Appendix 6 – Risk Assessment Information

Conducting a risk assessment

In conducting risk assessments in relation to the risk that reprisals will be taken against a discloser, the following matrix should be used:

  Likely seriousness of reprisal
  MinorModerateMajorExtreme
Likelihood of reprisal being takenAlmost certainMediumHighHighHigh
LikelyMediumMediumHighHigh
UnlikelyLowLowMediumMedium
Highly unlikelyLowLowLowMedium

Examples of seriousness of reprisals

  • Minor: occasional or one-off action that is likely to have a relatively minor adverse effect on the person (for example, occasional exclusion of the person from a social activity).
  • Moderate: repeated action which is likely to have an adverse effect on the person (for example, routinely failing to copy in the person on work-related emails which the person has a genuine business need to know about).
  • Major: sustained or one-off action which has a significant impact on the person (for example, consistently excluding the person from team discussions or imposing a negative performance assessment on the person without reasonable cause and supporting evidence).
  • Extreme: action which is likely to have a very severe impact on the person (for example, physical violence).

Criteria for assessing the likelihood of potential reprisals

When considering the likelihood of a reprisal being taken against a discloser, the Authorised Officer should take into account all relevant factors, including to the extent relevant:

  • the likelihood of the discloser being identified, which may involve a consideration of: 
  • the size of the work area in which the discloser is located; and
  • the number of people who are aware of the information leading to the disclosure; 
  • the number of people implicated in the disclosure; 
  • the subject matter of the disclosure; 
  • the number of people who are aware of the disclosure or are likely to become aware of the disclosure (for example, through participation in the investigation as witnesses); 
  • the culture of the workplace; 
  • whether any specific threats against the discloser have been received;
  • whether there are circumstances that will make it difficult for the discloser not to discuss the disclosure in the workplace; 
  • whether there are allegations about individuals in the disclosure;
  • whether there is a history of conflict between the discloser and the subject of the disclosure; and
  • whether the disclosure can be investigated while maintaining confidentiality.

Criteria for assessing the likely seriousness of potential reprisals

In considering the likely seriousness of any potential reprisal against a discloser, the Authorised Officer should take into account all relevant factors, including, to the extent relevant:

  • the significance of the issue being disclosed; 
  • the likely outcome if the conduct disclosed is substantiated; 
  • the subject matter of the disclosure; 
  • whether the discloser is isolated; 
  • whether the discloser is employed on a full-time, part time or casual basis; 
  • whether the alleged wrongdoing that is the subject of the disclosure was directed at the discloser; and
  • the relative positions of the discloser and the person whose alleged wrongdoing is the subject of the disclosure.

When conducting the risk assessment, where consistent with protecting the discloser's confidentiality, the discloser may be asked why they are reporting the wrongdoing and who they might fear a reprisal from, and may also speak to the discloser's supervisor or manager.

The following tables may assist in conducting a risk assessment.

Table 1 – Indicators of a higher risk of reprisals or workplace conflict

IndicatorQuestions for consideration

Threats or past experience

 

Has a specific threat against the discloser been made? Is there a history of conflict between the discloser and the subjects of the disclosure, management, supervisors or colleagues?

  • Is there a history of reprisals or other conflict in the workplace?

Is it likely that the disclosure will exacerbate this?

Confidentiality unlikely to be maintained

 

  • Who knows that the disclosures has been made or was going to be made?
  • Has the discloser already raised the substance of the disclosure or revealed their identity in the workplace?
  • Who in the workplace knows the discloser’s identity?
  • Is the discloser’s immediate work unit small?
  • Are there circumstances, such as the discloser’s stress level, that will make it difficult for them to not discuss the matter with people in their workplace?
  • Will the discloser become identified or suspected when the existence or substance of the disclosure is made known or investigated?
  • Can the disclosure be investigated while maintained confidentiality?

Significant reported wrongdoing

 

  • Are there allegations about individuals in the disclosure? Who are their close professional and social associates?
  • Is there more than one individual involved in the matter?
  • Is the reported wrongdoing serious?
  • Is or was the reported wrongdoing occurring frequently?
  • Is the disclosure particularly sensitive or embarrassing for any subjects of the disclosure, senior management, the Department or government?
  • Do any individuals have the motivation to take reprisal actions – for example, because they have a lot to lose, or because they have power over the discloser?

Vulnerable discloser

 

  • Is or was the reported wrongdoing directed at the discloser?
  • Are there multiple subjects of the disclosure?
  • Is the disclosure about a more senior officer?
  • Is the discloser employer part-time or on a casual basis?
  • Is the discloser isolated – for example, geographically or because of shift work?
  • Are the allegations unlikely to be substantiated – for example, because there is a lack of evidence?
  • Is the disclosure being investigated outside the department?

Table 2 – Detailed risk assessment matrix

Identified risk event

Likelihood

High/Medium/Low

Consequence

Minor/Moderate/Serious

Action to mitigate

Yes/No (if yes, describe)

1Assault  
2Verbal assault  
3Stalking  
4Cyber-bullying  
5Silent treatment in workplace  
6Interference to personal items  
7Excluded from legitimate access to information  
8Excluded from promotion  
9Excluded from workplace sanctioned social events  
10Unjustified change to duties/hours of work  
11Dismissal  
12Unjustified refusal of leave  
13Onerous/unjustified audit of access to ICT/Time sheets  
14Onerous/unjustified audit of expenditure of Commonwealth money/Cab charge use  
15Other (describe)