© 2013 Bolton & Company. All rights reserved. 2013 CAIS Trustee/School Head Conference Managing...

© 2013 Bolton & Company. All rights reserved.

2013 CAIS Trustee/School Head ConferenceManaging Risk After the Sandy Hook Tragedy

February 2, 2013

Presented by:

Ronald C. Wanglin, ChairmanBolton & Company Insurance Brokers

Rick Shaw, PrincipalAwareity


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Risk Management & Governance

Begins at the Board Level

“There is no way a board can establish sufficient policies and procedures in order to eliminate all risk and resulting law suits. But a school can manage risk to keep litigation to a minimum. The board’s role is to ensure that the appropriate institutional and operational policies—such as personnel, student activities and behavior, crisis management, and financial management—are in place and that the school is following those policies and the resulting procedures every day in a consistent, fair manner”.

“…..the best protection against a suit is an active board of trustees that exercises its governance role with great care.”

NAIS Trustee Handbook


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Managing Risk After Sandy Hook

History of School Shooting Tragadies

• Texas University Clock Tower (1966)• Thurston High School (1998)• Columbine (1999)• Santee High School (2001)• West Nickel Mines Amish School (2006)• Virginia Tech (2007)• Northern Illinois University (2008)• Sandy Hook (2012)• Gabrielle Giffords (2011) – 60 incidents of mass shootings or

other catastrophic acts of violence since then


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School responses to these events• Increased awareness of threat exposure• Many schools are conducting threat assessment reviews and

holding threat assessment training• Increased security measures ranging from revised policies and

procedures to changes in physical plant to hiring guards/armed guards

• One Texas school district certified faculty to carry weapons in the classroom and use deadly force if necessary

• Review of insurance and risk management program and consideration of higher liability limits

• Utilization of technology platforms to identify and manage exposure and risk on a proactive basis


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Some Background Data

• Overall, schools are safer in all ways than they have ever been• With the advent of media and social media coverage, awareness

of these events is greater than ever• The proliferation and availability of automatic weapons has

increased the risk and consequences of an event• Less than 1% of all homicides among children ages 5 to 19

occur in or around a school• School violence, however, occurs more often in the U.S. than

other developed countries


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What Elements Are Core to the Issue of School Safety?

• Emotion: It is hard for all of the stakeholders (families, faculty, boards, administration, etc.) to separate their fears from what can or cannot reasonably be done to make the school safer

• Risk Management: Currently conversations regarding effective school risk management range from securing the school via locked doors and controlled entrances and exits, security cameras, electronic access controls, fences, bullet proof glass, guards, etc.

• Note: Sandy Hook had substantive controls and the gunman shot out the windows in order to gain access to the school


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What Elements Are Core to the Issue of School Safety?

• Emergency Response: Most schools have already implemented “lock down” protocols and methods for notifying police of an active or potential shooter. Schools will want to incorporate their response program as part of an overall “crisis management program for the school

• Psychology: What psychological components exist to help identify those who are potential threats? The behavior of the individual, depression, medications that can impact mood and behavior, unstable home environment and/or abuse, and violent video games and TV/Movie violence have all been shown to play an important part in school shooting, bullying and harrassment


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Developing Strategies for Addressing Violence in Schools• Strategies must necessarily be multifaceted• Focus on making it more difficult to bring guns into the school• A 1995 study revealed that for students in grades 7-12, having

access to a gun at home was associated with carrying a gun to school

• Tighter gun control laws on a national and local level• Identification of, and help for, students who may pose a threat• Solutions may involve the implementation of conflict resolution

programs, bullying awareness and prevention, educating students to teach students to deter aggression, etc.


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FBI Findings Show That:• School violence is not an epidemic• There is no single profile of the violent offender• Youth who engage in violence often have social difficulties, but

they are not always loners• Although a common factor, revenge is not the exclusive

motivation for school shootings• Most attackers had previously used guns and had access to

them, but access to weapons is not the most significant risk factor

• Unusual or aberrant behaviors or interests are not the hallmark of a student destined to become violent


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FBI Findings Show That (cont):

• Incidents of target violence at school are rarely impulsive• Prior to most incidents, the attackers told someone about their

ideas or plans• Most shooting incidents were not resolved by law enforcement• In many cases, other students were involved in some capacity• In a number of cases, students who became school shooters

were bullied• Prior to most incidents, most attackers engaged in behavior that

caused concern to others


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FBI Recommendations for Addressing Threats and Aggression Within Schools (Students)

