STEP 5: Develop Risk Management Strategies

When individuals of concern are assessed as posing a risk of violence, BTAUs must work to manage the risk and reduce the likelihood of a violent outcome.

Along with more traditional law enforcement action, these efforts will often involve identifying the needs of the individual and the community resources available to address those needs.

The process of managing risk includes case planning, implementation, monitoring, and, eventually, case closure.

In behavioral threat assessment, management refers to the strategies and efforts pursued by a BTAU with the goal of reducing the likelihood of a violent outcome.

Management efforts may include short-term strategies that begin immediately upon receipt of information that indicates a safety concern, as well as long-term strategies driven by the assessment and other situational factors.

BTAUs will need to develop and document strategies to address the factors that are contributing to the individual’s desire or potential to cause harm.

The concept of management is rooted in the same principles as other intervention-based models of prevention in that the goal is for the BTAU to act in ways that reduce the potential for a negative outcome while increasing the likelihood of a positive outcome.

In behavioral threat assessment, management strategies for a case are constructed around the known factors that appear to make an individual more or less likely to engage in violent behavior.

When those factors are revealed by an assessment, the BTAU can implement strategies aimed at reducing the negative factors of concern, while increasing any identified factors that are positive.

The management phase of a behavioral threat assessment: • is a systematic risk management approach and • provides an avenue for early intervention.

Whenever possible, the BTAU should include the individual of concern and their support network (e.g., family and friends) in the process of developing an effective case management plan.

Maintaining a positive and collaborative rapport with the individual and their support systems will aid in the success of the management approach.

The planning phase of management requires the BTAU to identify strategies to reduce the risk of violence and to address the identified needs of the individual.

The BTAU should set clear expectations and actionable goals to create a comprehensive plan that can be executed and evaluated for success following implementation.

There are four elements that should guide the management of concerning behavior during a behavioral threat assessment. BTAUs should take steps to: • address factors of concern and promote positive factors, • redirect potential motives for violence, • create a situation less prone to violence, and • utilize the Systems Approach for management.

Management may also involve elements of physical security or physical protection for a person or location at risk; however, those efforts fall outside the scope of this guidance.

BTAUs should work with their relevant law enforcement and security partners to ensure the physical security of people and places that may be potential targets.

Address factors of concern and promote positive factors | Redirect potential motives for violence | Create a situation less prone to violence | Utilize the Systems Approach for management Identify negative factors and create strategies to support positive outcomes. | Identify possible motivations and direct resources to address them. | Create an environment in which violence is less likely. | Collaborate with community stakeholders who can contribute.

EXAMPLES: | EXAMPLES: | EXAMPLES: | EXAMPLES: ▪Employment | ▪Address workplace | ▪Limit access to | ▪Leverage campus assistance | grievances | weapons | resources ▪Substance abuse | ▪Intervene to stop | ▪Obtain restraining | ▪Identify counseling treatment | bullying | orders | services ▪Mental health | ▪Deescalate | ▪Seek GPS | ▪Engage family treatment | interpersonal conflicts | monitoring | for support

BTAUs should adopt a prevention mindset and work to address those factors that appear to make violence more likely while promoting any factors in an individual’s life that would reduce the likelihood of violence.

This approach should be tailored specifically to the individual and the factors identified utilizing the Systems Approach and the Assessment Themes described in STEP 4.

For example, a BTAU may learn that an individual who threatened violence is experiencing alcohol dependency and recently lost a job but also has a supportive family and is receptive to receiving assistance. In this case, the BTAU could connect the individual with a local employment assistance program and an alcohol abuse program while also leveraging the support of the individual’s family members.

Prior NTAC research has identified common motives for those who have planned or perpetrated acts of targeted violence.

For example, in a study examining mass attacks in public spaces, NTAC found that such attacks were most commonly motivated by grievances (e.g., personal, workplace, or domestic), ideologies/racial bias, symptoms of psychosis (e.g., paranoia or delusions), desire to kill, and seeking fame or notoriety.

Motives are often multifaceted, and an individual’s desire to act violently may not be driven by one factor in isolation.

Therefore, the BTAU should work to identify the relevant factors contributing to the motivation for violent behavior and then take steps to redirect those motives to more appropriate prosocial behavior and, ultimately, positive outcomes.

Redirecting motives requires strategic use of resources to mitigate factors of concern, such as resources to mediate interpersonal grievances, counseling to build better problem-solving strategies, mental health treatment, or other social services that can address the circumstances driving the individual’s behavior.

For example, if a BTAU determines an individual has been harassing neighbors following a land use dispute, the BTAU may be able to identify a community-based mediation resource to help reconcile the disagreement.

Risk management strategies should work to create a situation less prone to violence. One way to create a less volatile situation is to limit access to weapons when permissible under legal and constitutional protections.

