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RISK MANAGEMENT NUTS & BOLTS
ALISON JONES-NASSAR, CVAJUNE 13, 2013
RISK MANAGEMENT NUTS & BOLTS
“The problem is that the work of many nonprofit organizations, and specifically the assignments of greatest importance for volunteers, are often inherently risky…In truth, the person who asks, ‘will I get sued?’ when considering whether to give out blankets at midnight to homeless people on the street is probably the wrong volunteer candidate.” Susan J. Ellis, Volunteering Is Inherently Risky, Nonprofit Times, 1996
RISK MANAGEMENT NUTS & BOLTSWhat are some of the risks?
MIGHT BE EXPOSED TO
COMMUNICABLE DISEASE
MIGHT BE PHYSICALLY ASSAULTED
BELONGINGS STOLEN
ALL BLANKETS MIGHT GET
DAMAGED OR STOLEN
MIGHT BE VERBALLY
HARRASSED OR THREATENED
MIGHT INADVERTENTLY GIVE OUT
PERSONAL INFO
UNPREPARED FOR
ERRATIC BEHAVIOR
Size & structure of organizationRisks affecting different constituentsVulnerability of service recipientsSpectrum of service opportunitiesInsurance, HR, & Compliance standardsPractices of other organizations with similar
affiliationControlled vs. uncontrolled factorsRisk management is a continuous process!
RISK MANAGEMENT NUTS & BOLTSFactors to consider:
RISK MANAGEMENT NUTS & BOLTSTwo-Pronged Approach:
APPLYING EVERYDAY
VOLUNTEER MGMT BEST PRACTICES
APPLYING THE RISK
MANAGEMENTPROCESS
POSITION DESCRIPTIONS APPLICATION PROCESS
ORIENTATION & TRAINING
POLICY MANUALDOCUMENTATION
ONGOING COMMUNICATIONTRACKING SYSTEM
FOR EACH OPPORTUNITY FOR EACH
CONSTITUENCYWHAT ARE THE RISKS?RATE THE LIKELIHOOD
RATE THE SEVERITYWHAT ACTIONS?HOW COSTLY?
RISK MANAGEMENT NUTS & BOLTSFirst Prong:
APPLYING EVERYDAY
VOLUNTEER MGMT BEST PRACTICES
POSITION DESCRIPTIONS
SERVICE GOALSDUTIES &
RESPONSIBILITIESLOCATION & SCHEDULE
DURATION OF COMMITMENT
REQUIRED/PREFERRED SKILLS
REQUIRED TRAININGREQUIRED
DOCUMENTATIONSUPERVISOR
BENEFITS
RISK MANAGEMENT NUTS & BOLTSFirst Prong:
APPLYING EVERYDAY
VOLUNTEER MGMT BEST PRACTICES
APPLICATIONPROCESS
TRANSPARENT PROCESS:ORIENTATIONAPPLICATION
PERSONAL INTERVIEWREFERENCE CHECKS
BACKGROUND CHECKSTRAINING
DOCUMENTSPROBATIONARY PERIOD
RISK MANAGEMENT NUTS & BOLTS First Prong:
APPLYING EVERYDAY
VOLUNTEER MGMT BEST PRACTICES
ORIENTATION & TRAINING
KNOWLEDGE, SKILLS, ATTITUDES
EXPECTATIONS: WHAT & WHY
EXPLICIT DIRECTIONS (DO)SPECIFIC VIOLATIONS
(DON’T)CONSEQUENCES
RULES OF CONDUCTSYSTEM FOR TERMINATIONPREPARATION FOR SPECIFIC
SCENARIOS
RISK MANAGEMENT NUTS & BOLTS First Prong:
APPLYING EVERYDAY
VOLUNTEER MGMT BEST PRACTICES
POLICY MANUAL
MISSION, VALUES, HISTORYDESCRIPTION OF SERVICES
SCREENING PROCESSOUTCOMES, EXPECTATIONS
OPERATIONAL POLICIESEMERGENCY PROCEDURES
CODE OF CONDUCTREASSIGN/TERMINATE
WAIVERGRIEVANCE POLICY
ACKNOWLEDGMENT OF RCPT
RISK MANAGEMENT NUTS & BOLTS First Prong:
APPLYING EVERYDAY
VOLUNTEER MGMT BEST PRACTICES
DOCUMENTATION
PERMISSION TO VERIFY INFO
LIABILITY RELEASECONFIDENTIALITY
AGREEMENTEMERGENCY CONTACT
INFOPERSONAL REFERENCES
BACKGROUND CHECKDRIVING RECORD
DRUG TESTCONDUCT AGREEMENTS
RISK MANAGEMENT NUTS & BOLTS First Prong:
APPLYING EVERYDAY
VOLUNTEER MGMT BEST PRACTICES
EVALUATION & COMMUNICATION
ROUTINE FOR CHECKING INON-SITE VS. OFF-SITE
ACTIVE LISTENINGCOACHING STRATEGIESCORRECTIVE FEEDBACK
PERFORMANCE EVALUATIONS
INCIDENTS & COMPLAINTS
RISK MANAGEMENT NUTS & BOLTS First Prong:
APPLYING EVERYDAY
VOLUNTEER MGMT BEST PRACTICES
TRACKING & RECORDS
APPLICATION & DOCUMENTS
TRAINING CONTRACTSSIGN-IN LOGS
HOURS DOCUMENTATIONINCIDENT REPORTS
PERFORMANCE REVIEWSANNUAL
RECERTIFICATIONS
RISK MANAGEMENT NUTS & BOLTSHow much can be managed with best practices?
