Glossary
Interview Protocol
The procedural rules followed when interviewing reporters, witnesses, and subjects in a whistleblower investigation. Covers preparation (review records, prepare outline, decide on recording), conduct (explain confidentiality, free narrative before specific questions, avoid leading questions), and documentation (contemporaneous notes, formal memorandum within 48 hours, interviewee opportunity to review).
Full definition
An interview protocol covers preparation, conduct, and documentation of investigation interviews. Preparation: review prior records, prepare an interview outline, decide on note-taker, agree on whether interview is recorded, prepare an Upjohn warning where applicable (in attorney-led investigations, advising the interviewee that the lawyer represents the company, not the interviewee). Conduct: explain the purpose, the confidentiality regime (Article 16 of EU Directive 2019/1937 binds the organisation; reporter's identity is protected; subject is entitled to be heard but not to know the reporter's identity), invite a free narrative before specific questions, avoid leading questions, allow pauses, end with an opportunity to add anything. Documentation: contemporaneous notes signed and dated, formal interview memorandum drafted within 48 hours, opportunity for the interviewee to review and add corrections. Trauma-informed practice is increasingly expected in investigations involving sexual misconduct, harassment, or coercion, drawing on protocols developed by the US Department of Justice Office on Violence Against Women.
Related terms
- Investigation Plan A written plan that scopes a whistleblower investigation, identifies evidence sources, and assigns roles. A typical plan includes a neutral statement of alleged conduct, rules potentially breached, evidence sources, witness order, privilege assessment, confidentiality protocol, timeline anchored to the 3-month feedback deadline, named roles, and a decision-rights matrix.
- Case Handler The trained individual inside an organisation who triages, investigates, and resolves whistleblower reports. Under EU Directive 2019/1937 Article 9 the case handler must acknowledge receipt within 7 days, maintain confidentiality, log every action, and deliver substantive feedback within 3 months. Case handlers must be free of conflicts of interest and trained in trauma-informed interviewing.
- Confidentiality The legal obligation to protect the identity of a whistleblower and any third party named in a report. EU Directive 2019/1937 Article 16 prohibits disclosure beyond authorised staff and persists after the case closes. Disclosure is permitted only with the reporter's consent or where required by national law in criminal or judicial proceedings.