• Distinguish between transient and substantive threats• Transient threats are those that are made while a student is

upset but has no real intent or plan• Substantive threats involve a more formalized plan with the

means, intent and opportunity to carry it out• Transient threats require monitoring, while substantive threats

require immediate action• Clinical treatment and support can be an important component in

managing transient and substantive threats


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Anonymous Reporting of Threats

• Students who are victims of threats or harassment and/or those who are aware of students are often the best source of information about a potential threat

• A strong anti-bullying and harassment policy can help to mitigate the potential escalation of violence and impact school culture

• Due to concerns about retaliation or a “no snitch” culture within the school, students who have knowledge are often afraid to come forward with information

• Web based programs have been developed to allow for the reporting, by name or anonymously, of potential threats or events and can be an effective resource for early warning and detection


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What Are We Seeing in California to Address Threat Risk?• The California Education Code requires schools to have a

comprehensive school safety program that includes procedures for notifying teachers of “dangerous pupils”. The types of offenses that teachers must be notified of include: Causing, attempting to cause, or making threats of physical

injury Unlawful possession of a firearm, knife, explosive or other

dangerous object Possession of controlled substances (unlawfully), alcohol or

drug paraphernalia Actual or attempted robbery or extortion


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What Are We Seeing in California to Address Threat Risk?• Types, cont.:

Causing or attempting to cause damage to school property Material disruption of school activities Actual or attempted sexual assault Hazing or bullying Sexual harassment Hate Violence


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Where to Begin• If not done already, consider having a Threat Assessment

analysis done of the school by a company that specializes in evaluating these types of exposures. Typically, this type of assessment will include:

Security organization Charting critical area vulnerabilities and providing solutions

for the latter Policies, procedures and practice Perimeter protection and facility access control Employee and visitor identification issues


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Where to Begin (cont.):

• Threat Assessment (cont.): Electronic security systems Allocation and distribution of security personnel Security control and monitoring center and emergency

communications systems Terror and crime trends and service impact Employment procedures Security and awareness training


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Where to Begin (cont.):

• Incorporate solutions developed into a comprehensive crisis management program for the school (if there isn’t one, develop it as soon as possible)

• Establish clear policies and procedures for exploring allegations of actual or potential violence

• The policies should include the implementation of a Threat Assessment Team and include training across school borders so that everyone is a stakeholder of the process


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Where to Begin (cont.):• Policies should include:

Evaluating and interviewing the potential offender Notifying and working with parents Interviewing other students and staff members Determining the level of intervention required Bringing in additional professionals as required (mental

health, social service, law enforcement, etc.) Providing follow-up observation and services Responding to media should the need arise (crisis

management protocols)


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Forming a Threat Assessment Team• Lay the Foundation

Establish goals for the team, such as:

– Prevent targeted violence– Reduce the school’s liability exposure– Break down information silos on campus– Coordinate decisions and response for student care


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Forming A Threat Assessment Team

Identify specific objectives such as:

– Address a variety of student behavioral concerns– Recommend improvements to relevant campus policies and

procedures– Coordinate and share information with relevant campus groups– Leverage pre-existing multidisciplinary relationships as a model

for the team


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Forming a Threat Assessment Team• Create the team

Adopt a name that conveys the team’s broad purpose Select five to 20 team members to ensure representation

across campus departments/operations. Include representatives from:

– Administration– Dean of Students– Maintenance– Security– Athlectics– Transportation– Insurance Broker


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Forming a Threat Assessment Team• The Team

Select a team chair based on personal traits rather than position on campus

Consider existing team models and adopt a team structure that will be most effective

Conduct training to develop team expertise and effectiveness. Formats and topics may include:

– Threat assessment specific training for team or violence subteam

– Legal training on information sharing and other issues related to the team’s process and procedures


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Forming a Threat Assessment Team• The Team

Conduct training to develop team expertise and effectiveness. Formats and topics may include:

– Table top exercises using hypothetical scenarios– “Lessons learned” exercise using actual cases handled by the

team


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Reporting Student Behavioral Concerns• Identify potential reporting sources

Consider reporting sources such as:– Students– Faculty and Staff– Parents or other close relatives– Online acquaintances– Community members– Local agencies or service providers


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Reporting Student Behavioral Concerns• Educate potential reporters

Publicize the threat assessment team’s existence and purpose

Appoint a team member as a liaison for every campus department and use these liaisons to reach out to departments

Reach out to local hospitals, mental health facilities, and the police department

Educate reporters on reporting methods through:– Presentations, webpage, online training and publications


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Reporting Student Behavioral Concerns

• Create practical reporting options

Create a climate that promotes reporting Develop reporting methods that are simple to use and quick Offer many methods for reporting information to the team

including an anonymous reporting option


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Reporting Student Behavioral Concerns• Assess the effectiveness of education and reporting methods

Conduct an annual audit to assess effectiveness of

education and reporting methods by:

– Maintaining reports submitted to the team – Examining education and reporting methods used – Evaluating the reports received and the source of each

report – Identify and correct problems that prevent reporting.


