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AI Risk Assessment - Disclosurely AI Features

Automated risk scoring, severity assessment, impact prediction, risk prioritization, mitigation suggestions using AI-powered whistleblowing analysis.

Risk Assessment

AI-powered risk assessment analyzes whistleblower reports to automatically evaluate severity, predict potential impacts, and prioritize cases based on organizational risk. This intelligent system helps investigators focus on the most critical issues first while ensuring no case is overlooked.

What is AI Risk Assessment?

Disclosurely's AI Risk Assessment engine automatically evaluates every incoming report across multiple risk dimensions, providing investigators with data-driven insights to make informed decisions about case prioritization and resource allocation.

Key Capabilities:

  • Automated Risk Scoring: Instant numerical risk scores (0-100) for every report
  • Multi-Factor Analysis: Evaluates 20+ risk factors simultaneously
  • Severity Classification: Categorizes cases as Critical, High, Medium, or Low priority
  • Impact Prediction: Forecasts potential legal, financial, and reputational consequences
  • Intelligent Prioritization: Recommends investigation urgency and resource allocation
  • Continuous Re-Assessment: Updates risk scores as new information emerges

How AI Risk Assessment Works

Intelligent Analysis Process

When a new report arrives, the AI Risk Assessment system:

  1. Ingests Report Data: Analyzes report content, category, evidence, and metadata
  2. Evaluates Risk Factors: Assesses each factor using trained AI models
  3. Calculates Risk Scores: Generates overall and dimensional risk scores
  4. Classifies Severity: Assigns priority level based on scoring thresholds
  5. Predicts Impact: Forecasts potential consequences across multiple dimensions
  6. Generates Recommendations: Suggests investigation approach and timeline
  7. Monitors Changes: Continuously updates as investigation progresses

Risk Scoring Factors

The AI evaluates 20+ risk factors across five key dimensions:

Legal Risk Factors:

  • Potential regulatory violations (GDPR, SOX, EU Directive, etc.)
  • Criminal activity allegations
  • Employment law issues
  • Contract breaches
  • Intellectual property concerns
  • Litigation probability

Financial Risk Factors:

  • Potential financial losses
  • Fraud indicators
  • Asset misappropriation
  • Revenue impact
  • Remediation costs
  • Penalty exposure

Reputational Risk Factors:

  • Public exposure potential
  • Media attention likelihood
  • Social media risk
  • Brand damage
  • Stakeholder impact
  • Industry standing

Operational Risk Factors:

  • Business disruption
  • Process failures
  • Safety concerns
  • Supply chain impact
  • Service delivery
  • Employee morale

Compliance Risk Factors:

  • Policy violations
  • Code of conduct breaches
  • Industry standards
  • Certification requirements
  • Contractual obligations
  • Audit findings risk

Severity Classification

Risk Score Ranges:

  • Critical (80-100): Immediate action required, senior leadership notification
  • High (60-79): Urgent investigation, assign experienced investigator
  • Medium (40-59): Standard timeline, routine investigation
  • Low (0-39): Normal priority, can be queued

Automatic Actions by Severity:

  • Critical: Instant alert to compliance officer, auto-escalate to leadership
  • High: Email notification to investigation team, 24-hour acknowledgment
  • Medium: Assignment to available investigator, standard workflow
  • Low: Queue for assignment, 7-day acknowledgment

Benefits for Investigators

Faster Triage and Prioritization

Before AI Risk Assessment:

  • Manual review of every report to assess priority
  • Subjective judgment calls
  • Inconsistent prioritization
  • Risk of missing critical cases
  • Hours spent on initial triage

With AI Risk Assessment:

  • Instant risk evaluation in seconds
  • Objective, data-driven prioritization
  • Consistent risk assessment across all cases
  • Critical cases immediately flagged
  • Focus time on investigation, not triage

Time Savings: Reduce triage time by 80%, allowing investigators to focus on resolution.

Improved Decision-Making

Data-Driven Insights:

  • Clear risk scores replace guesswork
  • Evidence-based recommendations
  • Comparative analysis with historical cases
  • Prediction of potential outcomes
  • Resource allocation guidance

Example Scenario:

Without AI:

Report: "Manager verbally abusive"
Investigator thinks: "Is this urgent? How serious? Who should handle this?"
Decision: Assigned based on gut feeling

With AI Risk Assessment:

Report: "Manager verbally abusive"
AI Analysis:
- Risk Score: 72 (High)
- Legal Risk: High (harassment, hostile work environment)
- Pattern Detected: 2 similar reports about same manager
- Impact: Potential lawsuit, team morale impact
- Recommendation: Urgent - assign senior investigator, interview witnesses within 48 hours
Decision: Informed, data-driven, appropriate urgency

Enhanced Compliance

Regulatory Alignment:

  • Identifies reports requiring expedited handling under EU Directive
  • Flags SOX financial misconduct for proper procedures
  • Ensures GDPR high-risk data breaches get immediate attention
  • Documents risk assessment for audit trail

Defensible Decisions:

  • AI-generated risk scores provide objective justification
  • Demonstrates systematic approach to regulators
  • Proves appropriate prioritization
  • Shows due diligence in case handling

Key Features

1. Real-Time Risk Scoring

Every report receives an instant risk score upon submission.

