Whistleblower Intake Agent
Captures, categorizes, and routes anonymous and named whistleblower reports to the appropriate investigator while tracking case status against regulatory timelines.
Companies are required to maintain effective channels for employees to report ethics violations, harassment, fraud, or safety concerns, but many organizations handle intake through a generic email inbox or hotline transcript that is manually triaged, resulting in inconsistent categorization, delayed routing to the right investigator, and reports that fall through the cracks
Certain report categories, such as securities fraud allegations or safety violations, carry specific regulatory response timelines that are easy to miss without systematic tracking
This agent captures every incoming report from the hotline, web form, or email channel, classifies it by issue type and severity while preserving anonymity where requested, routes it to the appropriately qualified investigator, and tracks the case against any applicable regulatory response deadline until resolution
The agent triggers when a new report is submitted through the ethics hotline, web intake form, or a designated reporting email address, then uses an LLM to classify the report by issue category such as financial fraud, harassment, safety, or conflicts of interest, and to assign an initial severity rating based on described facts. It preserves anonymity by stripping identifying metadata when a reporter has elected anonymous submission, routes the classified report to the investigator or committee qualified to handle that issue category per the company's escalation matrix, and identifies any applicable regulatory response deadline such as those under whistleblower protection statutes. The agent tracks case status through investigation stages, sends status update prompts to the assigned investigator, and maintains an anonymized case log for board and regulatory reporting.
Capture and Classify Report
- Capture report details from hotline, web form, or email intake
- Classify report by issue category and initial severity
- Preserve reporter anonymity where elected
- Assign a unique case tracking number
Route to Investigator
- Match issue category to the appropriate investigator or committee
- Route the case per the company's escalation matrix
- Notify the assigned investigator with classified case summary
- Identify any applicable regulatory response deadline
Track Investigation Progress
- Monitor case status through defined investigation stages
- Send status update prompts to the assigned investigator
- Escalate stalled cases approaching regulatory deadlines
- Log investigation milestones and findings summaries
Close and Report
- Record case resolution and any corrective action taken
- Notify anonymous reporters of resolution where technically feasible
- Maintain an anonymized case log for board and regulatory reporting
- Generate periodic trend reports across report categories