NTAC research has shown that nearly three-quarters (73%) of mass attacks in the United States involved firearms, and over one-quarter (29%) of the attackers who used firearms met at least one criterion that federally prohibited them from purchasing or possessing a firearm.

In addition to existing federal laws, state law may establish additional restrictions on firearm possession. For this reason, it is important for the BTAU to consider if an individual is in possession of a firearm and, if so, whether that possession is legal.

Depending on the nature of the firearm possession, there are three primary strategies for limiting access, which include seeking voluntary storage, pursuing court-ordered removal, and enforcing existing firearms prohibitions.

Voluntary storage: Voluntary out-of-home storage of firearms is an informal process that does not involve a court order. With this strategy, an individual agrees to temporarily store their firearm with a trusted family member, friend, or participating storage facility (e.g., gun retailer or police department) for safekeeping.

Having a positive rapport with an individual of concern can be helpful in encouraging voluntary out-of-home storage.

This strategy can be helpful for BTAUs operating in a state where there are no avenues for court-ordered removal or situations in which the criteria for court ordered removal have not been met.

Court-ordered removal: Some states have implemented extreme risk protection orders (ERPOs), also known as red flag laws, which allow for certain individuals (e.g., law enforcement or family members) to petition for the temporary confiscation of firearms from an individual of concern if the court agrees that the individual poses a risk of harm to themselves or others.

ERPOs follow procedural due process to protect the rights of gun owners while providing an important public safety tool for communities to limit access to firearms in cases where an individual poses an articulable risk of violence.

Enforce existing firearms laws: Another strategy for limiting access to weapons is to enforce existing laws designed to keep firearms from individuals who are not legally permitted to possess them.

NTAC research has found that many mass attacks in the United States involved a firearm that was illegally possessed at the time of the attack.

Federal law has established several longstanding prohibiting factors that make it unlawful for certain individuals to purchase or possess a firearm, including a prior felony conviction, a dishonorable discharge from the military, and being the subject of a current restraining order. Other noteworthy prohibiting factors include illegal drug use within the past year and any prior conviction for a crime of domestic violence (felony or misdemeanor).

All law enforcement and other public safety officials must be aware of these restrictions, as well as any additional state or local restrictions, and should take steps to ensure these laws are enforced.

In some instances, an individual of concern may not own or have access to firearms but may reside with someone who does. In these instances, the BTAU should speak with the owner and encourage them to reduce the individual’s ability to access the weapons.

If the owner is unwilling to remove the firearms from the home, the BTAU should discuss safe gun storage to ensure the firearms remain in a locked safe and to ensure the individual of concern does not have access to the combination or keys.

Law enforcement can also educate all parties involved regarding any legal restrictions on allowing firearms access to individuals who are prohibited from possession under federal law.

Although the goal of a behavioral threat assessment is not criminal prosecution, there are times when arrest and prosecution are necessary. When the BTAU is made aware of an incident involving a threat with a weapon, physical violence, stalking, harassment, or other criminal behaviors, criminal charges may play a critical role in ensuring public safety.

In these cases, the BTAU may work with the justice system to pursue conditions for pretrial release or probationary requirements.

If criminal charges result in new firearms possession prohibitions (e.g., domestic violence conviction or felony conviction), the BTAU should work to ensure that any firearms are confiscated in accordance with existing federal law.

As previously noted, this guidance is not intended to provide a framework for providing physical security.

BTAUs should be prepared, however, to work within their agencies and with relevant security partners to ensure the physical security of people and places who may be potential targets.

For example, when an individual is assessed as posing a risk to a person at a specific location, the BTAU may take steps to restrict the individual’s ability to access that location.

This can be accomplished through court orders that bar access, no trespass orders, and ensuring that on-site security at the location is made aware that the individual is restricted from entering.

Additional measures could include increasing the number of security guards, screening those who enter the location, and having more visible police patrols.

STEP 4 of this framework discussed the importance of using the Systems Approach for information gathering and assessment. The Systems Approach also provides a framework for management by identifying community-level partners who can contribute resources toward the BTAU’s violence prevention efforts.

Violence prevention requires a community-wide approach, and law enforcement agencies must be prepared to leverage their partnerships with other agencies to help reduce the likelihood of violence.

Management planning and implementation should seek to maximize internal resources from the agency the BTAU belongs to, as well as consider instances when outside law enforcement partnerships may be utilized.

