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- Whistleblower / Ethics Hotline
- Who it's for
- Professional services practices
Professional services practices
A professional services practice can face a concern that touches a client relationship and an internal investigation at the same time. The matter's organization, counterparty and engagement reference help the team identify the work. A separate conflict review records the finding and evidence before the Ethics Manager decides whether the practice should proceed.
How Whistleblower / Ethics Hotline is set up for you
Client context
Clients carry an organization link and eligibility note that the team can use while checking the case's counterparty.
Independence check
Conflict Reviews retain a dated decision and its basis, including a request for more information.
Controlled files
Legal Documents preserve revision and privilege state before any authorized production.
Case chronology
Matter Events and Matter Deadlines keep filings, decisions and due work with the investigation.
A professional services practice can face a concern that touches a client relationship and an internal investigation at the same time. The matter's organization, counterparty and engagement reference help the team identify the work. A separate conflict review records the finding and evidence before the Ethics Manager decides whether the practice should proceed.
Choose one organization, a relevant client and a case whose conflict question is easy to articulate. Rehearse both a Clear finding and a more information finding. Confirm that the person recording the facts and the manager accepting engagement each leave a traceable decision. Then take one document through privilege review and an authorized production for a named recipient.
Use the same case to test who can see a protected identity and who only needs the ordinary matter evidence. The practice should agree where external client communications and document delivery are handled, then connect those channels using stable identifiers and retained acknowledgments. Keep the recipient and authorization with the production record for later review. The [data model](/whistleblower-ethics-hotline/data-model) shows how the case and its supporting records relate.
Features to start with
Roles on the team
- Investigator
- Owns investigation activity and prepares evidence for review.
- Independent Reviewer
- Decides on a submitted report using the recorded source revision.
- Ethics Manager
- Assigns matter ownership and resolves conflict and closure decisions.
- Records Custodian
- Controls restricted identity access, disclosure and document production.
- Admin
- Configures organizations, users and access before the operating team begins.
Set up Whistleblower / Ethics Hotline your way.
Start free, then use Proto to change fields, steps and approvals before your team goes live.