⚠️ EXPERIMENTAL — This skill is provided for educational and informational purposes only. It does NOT constitute legal advice. All responsibility for usage rests with the user. Consult qualified legal professionals before acting on any output.

Whistleblower Compliance Skill

Overview

Production-ready whistleblower compliance toolkit for auditing existing reporting systems and drafting compliant policies. Covers EU Directive 2019/1937, US SOX Section 806, US Dodd-Frank, and UK Public Interest Disclosure Act 1998. Operates in two modes: Mode A (Assessment) runs an 8-phase, 56-checkpoint audit of existing systems; Mode B (Drafting) generates jurisdiction-specific reporting policies.

Table of Contents

• Tools
• Reference Guides
• Workflows
• Troubleshooting
• Success Criteria
• Scope & Limitations
• Anti-Patterns
• Tool Reference

Tools

1. Compliance Checker (scripts/whistleblower_compliance_checker.py)

Assess an existing whistleblower system against regulatory requirements. Takes organizational parameters and outputs a compliance score with priority-classified gaps.

python scripts/whistleblower_compliance_checker.py \
  --jurisdiction EU --headcount 300 --sector financial \
  --channels internal,external --has-designated-person \
  --has-confidentiality --has-gdpr-measures --has-dissemination

python scripts/whistleblower_compliance_checker.py \
  --jurisdiction US --headcount 5000 --sector healthcare \
  --channels internal --json

python scripts/whistleblower_compliance_checker.py \
  --jurisdiction UK --headcount 50 --sector technology \
  --channels none

2. Policy Scaffolder (scripts/whistleblower_policy_scaffolder.py)

Generate a whistleblower policy skeleton pre-populated with required sections per regulatory framework.

python scripts/whistleblower_policy_scaffolder.py \
  --jurisdiction EU --org-type private --headcount 500 \
  --org-name "Acme Corp"

python scripts/whistleblower_policy_scaffolder.py \
  --jurisdiction US --org-type public --headcount 10000 \
  --org-name "MegaCorp Inc" --json

python scripts/whistleblower_policy_scaffolder.py \
  --jurisdiction UK --org-type nonprofit --headcount 100 \
  --org-name "CharityOrg" --output policy-draft.md

Reference Guides

Reference	Purpose
references/regulatory_framework.md	Multi-jurisdiction whistleblower regulations, comparison matrix
references/assessment_checklist.md	8-phase, 56-checkpoint assessment with priority classifications

Workflows

Mode A: Assessment Workflow

1. Gather Parameters -- Collect jurisdiction, headcount, sector, and system description
2. Run Compliance Checker -- Execute whistleblower_compliance_checker.py with parameters
3. Review Gaps -- Prioritize CRITICAL gaps first, then IMPORTANT, then IMPROVEMENT
4. Cross-Reference Checklist -- Walk through assessment_checklist.md for manual verification
5. Generate Remediation Plan -- Address gaps by priority, set deadlines per regulatory timelines

Mode B: Drafting Workflow

1. Determine Jurisdiction -- Identify applicable regulations based on headquarters and operations
2. Generate Scaffold -- Run whistleblower_policy_scaffolder.py with organization details
3. Customize Sections -- Replace placeholders with organization-specific information
4. Legal Review -- Route draft through legal counsel for jurisdiction-specific validation
5. Approval & Publication -- Obtain board/management approval and disseminate to all personnel

8-Phase Assessment Framework

Phase	Focus	Checkpoints
1. Applicability	Regulatory scope determination	3
2. Reception Channel	Reporting channel adequacy	5
3. Designated Persons	Personnel and independence	7
4. Verification/Processing	Investigation procedures	8
5. Confidentiality	Identity and data protection	9
6. Dissemination/Information	Awareness and accessibility	10
7. Data Protection/GDPR	Privacy compliance	12
8. Sector-Specific	Industry requirements	6
Total		60

Three Reporting Channels

Channel	When Used	Key Requirements
Internal	First preference; report to organization	Acknowledge within 7 days; feedback within 3 months
External (Regulatory)	When internal fails or is inappropriate	Report to competent authority; same protections apply
Public Disclosure	Last resort; imminent danger or retaliation	Protected only if internal/external channels exhausted

Whistleblower Protections

Protection	Description
Civil immunity	No liability for breach of confidentiality obligations
Criminal immunity	No criminal liability for acquiring reported information
Prohibited retaliation	Dismissal, demotion, harassment, blacklisting, discrimination
Burden of proof reversal	Employer must prove action was not retaliatory
Interim relief	Provisional protection during investigation
Legal aid access	Access to legal counsel and support

Priority Classification

Priority	Definition	Example
CRITICAL	Legal non-compliance; immediate regulatory risk	No reporting channel exists; no confidentiality measures
IMPORTANT	Significant gap reducing system effectiveness	Acknowledgment timeline exceeds 7 days; no designated person
IMPROVEMENT	Enhancement opportunity; not currently non-compliant	Training frequency below best practice; limited channel types