Law enforcement can support management by: • developing rapport with the individual of concern and their support systems (e.g., family members);

conducting wellness checks;

transporting individuals for voluntary or involuntary mental health evaluations;

facilitating the consensual or temporary safe storage of firearms and other weapons;

petitioning the court for removal of firearms (e.g., ERPO);

providing a location for safe firearms storage when firearms are voluntarily forfeited or confiscated through legal means;

assisting in coordination of physical security strategies (e.g., increased law enforcement presence at special events or potential target locations);

monitoring open-source social media activity;

initiating consensual encounters with the individual of concern to monitor the progress of a management plan;

deploying Crisis Intervention Team (CIT) officers;

making arrests when necessary;

establishing cross-jurisdiction collaboration and information sharing with other state, local, or federal law enforcement partners as appropriate.

A multiagency threat management approach that allows for information sharing among criminal justice professionals, including prosecutors, courts, correctional practitioners, and community supervision officers, is critical in managing the risk posed by an individual of concern.

While some information sharing may be “one-way” due to privacy regulations, criminal justice practitioners must be informed and have the appropriate context upon which to base their judgements, treatment decisions, and mitigation strategies.

The judicial system can serve as a helpful management tool through both its authorities and resources, which can be leveraged in partnership with law enforcement agencies seeking to prevent violent outcomes.

help identify appropriate recommendations for processing a case (e.g., requesting a mental health evaluation).

recommend special conditions during pretrial release and at sentencing (e.g., drug abuse treatment).

identify and report concerning changes in an individual’s behavior while under supervision.

ensure adherence to court-ordered supervision requirements.

ask the individual and their support systems if community services, such as alternative housing or counseling, would be beneficial.

Some individuals who come to the attention of the BTAU may be enrolled in an educational institution.

Understanding their school enrollment status can be a helpful management tool, as there are a variety of resources and interventions that can be leveraged through school systems and postsecondary educational institutions.

provide counseling services and other school-based social, emotional, and behavioral resources. | • provide counseling services and other campus-based supports for mental health and wellbeing. • provide academic support.

provide academic support.

promote prosocial behavior by establishing positive relationships with the individual of concern.

offer on-campus employment opportunities. • provide career development services and resources.

engage with local law enforcement and/or the school resource officer (SRO) to develop collaborative management strategies.

monitor activity on all information technology (IT) resources (e.g., computers and IT networks) provided by the school.

provide financial aid information and guidance. • engage with campus law enforcement to develop collaborative management strategies.

monitor activity on all IT resources (e.g., computers and IT networks) provided by the campus.

If an individual of concern is employed, the BTAU may help the individual identify and leverage resources offered by their employer.

Coordinating resources offered through an individual’s employer should be done tactfully and in collaboration with the individual so as not to unnecessarily create additional challenges in the workplace.

Employer-offered resources vary widely between smaller, local companies and larger corporations.

Nevertheless, the BTAU may encourage the individual to access available employment resources (e.g., employment assistance programs).

As well, it can be helpful to know if an individual was previously employed as a member of the armed services because the U.S. Department of Veterans Affairs offers a variety of recourses and supports to eligible veterans.

Employers can support management by: • providing employee assistance programs (EAPs) to support and counsel individuals experiencing work/life challenges; • providing short-term mental health counseling; • providing substance use treatment; • providing financial counseling; • providing alternative dispute resolution; • offering wellness and resiliency programs; • identifying workplace mentors to model and promote prosocial behavior and professional success; and • pursuing safe termination practices when termination is necessary (e.g., offering job placement services, severance packages, or extended healthcare coverage).

In some cases, connecting an individual with mental health evaluation and treatment services may be one of the most valuable strategies for a BTAU to pursue.

Still, it should be noted that a mental health evaluation is not a substitute for a behavioral threat assessment and that mental health treatment is not a substitute for behavioral threat management.

Newly established BTAUs should catalogue the mental health services and resources available in their communities and initiate proactive outreach to establish working partnerships with them.

In addition to private treatment providers, individuals of concern may also be able to access free, charitable, and other community-based treatment programs.

When utilizing mental health services as an intervention, the BTAU should strategize directly with the individual, their family, and the local mental health professionals on how to best maintain treatment compliance.

BTAUs must also be prepared to share information with treatment providers.

While HIPAA may restrict the provider from sharing information in return, the BTAU may be able to share information obtained during a behavioral threat assessment with the provider.

This information could be used by the provider to inform the evaluation and treatment plan for the individual of concern.

Mental health providers can support management by: • providing behavioral therapy; • assessing the individual’s risk of harming self or others from a clinical perspective; • developing a mental health treatment plan; • assisting in the development of the BTAU’s case management plan; • prescribing medication; and • offering referrals for additional resources.

Family members of an individual of concern can be allies during the management planning and implementation process, as they are well-positioned to identify when a loved one is experiencing a crisis or when the individual’s concerning behavior is escalating.

For management planning, the BTAU should strategize about the role that the family may be able to play in initiating interventions, information sharing, and supporting the intervention plan.

BTAUs may want to educate families that the unit’s primary goal is to help support their loved one and, ideally, preempt any escalation toward violent or criminal behavior.