Risk Dashboard:

  • View all cases by risk score
  • Filter by severity level
  • Sort by risk dimensions
  • Track score changes over time
  • Export risk reports

Access Risk Scores:

  1. Dashboard > Cases > Risk View
  2. See color-coded risk indicators
  3. Click any case for detailed risk breakdown
  4. Review AI reasoning and factors
  5. Override if necessary (documented)

2. Multi-Dimensional Analysis

Risk is not one-dimensional. The AI evaluates five distinct risk dimensions:

Dimension Breakdown:

Overall Risk Score: 75 (High)

Legal Risk:        85 (Critical) ████████░░
Financial Risk:    65 (High)     ██████░░░░
Reputational Risk: 70 (High)     ███████░░░
Operational Risk:  55 (Medium)   █████░░░░░
Compliance Risk:   80 (High)     ████████░░

Primary Concern: Legal & Compliance
Secondary Concern: Reputational

This breakdown helps investigators understand why a case is high-risk and where to focus attention.

3. Impact Prediction

The AI predicts potential consequences if the issue is not addressed:

Predicted Impacts:

  • Legal: Potential EEOC complaint, employment lawsuit risk
  • Financial: Estimated exposure $50K-$200K (settlement, legal fees)
  • Reputational: Moderate - internal issue, low public exposure risk
  • Operational: Team disruption, potential departures
  • Timeline: Address within 2 weeks to mitigate escalation risk

4. Pattern Recognition Integration

Risk Assessment integrates with AI Pattern Detection to identify:

Historical Patterns:

  • Similar cases involving same individuals
  • Recurring issues in departments
  • Emerging risk trends
  • Serial violators
  • Systemic problems

Pattern Impact on Risk Score:

  • First-time issue: Baseline risk score
  • Second occurrence: +10% risk score
  • Third or more: +25% risk score, flagged as pattern
  • Serial offender: Automatic escalation to High/Critical

5. Mitigation Recommendations

Beyond scoring risk, the AI suggests specific mitigation strategies:

Example Recommendations:

  • "Interview three named witnesses within 48 hours"
  • "Secure financial records before potential tampering"
  • "Consider interim separation of parties"
  • "Engage legal counsel given litigation risk"
  • "Implement daily monitoring for retaliation signs"
  • "Prepare communication plan for stakeholders"

6. Dynamic Re-Assessment

Risk scores are not static. As investigations progress, the AI continuously updates:

Re-Assessment Triggers:

  • New evidence uploaded
  • Witness statements added
  • Additional reports filed
  • Time passing without resolution
  • Investigator notes updated
  • External factors (e.g., news coverage)

Example:

Initial Risk Score: 55 (Medium)
After witness corroboration: 70 (High)
After discovering financial records: 85 (Critical)
Action: Case automatically escalated to senior investigator

Privacy and Security Considerations

Data Privacy

What the AI Accesses:

  • Report content and allegations
  • Case category and metadata
  • Evidence descriptions (not raw files)
  • Investigation status and notes
  • Historical case patterns (anonymized)

What the AI Cannot Access:

  • Reporter identity (unless explicitly analyzed)
  • Cases you don't have permission to view
  • Other organizations' data
  • System configuration details
  • Personal employee data unrelated to cases

GDPR Compliance:

  • AI processing documented under Article 30
  • Legal basis: Legitimate interest (investigations)
  • Data minimization: Analyzes only necessary information
  • Purpose limitation: Used only for risk assessment
  • No training on your data: Your cases don't train the model
  • See GDPR Compliance for full details

Security Measures

AI Risk Assessment Security:

  • All data encrypted in transit and at rest (AES-256)
  • AI processing in secure, isolated environment
  • Access controls enforce role-based permissions
  • Audit trail logs all AI analysis activities
  • No data stored outside Disclosurely infrastructure
  • ISO 27001 certified security practices

Human Oversight

AI Assists, Humans Decide:

  • AI provides recommendations, not mandates
  • Investigators can override risk scores (documented)
  • Human review of all Critical cases
  • AI reasoning is transparent and explainable
  • Final decisions always made by humans
  • No automated case dismissals

