Corruption Matters - October 2017 | Issue 50
Assessing reprisal risk
When it comes to staff reporting wrongdoing in the workplace, all public authorities have an obligation to manage the risk that these staff members may face detrimental action in reprisal. The NSW Ombudsman has released a new template and revised guidance to assist authorities to identify, analyse, treat and monitor the risk of reprisals and any related workplace conflict.
Accurate and objective assessments of risk allow authorities to properly defend themselves against any future allegations of having mismanaged the reporting process. In an audit that was conducted by the NSW Ombudsman on the handling of allegations of reprisal, we found that a risk assessment was warranted in each case and would have assisted the authority in managing and preventing reprisals from occurring.
A risk assessment process helps determine the level of protection and support that is appropriate for a reporter. Undertaking the assessment as soon as possible after a report of wrongdoing is made gives the authority the best chance of preventing or containing problems. It should include the identification and assessment of both direct and indirect (for example, related sources of workplace conflict or difficulties) risks of detrimental action in reprisal.
Some of the steps for assessing risk are outlined below.
- Communicate and consult – What are the reporter’s expectations of the process and do they have any concerns about reprisal or conflict?
- Identify the risks – Are there factors that may cause reprisals or conflict to be problems in the workplace? Higher risk indicators include:
- poor workplace culture
- history of conflict
- confidentiality is unlikely to be maintained
- the wrongdoing reported is significant
- the reporter is in a vulnerable position.
- Analyse or evaluate risk – What is the likelihood and potential consequence of reprisals or conflict occurring?
- Treat risks – What strategies should to be implemented to prevent or contain reprisals or conflict? For example, this may include:
- verifying the work performance of the reporter
- appointing a support person
- proactively managing the workplace
- ensuring any employment-related decisions are made independently.
- Monitor and review – Have the strategies been implemented and were they effective in preventing or containing reprisals or conflict?
Our PID risk assessment template can be used by authorities to document this process.
For further advice on assessing the risk of reprisal, see Assessing risk of reprisals and conflict, or contact the NSW Ombudsman’s PID Unit at pid@ombo.nsw.gov.au or 02 9286 1000.