As was the case during the assessment phase, building and maintaining a positive rapport with the individual’s family is critical.

Family members can support management by: • petitioning for mental health commitments; • petitioning for ERPOs; • providing supervision and observing behavior in the home; • voluntarily securing weapons, thereby restricting weapons access; • assisting with transportation to treatment sessions; • providing insight into treatment compliance and progress; and • notifying the BTAU of behavioral changes or escalation of behaviors.

Community organizations that provide social services can be instrumental in providing assistance during the management phase of the behavioral threat assessment process.

These social services can provide interventions and supports to address the personal stressors and other challenges being experienced by the individual of concern.

financial stressors through employment assistance programming, unemployment benefits, social security income (SSI), and social security disability income (SSDI) for qualifying individuals;

housing instability through subsidized housing opportunities, emergency housing placement, and shelters;

food insecurity through subsidized programs, such as the Supplemental Nutritional Assistance Program (SNAP) and the Special Supplemental Nutrition Program for Women, Infants, and Children (WIC) Program, as well as food banks and other community food programs;

medical needs through assistance with applying for Medicare, Medicaid, or benefits through the Department of Veterans Affairs or HealthCare.gov for qualifying individuals, as well as access to community-based health services and clinics; and

behavioral health needs through intervention programming that addresses substance use disorders and/or mental health.

When identifying opportunities to connect individuals with services and resources to address their needs, it can be helpful to connect an individual with an organization capable of addressing multiple needs simultaneously by offering wraparound services.

Selecting a multifaceted provider improves efficiency by limiting the number of referrals needed and reducing the number of follow-up appointments with multiple providers.

Some communities feature local organizations that offer behavioral health treatment services (e.g., substance abuse and mental health care), a physical location for individuals to access basic life necessities (e.g., clean clothing, bathrooms, and clean water), medical and dental clinics, and advocacy and assistance with accessing social support services (e.g., assistance with applying for social security income and healthcare benefits).

▪Develop rapport ▪Involuntary holds ▪Removal of firearms ▪Wellness checks ▪Physical security ▪Open source monitoring ▪Consensual encounters ▪Making an arrest ▪Cross–jurisdictional collaboration ▪Crisis intervention

▪Request mental health assessments ▪Recommend special pretrial release conditions ▪Identify concerning behaviors | ▪Ensure adherence to court orders

▪Counseling services ▪Academic support ▪Monitor IT activity ▪Develop social support ▪Employment opportunities ▪Financial aid information

▪Provide EAP services ▪Short-term mental health counseling ▪Substance abuse treatment ▪Alternative dispute resolution ▪Workplace mentorships ▪Safe termination practices

▪Behavioral therapy ▪Assess risk of harm to self and others ▪Develop mental health treatment plans ▪Prescribe medication | ▪Referrals to other services ▪Petition for mental health commitments

▪Petition for ERPOs ▪Supervise behavior in the home ▪Voluntarily secure weapons ▪Provide transportation for services and resources ▪Provide insight on compliance and progress ▪Notify BTAU of changes

▪Employment and financial assistance ▪Housing placement and subsidies ▪Food programs ▪Facilitate medical resources | ▪Behavioral health intervention and treatment

Once a management plan has been implemented, the BTAU should monitor the progress of the individual, the effectiveness of the interventions provided, and any changes to the individual’s life circumstances.

To accomplish this, the BTAU should maintain consensual contact with the individual and continue to build rapport with their family and support members, as well as with community partners providing intervention services.

The BTAU should establish regular communication and check-ins with the identified support systems in the management plan and assess whether the interventions and strategies included in the plan are producing the intended result.

In some instances, management strategies may need to be revised and adjusted. For example, if an individual initially agrees to group counseling as part of their management plan, but they do not feel comfortable sharing in front of a large group, the management plan may need to be adjusted to feature individual counseling sessions to promote engagement and effectiveness.

As time passes and progress is made, management strategies may be adjusted or removed.

Periodic reassessments of risk are helpful in maintaining a dynamic management plan that addresses the factors contributing to concerning behavior.

The ultimate goal of management is for the individual of concern to progress to a point where they no longer pose a risk of violence, at which time management can be discontinued.

Once known factors of concern have been addressed and the individual is determined by the BTAU to no longer pose a risk, the case can be considered for closure.

The determination for closing a case, like other decision points in the process, should be based on an objectively reasonable and articulable assessment of the potential for violence and should be documented with facts that support the decision.

Once a case is closed, the BTAU may need to re-initiate contact with an individual if their concerning behavior returns or if the individual is destabilized by a significant life event.

Even upon case closure, the BTAU may decide on a case-by-case basis to check in with the individual and reassess progress after a prescribed period of time.