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Assessing and Intervening with Students of Concern• Initial Screening

Determine whether the situation reported to the team constitutes an emergency.

If there is an emergency, report the matter to the local police immediately.

If reported to police, proceed with a full inquiry. Consider information about the student that is contained in

the report and is already known by any team member.


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Assessing and Intervening with Students of Concern• Preliminary Inquiry

Decide whether the team needs to conduct a full inquiry. Gather information from threat assessment team records,

student affairs, campus police and local law enforcement, judicial affairs, academic affairs, residence life, and online resources.


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Assessing and Intervening with Students of Concern• Preliminary Inquiry

Answer triage questions focused on the student’s potential to commit violence:

Has the student mentioned any violent thoughts or plans, including those of suicide?

Have there been any behaviors that cause concern for the person’s well-being, such as behavior that is significantly disruptive to the campus environment?

Does the student own, or is he or she attempting to acquire, weapons?

If the answer to any question is yes, proceed with a full inquiry If the answer is no, consider other problems the student may be

facing and appropriate intervention strategies


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Assessing and Intervening with Students of Concern• Full Inquiry

Determine whether the student poses a threat of violence or otherwise needs assistance.

Gather information from preliminary inquiry sources, other potential reporting sources, prior schools, email, or Internet communications.

Assess information about the student using the 11 assessment questions recommended by U.S. Secret Service and Department of Education (see pages 19-21).

If the team concludes that the student poses a threat or needs assistance, select an intervention strategy


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Assessing and Intervening with Students of Concern• Intervention

Identify the goals for an intervention, such as reducing a threat posed or managing a student’s concerning behavior.

Select a strategy from the list at Appendix D by considering: Information gathered by the team Opinions from legal counsel, experts, and others familiar with

the student The feasibility of providing the intervention and its potential

effectiveness Monitor the student’s progress. If the intervention is not effective, select another strategy


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Sharing and Documenting Information

• Share information

With the assistance of legal counsel, develop an understanding of the laws related to the permissibility of sharing student information among team members and with other constituencies on and off campus.

Focus particularly on state negligence laws, FERPA and its exceptions, state and federal medical confidentiality laws, and state privacy laws.

Share information that serves the student’s best interest


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Sharing and Documenting Information

• Document Information

Maintain documentation to improve team procedures and to reduce potential liability arising out of team actions.

Adopt consistent documentation practices that capture enough information to demonstrate that team actions are reasonable.


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Sharing and Documenting Information• Document Information

Consider documenting: – Student name – Date of report – Incident reported – Source of the report or departments involved or both – Conclusions from any inquiry the team performed – Recommended intervention – Results of the intervention

Review the team’s documentation procedures with legal counsel.


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TIPS Is Multi-Award Winning Platform


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How TIPS can help…

TIPS empower students, faculty, staff, parents, third-parties, law enforcement, etc. to report:

▫ Suspicious Persons▫ Bullying/Cyberbullying▫ Harassment/Discrimination▫ Weapons▫ Threats to Harm▫ Alcohol/Drug Abuse▫ Suspicious Persons▫ Safety Hazards▫ Personal Security▫ Workplace Violence

▫ Emergency/Terrorism▫ Mental Health Concerns▫ Sexting▫ Student/Faculty Relationships▫ Suicidal Ideations▫ Ethical Concerns▫ Fraud/Cheating▫ Hazing▫ Vandalism


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Communicate all policies, procedures and plans to all appropriate team members and third-parties

Communicate new and updated information, reports, etc.

Track and document employee acknowledgements for audits and legal due diligence

Empower your students, employees, staff and third-parties with tools to confidentially report incidents anytime and anywhere.


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All appropriate team members are automatically notified regarding a new incident report and members can quickly and securely login to TIPS to review and acknowledge the Incident Report Details.

To more effectively connect the dots, team members can document their actions and upload supporting documents (images, police reports, etc.) to immediately share with other team members.

Action List provides a chronological audit trail of actions taken by team members that can be reviewed and utilized for mounting legal and compliance obligations.


