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Case Handler Guide - Disclosurely User Guides

Comprehensive guide for case handlers on investigation workflows, caseload management, reporter communication, documentation, and daily case handling tasks.

Guide for Case Handlers

Comprehensive guide for case handlers on managing investigations, caseload organization, and daily workflow best practices.

Case Handler Role Overview

As a Case Handler (also called Case Administrator or Lead Investigator), you serve as the central coordinator for your organization's whistleblowing investigations. You bridge reporters, investigators, reviewers, and administrators—triaging incoming reports, assigning cases to appropriate investigators, monitoring investigation progress, and ensuring compliance with regulatory deadlines. Your role is critical to the effectiveness of your organization's whistleblowing program.

Case Handlers have broad access to view and manage all cases across the organization, enabling you to ensure balanced workload distribution, consistent investigation quality, timely resolution, and compliance with regulations like the EU Whistleblowing Directive. You're the operational backbone of the whistleblowing program, maintaining momentum and accountability throughout the investigation lifecycle.

Daily Workflow

Starting Your Day

Morning Dashboard Review (15-30 minutes):

  1. Check New Reports

    • Review reports submitted in last 24 hours
    • Assess urgency and severity
    • Identify reports requiring immediate attention
    • Note any safety or legal concerns
    • Prepare for initial case assignments

  2. Monitor Compliance Deadlines

    • Check for cases approaching 7-day acknowledgment deadline
    • Review cases nearing 3-month resolution deadline
    • Identify investigations requiring extension approval
    • Flag overdue cases for immediate action
    • Send reminders to investigators as needed

  3. Review Priority Cases

    • High-severity allegations (fraud, harassment, safety)
    • Cases involving senior executives
    • Cases with potential legal exposure
    • Retaliation claims
    • Cases flagged by reviewers or administrators

  4. Check Investigator Activity

    • Verify investigators are making progress
    • Review case status updates from yesterday
    • Identify stalled or inactive investigations
    • Note investigators who may need support
    • Check for pending reporter responses

Learn the complete investigation process in Investigation Workflow.

Core Responsibilities

Initial Case Triage (New Reports):

1. Review Report Content

  • Read full report and evidence carefully
  • Identify specific allegations
  • Assess severity and urgency
  • Determine appropriate category
  • Note any immediate risks (safety, legal, retaliation)

2. Verify Compliance Information

  • Confirm acknowledgment sent to reporter (automatic)
  • Set calendar reminders for regulatory deadlines
  • Document receipt date for compliance tracking
  • Flag any reports requiring special handling

3. Assess Investigation Requirements

  • Complexity of allegations
  • Evidence available vs. needed
  • Witnesses to interview
  • Subject matter expertise required
  • Estimated investigation timeline
  • Resource needs

4. Assign to Investigator

  • Select investigator based on:
    • Subject matter expertise
    • Current workload and availability
    • Language requirements
    • Geographic location
    • Conflicts of interest (none)
  • Set priority level (critical, high, medium, low)
  • Provide assignment instructions and context
  • Set expected completion timeline

See detailed assignment guidance in Case Assignment.

Managing Active Investigations

Daily Monitoring:

  • Review case status updates
  • Check for investigator questions or blockers
  • Monitor evidence uploads and documentation
  • Review reporter-investigator communications
  • Identify cases needing your intervention
  • Update case priority as circumstances change

Weekly Case Reviews:

  • Meet with investigators to discuss complex cases
  • Review investigation plans and progress
  • Address procedural questions
  • Provide guidance on challenging situations
  • Ensure evidence collection is thorough
  • Verify documentation standards are met

Compliance Tracking:

  • Monitor approaching deadlines continuously
  • Send automated and personal reminders
  • Escalate overdue cases to administrators
  • Document reasons for any delays
  • Approve timeline extensions when justified
  • Maintain audit-ready compliance records

Learn about status tracking in Status Management.

