Handling a whistleblowing case

A report submitted on the portal becomes a case, entrusted to the handlers of the chosen channel. This article explains how a handler deals with it in the Reports tab: finding the case, acknowledging receipt, exchanging with the reporter, setting the priority, moving the status forward, recording the persons concerned, reading the audit log and closing the case. It is aimed at the handlers (also called managers) named on a channel.

Before you start #

• The Whistleblowing module must be subscribed and open to your account.
• To open the module, you need the Whistleblowing report right at Access level. The Administrator, HR (Execute level) and Auditor (Access level) roles carry it by default.
• That right opens the module, not the cases. You only see a case if you handle the channel that received it (or if the case is assigned to you). See Setting up channels and naming handlers.
• Two situations close access to a case whatever else is true: being implicated in that case, or being recused from it. No role, not even administrator, lifts that denial, and every denial is recorded in the case’s audit log.

Finding your cases #

Open Whistleblowing › Reports. The Case Management page lists the cases of the channels you handle.

1. Filter by status with the All, New, Open, Pending, Resolved and Closed tabs; each tab shows its number of cases.
2. Identify a case by its Ref., Channel, Category, Summary, Status, Priority, Deadline (days left before it falls due), the person Assigned and the number of Messages.
3. Click the row to open the case.

An empty list with the message “No reports” is not an outage: no case is accessible to you yet. Cases appear as soon as a channel you handle receives one.

Reading a case #

The case header shows its subject, reference, channel and category, then its badges: status, priority, days remaining (or overdue), acknowledgement, and the Audit button with the number of events. Below the header, Case progress shows the five steps Received, In Progress, Pending, Resolved and Closed.

The left-hand column, Case details, gives the reference, channel, submission date, status, Priority, the person it is Assigned to, Anonymity, the Persons concerned, tags, Attachments and the Description written by the reporter. On the right, Secure Messaging shows the exchanges.

Taking the case on #

1. Under Assigned to, click Assign to me if nobody has taken the case yet.
2. Set the Priority from the list: Low, Medium, High or Critical. The message “Priority updated” confirms.

A case can only be assigned to a handler of its channel: the server refuses anyone who could not open it. To transfer the cases of a handler leaving a channel, use Settings › Whistleblowing › Managers.

Acknowledging receipt #

The acknowledgement badge in the header is both a state and an action.

• If it reads ACK sent, the acknowledgement has already gone (automatically on submission, if your organisation has enabled the confirmation message, or manually). Its tooltip gives the date; that date is the proof and is never overwritten.
• If it reads Acknowledgement, none has gone yet. Click it to send it to the reporter: it is posted in their messaging, with the text set by your organisation or, failing that, a standard text. The message “Acknowledgement sent” confirms.

The acknowledgement deadline is set under Settings › Whistleblowing › Legal Deadlines (7 days at most, as the screen points out, citing EU Directive 2019/1937). See Configuring the scheme.

Exchanging with the reporter #

1. In Secure Messaging, type your reply in the Reply anonymously… field.
2. If needed, click the paperclip to attach files: up to 10 per reply, 10 MB each, in PDF, Word, Excel, TXT, PNG, JPG and WEBP formats.
3. Click Send. The message “Message sent” confirms.

The reporter reads your reply by signing in to the portal with their tracking password; they receive no email. When they reply, the module’s bell and an email let you know, without repeating the text. Attaching a document in the messaging avoids having to give a personal address, which would break anonymity. Messaging closes when the case is closed.

Moving the status forward #

• Click a step of Case progress (Received, In Progress, Pending, Resolved) to move the case to it. The message “Status updated” confirms. The reporter sees the same progress, with an explanatory sentence.
• The Mark Resolved button in the header moves a new, open or pending case straight to Resolved.
• A resolved case shows the Close case button; a closed case shows Reopen, which puts it back In Progress.

Recording the persons concerned #

Naming a person concerned means deciding on their right to be informed. Illizeo sends no notice to that person: informing them — and often hearing them — is the handler’s job. The screen points out that an automatic warning could give them time to destroy evidence or retaliate, the risk that GDPR art. 14.5(b) allows you to guard against. It records what you did.

1. Under Persons concerned, click Name a person concerned (or Manage if someone is already named).
2. In the panel, click Name a person concerned, then under Choose the person select the employee.
3. Choose their situation:
   • Informed: fill in Informed on (no future date), How (Interview, Letter, Email or Other) and, if you wish, What they were told;
   • Information deferred: explain Why the information is deferred (at least 30 characters: this is the text an auditor will read) and set the Review on date, which must be in the future.
4. Click Save decisions. The message “Decisions saved” confirms. Back to messages returns to the messaging.

A named person immediately loses access to the case, even if they handle the channel or are an administrator. Nor do they receive the notifications about it.

Reading the audit log #

Click Audit in the header, or Audit log at the top of the messaging. The log lists, most recent first, each event in the case with its author and date: submission, views, messages, status, priority and assignment changes, acknowledgement, exports, attachment downloads and access denials. See messages returns to the exchanges.

To read this log, you also need to be able to open the case. The Whistleblowing — Read case audit trail right (Access level) completes it; the Administrator, HR and Auditor roles carry it.

Closing a case #

1. On a resolved case, click Close case (or the Closed step of the progress strip).
2. In the Close case dialog, fill in the Close reason, which is required.
3. Describe the Decision / Corrective actions if needed.
4. Click Close case. The message “Case closed” confirms.

Closure is refused while a person concerned is neither informed nor under a still-valid deferral: a deferral whose review date has passed blocks closure. The persons concerned panel says so (“1 expired deferral blocks closure.”). The closing date is recorded once and for all; it is what counts for the feedback deadline and for retention.

Good to know #

• Access to a case follows the channel, not the role: an administrator who does not handle the channel does not see the case.
• Each time a case is opened, it is recorded in the audit log; so is each access denial, with its reason.
• The module’s bell tells you about new cases, reporter replies, and deadlines that are close or overdue (acknowledgement, feedback to the reporter).
• Emails sent to handlers contain metadata only: never the summary, the description or the messages.
• For what the reporter sees, read Submitting and tracking a report.

Frequently asked questions #

I am an administrator and I cannot see a case. Is that normal? #

Yes, if you do not handle the case’s channel, or if you are implicated in that case. The Settings › Whistleblowing › My Access page shows the channels you handle and the rule applied.

Why is the acknowledgement button greyed out? #

Because the acknowledgement has already gone. Its date proves the deadline was met; it cannot be replaced by a new sending.

Closure is refused. What should I check? #

The close reason must be filled in, and each person concerned must be informed or under a deferral whose review date has not passed. Open Manage to put things right.

Does the reporter get an email when I reply? #

No. The reporter has no account and, most often, no known address: they check their messaging on the portal with their tracking password.