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Set reminders to follow up with at-risk individuals (victims,

bullies, witnesses, etc.) and their progress with mental health reviews, suspensions, counseling, etc.

Search current and previous incident reports to identify individuals and incidents that may be connected and to generate reports for Clery Act, safety reviews, audits, etc.

Disseminate surveys to learn students, parents and staff’s

biggest concerns and feedback


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Meet Requirements for:

CIPA OCR Dear Colleague Letters State Anti-Bullying Laws (Dignity for All Students Act, Seth’s

Law, etc.) FERPA SEC-501 OSHA/Whistleblower Clery Act Student Conduct And many more…

A secure database to help meet needs across multiple departments, staff, and students – saving time, money, resources and lives


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Schools should review the recommendations and findings made by the Department of Education and the Secret Service in their landmark study of school shootings “The Safe School Initiative”. The following is a link to the study, the compendium guide on implementing a campus threat assessment program, and the FBI’s study and recommendations regarding school shooters:

The Final Report and Findings of the Safe School Initiative: Implications for the Prevention of School Attacks in the United States, United States Secret Service and the United States Department of Education, 2002, by Robert S. Fein, Bryan Vossekuil, William S. Pollack, Randy Borum, William Modzeleski, and Marisa Reddy

http://www.secretservice.gov/ntac/ssi_final_report.pdf

Presents an in-depth and groundbreaking study by the U.S. Secret Service and the U.S. Department of Education. Following the attack at Columbine High School, in 1999, the Secret Service and the Department of Education initiated a study titled the Safe School Initiative to research the thinking, planning and other pre-attack behaviors engaged in by attackers who carried out school shootings. The findings of the Safe School Initiative support the application of a threat assessment process by educational institutions.

Threat Assessment in Schools: A Guide to Managing Threatening Situations and to Creating Safe School Climates , United State Secret Service and United States Department of Education, 2002, by Robert S. Fein, Bryan Vossekuil, William S. Pollack, Randy Borum, William Modzeleski, and Marisa Reddy

http://www.secretservice.gov/ntac/ssi_guide.pdf

A companion guide to the final report of the Safe School Initiative. It gives practical guidance on how to create a safe school climate and implement a threat assessment process at K-12 schools.

http://www.secretservice.gov/ntac/ssi_final_report.pdf

http://www.secretservice.gov/ntac/ssi_guide.pdf


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Prior Knowledge of Potential School-Based Violence: Information Students Learn May Prevent a Targeted Attack , United States Secret Services and United States Department of Education, May 2008, by William S. Pollack, William Modzeleski, and Georgeann Rooney http://www.secretservice.gov/ntac/bystander_study.pdf

This study serves as a follow-up to the Safe School Initiative (SSI). One of the most significant findings from the SSI is that prior to most school attacks, other children knew what was going to happen. This pilot study interviewed friends, classmates, siblings and others in whom school shooters confided their ideas and plans prior to their incidents. Other interviews included students who came forward with information regarding a planned school based attack, and are believed to have prevented an attack from happening. The goal of the study was to provide information to school administrators and educators regarding possible barriers that may prevent children who have information about a potential incident from reporting that information to a responsible adult.

The School Shooter: A Threat Assessment Perspective, United States Federal Bureau of Investigation, August 2000, by Mary Ellen O’Toole. http://www.fbi.gov/publications/school/school2.pdf

A monograph that uses the principals developed by the FBI’s National Center for the Analysis of Violent Crime (NCAVC), its 1999 symposium on school shootings, and a review of school shooting cases to present a model threat assessment process for K-12 schools.

http://www.secretservice.gov/ntac/bystander_study.pdf

http://www.fbi.gov/publications/school/school2.pdf


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Additional Resources

Insurance carriers Local law enforcement Third party consulting firms U.S. Department of Education http://www.ed.gov NAIS http://www.nais.org/ NASP http://www.nasponline.org (tips for supporting children and youth after

a crisis) “School Safety and Security Toolkit” (National Crime Prevention Council) “Steps for Developing a School Emergency Plan” (U.S. Department of

Education)

http://www.ed.gov/

http://www.nais.org/

http://www.nasponline.org/


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Thank you for your time.Questions?

Ronald C. Wanglin, CIC, [email protected]: 626-535-1420

Rick Shaw, [email protected]: 402.730.0090

mailto:[email protected]

http://www.boltonco.com/

mailto:[email protected]

© 2013 Bolton & Company. All rights reserved. 2013 CAIS Trustee/School Head Conference Managing...

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