oversight
Assignment rules also allow you to automatically assign supervisors responsible for overseeing the whistleblowing process within a specific scope. Their role is to ensure that
- Local teams are following the established processes;
- Local laws and regulations are fully respected;
- Data is accurately documented to provide reliable reporting metrics.
Conclusion
A well-configured whistleblowing system is an invaluable asset for any organization. By establishing tailored assignment criteria, you not only ensure that reports are handled quickly and fairly, but you also strengthen your company’s culture of ethics and transparency. Regularly reviewing and updating your assignment rules ensures they remain relevant in the face of evolving regulations and organizational changes, thereby enhancing the overall effectiveness of your whistleblowing program.
At Whispli, we are committed to supporting organizations through this journey with a platform that is intuitive, flexible, and fully compliant with regulatory requirements.