Troubleshooting

Problem	Cause	Solution
Checker reports all CRITICAL	No system parameters provided	Provide accurate --channels, --has-designated-person, and other flags
Wrong jurisdiction requirements	Multi-jurisdiction entity using single jurisdiction	Run checker separately per jurisdiction; use strictest requirements
Policy scaffold missing sections	Jurisdiction flag incorrect	Verify --jurisdiction matches EU, US, or UK
Headcount threshold confusion	EU directive has different thresholds by entity type	Private sector: 50+ employees; public sector: all municipalities
Sector-specific gaps not flagged	Generic sector value used	Use specific sector: financial, healthcare, defense, nuclear
GDPR checks fail for US entity	US entities may still need GDPR compliance	If processing EU citizen data, add --has-gdpr-measures
Timeline requirements unclear	Different jurisdictions have different timelines	EU: 7-day ack, 3-month feedback; SOX: 180-day filing deadline
Policy output too generic	Minimal parameters provided	Add --org-name, --org-type, and --headcount for specificity

Success Criteria

• Compliance Coverage: Assessment covers 100% of applicable regulatory requirements for specified jurisdiction
• Gap Identification: All CRITICAL and IMPORTANT gaps identified with clear remediation guidance
• Policy Completeness: Generated policies include all mandatory sections per applicable regulation
• Timeline Compliance: Policies reflect correct acknowledgment (7 days) and feedback (3 months) timelines
• Audit Readiness: Assessment output sufficient for regulatory audit preparation and evidence gathering

Scope & Limitations

This skill covers:

• Compliance assessment against EU Directive 2019/1937, US SOX/Dodd-Frank, UK PIDA
• Policy scaffolding with jurisdiction-specific mandatory sections
• Gap analysis with priority classification and remediation guidance
• Multi-sector considerations (financial, healthcare, defense, nuclear, transport)

This skill does NOT cover:

• Actual whistleblower case management or investigation procedures
• Legal advice or attorney-client privileged analysis
• Real-time regulatory monitoring or automatic updates when laws change
• Whistleblower hotline software implementation or vendor selection
• Cross-border reporting coordination between multiple regulators

Anti-Patterns

Anti-Pattern	Why It Fails	Better Approach
Copy-pasting policy from another jurisdiction	Regulations differ materially; EU requires 7-day ack, SOX has 180-day filing	Run scaffolder with correct jurisdiction; customize per local requirements
Treating all gaps as equal priority	Wastes resources on improvements while CRITICAL gaps remain	Address CRITICAL first, IMPORTANT second, IMPROVEMENT last
Single assessment for multi-jurisdiction org	Each jurisdiction has unique requirements and thresholds	Run separate assessments per jurisdiction; merge into unified policy
Skipping sector-specific phase	Regulated sectors (financial, healthcare) have additional requirements	Always complete Phase 8 for regulated industries
No periodic reassessment	Regulations evolve; transposition deadlines pass	Schedule annual reassessment; monitor legislative changes

Tool Reference

scripts/whistleblower_compliance_checker.py

Assess whistleblower system compliance against regulatory requirements.

usage: whistleblower_compliance_checker.py [-h] [--json]
                                           --jurisdiction {EU,US,UK}
                                           --headcount HEADCOUNT
                                           --sector SECTOR
                                           [--channels CHANNELS]
                                           [--has-designated-person]
                                           [--has-confidentiality]
                                           [--has-gdpr-measures]
                                           [--has-dissemination]
                                           [--has-acknowledgment-timeline]
                                           [--has-feedback-timeline]

options:
  -h, --help            Show help message and exit
  --json                Output in JSON format
  --jurisdiction        Regulatory jurisdiction: EU, US, or UK
  --headcount           Number of employees in the organization
  --sector              Industry sector (financial, healthcare, technology, etc.)
  --channels            Comma-separated channel types: internal, external, none
  --has-designated-person  Designated person(s) appointed for handling reports
  --has-confidentiality    Confidentiality measures in place
  --has-gdpr-measures      GDPR/data protection measures implemented
  --has-dissemination      Policy disseminated to all personnel
  --has-acknowledgment-timeline  7-day acknowledgment timeline met
  --has-feedback-timeline  3-month feedback timeline met

scripts/whistleblower_policy_scaffolder.py

Generate jurisdiction-specific whistleblower policy skeleton.

usage: whistleblower_policy_scaffolder.py [-h] [--json]
                                          --jurisdiction {EU,US,UK}
                                          --org-type {public,private,nonprofit}
                                          --headcount HEADCOUNT
                                          [--org-name ORG_NAME]
                                          [--output OUTPUT]

options:
  -h, --help            Show help message and exit
  --json                Output in JSON format
  --jurisdiction        Regulatory jurisdiction: EU, US, or UK
  --org-type            Organization type
  --headcount           Number of employees
  --org-name            Organization name (used in policy template)
  --output              Write policy to file instead of stdout