Caseload Management

Distributing Work Effectively

Load Balancing Strategies:

Monitor Investigator Capacity:

  • Track active cases per investigator
  • Consider case complexity, not just volume
  • Factor in investigator experience level
  • Account for vacation and availability
  • Identify overloaded investigators early
  • Redistribute cases when necessary

Assign Strategically:

  • Match subject matter expertise to case type
  • Assign harassment cases to trained investigators
  • Route financial fraud to accounting-savvy investigators
  • Consider language requirements
  • Respect conflicts of interest
  • Develop investigators by varying case types

Prevent Burnout:

  • Distribute difficult cases across team
  • Don't overload your most capable investigators
  • Rotate high-stress case types
  • Monitor workload-to-capacity ratios
  • Provide breaks between complex investigations
  • Check in regularly on investigator wellbeing

Handling Case Escalations

When to Escalate:

To Administrator:

  • Cases involving senior executives or board members
  • Potential significant legal exposure
  • Systemic issues requiring policy changes
  • Resource constraints preventing investigation
  • Retaliation claims or concerns
  • Cases likely to generate media attention

To Legal Counsel:

  • Potential criminal conduct
  • Regulatory violation concerns
  • Complex employment law issues
  • Attorney-client privilege questions
  • Cases requiring external investigation
  • High litigation risk

To External Authorities:

  • Criminal activity requiring law enforcement
  • Regulatory violations requiring agency notification
  • Child safety concerns
  • Immediate physical danger
  • Industry-specific reporting obligations (financial services, healthcare)

Escalation Process:

  1. Document reason for escalation clearly
  2. Prepare summary of allegations and evidence
  3. Notify relevant stakeholders promptly
  4. Coordinate with administrator on communication
  5. Continue case management as directed
  6. Document all escalation decisions

Communication Best Practices

With Reporters

Initial Acknowledgment:

  • Automatic within minutes of submission
  • Confirms report received and review underway
  • Provides tracking ID for status checking
  • Sets expectations for timeline
  • Emphasizes confidentiality and non-retaliation

Requesting Additional Information:

  • Be specific about what's needed and why
  • Set reasonable deadline for response
  • Explain how information will be used
  • Maintain reporter confidentiality
  • Use secure messaging only
  • Thank reporter for their patience and cooperation

Status Updates:

  • Provide updates at key milestones
  • Within 7 days of receipt (EU requirement)
  • At 30-day intervals for ongoing investigations
  • When requesting additional information
  • When investigation concludes
  • When action is taken

Professional Communication:

  • Respectful and empathetic tone
  • Clear, plain language (avoid jargon)
  • Acknowledge courage in reporting
  • Reinforce confidentiality protections
  • Never dismiss or minimize concerns
  • Respond promptly to questions

With Investigators

Clear Assignment Communication:

  • Provide complete case context
  • Highlight urgent or sensitive aspects
  • Clarify expectations and timeline
  • Specify documentation requirements
  • Note any compliance deadlines
  • Make yourself available for questions

Ongoing Support:

  • Check in regularly on case progress
  • Respond promptly to questions or concerns
  • Provide guidance on complex issues
  • Remove blockers (access, resources, etc.)
  • Recognize good work and effort
  • Offer constructive feedback when needed

Quality Management:

  • Review investigation documentation regularly
  • Ensure thoroughness and objectivity
  • Verify compliance with procedures
  • Address quality concerns promptly
  • Provide coaching and development
  • Share best practices across team

Documentation Standards

Required Case Documentation

Every Case Must Include:

Initial Documentation:

  • Original report submission with all details
  • Evidence files uploaded by reporter
  • Initial triage assessment and priority
  • Assignment to investigator with rationale
  • Compliance deadline tracking setup
  • Initial acknowledgment to reporter

Investigation Documentation:

  • Detailed investigation plan
  • Interview notes or transcripts for all interviews
  • All evidence collected (documents, emails, photos)
  • Evidence analysis and assessment
  • Timeline of investigation activities
  • Communication log with reporter
  • Subject's response to allegations

Resolution Documentation:

  • Findings for each allegation (substantiated, unsubstantiated, inconclusive)
  • Analysis supporting conclusions
  • Recommended actions or remediation
  • Final outcome and actions taken
  • Reporter notification of outcome
  • Compliance certification

Learn more in Case Notes & Evidence documentation.