Override Process:

  1. Review AI risk score
  2. Assess if score appears incorrect
  3. Document reason for override
  4. Set manual risk level
  5. Proceed with investigation
  6. AI learns from feedback (system-wide, not organization-specific)

Configuration and Setup

Enabling AI Risk Assessment

Prerequisites:

  • Pro or Enterprise plan
  • AI Case Helper enabled
  • Case categories configured
  • At least 10 historical cases (for pattern learning)

Setup Steps:

  1. Enable Feature

    • Dashboard > Settings > AI Features
    • Toggle "AI Risk Assessment" to ON
    • Confirm understanding of AI usage

  2. Configure Risk Thresholds

    • Set score ranges for Critical/High/Medium/Low
    • Default: Critical 80-100, High 60-79, Medium 40-59, Low 0-39
    • Adjust based on your risk tolerance

  3. Set Automatic Actions

    • Critical cases: Auto-notify compliance officer
    • High cases: Email investigation team
    • Medium cases: Standard workflow
    • Low cases: Queue for assignment

  4. Define Escalation Rules

    • Risk score increase >20 points: Notify investigator
    • Risk score reaches Critical: Escalate to leadership
    • Pattern detected: Flag for review

  5. Customize Factors

    • Weight certain risk factors higher/lower
    • Add organization-specific risk categories
    • Define custom impact predictions

  6. Test and Refine

    • Review AI scores on existing cases
    • Validate against human assessments
    • Adjust thresholds as needed
    • Train investigators on using AI insights

Integration with Workflow

Automatic Integration:

  • Risk scores appear on case list
  • Color-coded risk indicators (red/orange/yellow/green)
  • Risk-based case sorting
  • Priority filters
  • Risk dimension breakdowns

Case Assignment Integration:

  • High-risk cases suggested for senior investigators
  • Low-risk cases can be batch-assigned
  • Workload balancing considers case complexity
  • Automatic routing based on risk level

Best Practices

Do's

✅ Review AI Reasoning: Understand why the AI assigned a particular score ✅ Use as Starting Point: Let AI inform your judgment, not replace it ✅ Document Overrides: If you disagree with AI score, document reasoning ✅ Act on Critical Cases: Treat Critical scores as genuine urgency indicators ✅ Monitor Patterns: Pay attention to pattern flags and recurring issues ✅ Re-Assess Regularly: Check if risk scores have changed as investigation progresses ✅ Combine with Human Expertise: Use AI + investigator experience for best results

Don'ts

❌ Don't Ignore High Scores: AI has identified genuine risk factors ❌ Don't Blindly Follow: AI assists but doesn't replace judgment ❌ Don't Skip Low-Risk Cases: "Low" doesn't mean "no risk" - still investigate ❌ Don't Override Without Reason: Document why you disagree with AI ❌ Don't Dismiss Patterns: Recurring issues often indicate systemic problems

Optimization Tips

Improve AI Accuracy:

  • Provide detailed case notes as you investigate
  • Mark cases as substantiated/unsubstantiated
  • Document outcomes and impact
  • Update case categories accurately
  • Add tags for specific risk types

Better Risk Assessment:

  • Configure organization-specific risk factors
  • Set appropriate thresholds for your industry
  • Review and adjust escalation rules quarterly
  • Train investigators on interpreting AI insights
  • Combine with AI Pattern Detection and AI Case Helper

Reporting and Analytics

Risk Analytics Dashboard

View Organization-Wide Risk:

  • Average risk score trend over time
  • Distribution by severity level
  • Risk by department/category
  • Pattern detection insights
  • Risk mitigation effectiveness

Access Analytics:

  1. Dashboard > Analytics > Risk Assessment
  2. Select date range
  3. Filter by department, category, severity
  4. View trends and patterns
  5. Export reports for leadership

Compliance Reporting

Generate Risk Reports for:

  • Board of directors meetings
  • Audit committee reviews
  • Regulatory compliance documentation
  • Annual risk assessments
  • Due diligence processes

Report Contents:

  • Total cases by risk level
  • Average time to resolution by risk level
  • High-risk case outcomes
  • Pattern detection findings
  • Risk mitigation effectiveness
  • Compliance with investigation timelines

Pricing and Availability

Available On:

  • ✅ Enterprise Plan: Full AI Risk Assessment with unlimited cases
  • ✅ Pro Plan: AI Risk Assessment included (up to 500 cases/month)
  • ❌ Basic Plan: Not available

Upgrade: Contact sales to enable AI Risk Assessment on your account.

AI Risk Assessment - Disclosurely AI Features | Disclosurely Docs