Documentation Best Practices

Quality Standards:

  • Clear, concise, professional writing
  • Objective and factual (no opinion or bias)
  • Chronological organization
  • Complete and thorough
  • Properly attributed (who said/did what)
  • Contemporaneous (documented when it happens)
  • Specific with dates, times, locations

Security and Confidentiality:

  • Never include unnecessary personal identifiers
  • Protect reporter identity appropriately
  • Mark sensitive documents clearly
  • Follow data retention policies
  • Don't email case details
  • Use platform messaging only
  • Log all evidence downloads

Common Scenarios and Solutions

Reporter Not Responding to Questions

Possible Reasons:

  • Didn't check tracking portal recently
  • Fear or hesitation about further involvement
  • Don't understand what's being asked
  • Lost or forgot tracking ID
  • Technical issues accessing portal

Your Actions:

  1. Send follow-up message with clear, specific questions
  2. Extend deadline if reasonable
  3. Explain importance of their response to investigation
  4. Offer alternative communication methods if appropriate
  5. Proceed with investigation using available information
  6. Document all communication attempts

Investigation Taking Too Long

Identify Cause:

  • Investigator workload too high?
  • Waiting for external information?
  • Complex case requiring extensive work?
  • Investigator needs training or support?
  • Case assigned to wrong investigator?

Your Actions:

  1. Discuss with investigator to understand delays
  2. Provide additional resources or support
  3. Reassign case if necessary
  4. Request timeline extension if justified
  5. Break complex case into phases
  6. Escalate to administrator if systemic issue
  7. Document reasons for delay

Conflict Between Investigator and Subject

Warning Signs:

  • Investigator knows subject personally
  • Subject is investigator's friend or relative
  • Past conflict between them
  • Investigator seems biased
  • Subject requests different investigator

Your Actions:

  1. Reassign case immediately to different investigator
  2. Document conflict and reassignment rationale
  3. Review prior work for bias
  4. Consider whether investigation needs to restart
  5. Ensure reassigned investigator is truly neutral
  6. Monitor new investigation closely

Multiple Reports About Same Issue

Coordination Strategy:

  1. Identify that reports relate to same issue/subject
  2. Link cases in system for cross-reference
  3. Assign to same investigator when possible
  4. Consolidate evidence and witness lists
  5. Coordinate with each reporter separately
  6. Maintain confidentiality of other reporters
  7. Document relationship between cases
  8. Consider broader systemic investigation

Productivity Tips

Dashboard Shortcuts and Filters

Custom Views:

  • Create filtered views for different case types
  • Save searches you use frequently
  • Use color coding for priority levels
  • Set up deadline-based sorting
  • Create investigator-specific views
  • Build compliance monitoring dashboards

Keyboard Shortcuts:

  • Learn platform keyboard shortcuts
  • Navigate between cases quickly
  • Quickly update case status
  • Fast access to common actions
  • Efficient evidence review
  • Rapid note-taking

Automation:

  • Set up automatic assignment rules for routine cases
  • Configure reminder emails for deadlines
  • Automate standard reporter communications
  • Schedule compliance reports
  • Create templated investigation plans
  • Use saved message templates

Time Management

Prioritization Framework:

  1. Urgent & Important: Compliance deadline today, safety issues
  2. Important but Not Urgent: New case triage, quality reviews
  3. Urgent but Less Important: Administrative tasks with deadlines
  4. Neither: Can delegate or defer

Batch Similar Tasks:

  • Review all new reports at once
  • Conduct all case assignments together
  • Review investigator updates in batch
  • Handle administrative tasks in dedicated time blocks
  • Process reporter communications together

Focus Time:

  • Block calendar for deep work on complex cases
  • Minimize interruptions during triage
  • Set specific times for email/message checking
  • Use do-not-disturb when needed
  • Protect time for quality review work

Professional Development

Develop Your Skills:

  • Take investigation training courses
  • Learn interviewing best practices
  • Study relevant regulations and laws
  • Attend whistleblowing conferences
  • Join professional associations
  • Read case studies and industry articles
  • Seek mentorship from experienced investigators

Build Team Capabilities:

  • Share knowledge with other case handlers
  • Mentor junior investigators
  • Conduct training sessions
  • Document lessons learned
  • Create internal best practice guides
  • Facilitate peer learning

Getting Help

Technical Support:

  • Email: support@disclosurely.com
  • Platform functionality questions
  • Access issues
  • Dashboard problems
  • Evidence upload issues

Operational Guidance:

  • Consult your organization administrator
  • Review process documentation
  • Discuss with other case handlers
  • Seek legal counsel for complex issues
  • Escalate concerns appropriately

Resources:

Case Handler Guide - Disclosurely User Guides | Disclosurely Docs