MIGHT BE EXPOSED TO
COMMUNICABLE DISEASE
MIGHT BE PHYSICALLY ASSAULTED
BELONGINGS STOLEN
ALL BLANKETS MIGHT GET
DAMAGED OR STOLEN
MIGHT BE VERBALLY
HARRASSED OR THREATENED
MIGHT INADVERTENTLY GIVE OUT
PERSONAL INFO
UNPREPARED FOR
ERRATIC BEHAVIOR
RISK MANAGEMENT NUTS & BOLTS Second Prong:
APPLYING THE RISK
MANAGEMENTPROCESS
FOR EACH OPPORTUNITY
MATRIX OF OPPORTUNITIES:LEVEL OF RESPONSIBILITY
LEVEL OF CLIENT INTERACTION
LEVEL OF INVESTIGATIONLEVEL OF SKILL
LEVEL OF TRAININGLEVEL OF SUPERVISION
LEVEL OF RISK ASSUMPTION
RISK MANAGEMENT NUTS & BOLTS Second Prong:
APPLYING THE RISK
MANAGEMENTPROCESS
FOR EACH CONSTITUENCY
ORGANIZATIONSTAFFBOARD
VOLUNTEERSCLIENTS
COMMUNITYPROFESSION
CAUSE OTHER
RISK MANAGEMENT NUTS & BOLTS Second Prong:
APPLYING THE RISK
MANAGEMENTPROCESS
WHAT ARE THE RISKS?
PHYSICAL HARMEMOTIONAL TRAUMA
HUMAN RIGHTS VIOLATIONS
CREDIBILITY & TRUSTREPUTATION
MEDIA & PUBLIC RELATIONS
LIABILITY & LITIGATIONLICENSING/ACCREDITATION
RISK MANAGEMENT NUTS & BOLTS Second Prong:
APPLYING THE RISK
MANAGEMENTPROCESS
RATE THE LIKELIHOOD
1 = NOT AT ALL LIKELY5 = VERY LIKELY/CERTAINCOMBINE WITH SEVERITY
RATINGEXAMPLE: DRUNKENNESSVERY LIKELY BUT DAMAGE
TO CONSTITUENT/PROGRAM/ORGANIZATION MINIMAL
(SEVERITY)
RISK MANAGEMENT NUTS & BOLTS Second Prong:
APPLYING THE RISK
MANAGEMENTPROCESS
RATE THE SEVERITY
1 = NOT AT ALL SEVERE5 = VERY SEVERECOMBINE WITH
LIKELIHOOD RATINGEXAMPLE: PHYSICAL
ASSAULTVERY UNLIKELY BUT
DAMAGE TO CONSTITUENT/PROGRAM/ORGANIZATION WOULD BE DEVASTATING (SEVERITY)
RISK MANAGEMENT NUTS & BOLTS Second Prong:
APPLYING THE RISK
MANAGEMENTPROCESS
WHAT ACTIONS?
DEVELOP ADDITIONAL TRAINING, OPPORTUNITIES
FOR ROLE PLAYPROVIDE SCRIPTED
LANGUAGESELF-DEFENSE INSTRUCTION
FIRST-AID REQUIREMENTSEMERGENCY PROTECTION PHOTO DOCUMENTATION
POLICE PRESENCE
RISK MANAGEMENT NUTS & BOLTS Second Prong:
APPLYING THE RISK
MANAGEMENTPROCESS
HOW COSTLY?
COST OF ADDITIONAL TRAINING
DIFFICULTY OF REQUIRING ADDITIONAL TRAINING
COST OF FIRST-AID INSTRUCTORS
COST OF PROTECTION TOOLS
COST OF POLICE PROTECTION
EMOTIONAL RESISTANCE
RISK MANAGEMENT NUTS & BOLTS Two-Pronged Approach:
POSITION DESCRIPTIONS APPLICATION
PROCESSORIENTATION &
TRAININGPOLICY MANUAL
DOCUMENTATIONONGOING
COMMUNICATIONTRACKING SYSTEM
FOR EACH OPPORTUNITY
FOR EACH CONSTITUENCYWHAT ARE THE
RISKS?RATE THE
LIKELIHOODRATE THE SEVERITY
WHAT ACTIONS?HOW COSTLY?
BEST PRACTICES RISK MGMT
Apply liberal doses of common sense
Involve your volunteersProvide explicit directionPraise & punishDon’t assume
RISK MANAGEMENT NUTS & BOLTSTen Strategies For Managing Risk:
Establish policies and follow through
Empower the board to meet its legal obligations
Provide guidance on privacy issuesUse written agreements to spell
out requirementsMake risk management everyone’s
responsibility
RISK MANAGEMENT NUTS & BOLTSTen Strategies For Managing Risk:
Select ONE service opportunity that your program offers
Identify 3-5 risks associated with this opportunityHow do you address these risks in your everyday
practices?Rate the likelihood (scale of 1-5)Rate the severity (scale of 1-5)What additional actions can/should be taken?Are there cost/complexity factors?
RISK MANAGEMENT NUTS & BOLTSExercise:
Checklist: Are Volunteers Included in Our Legal & Risk Planning? From Leading the Way for Successful Volunteer Involvement by Betty Stallings
Identify three actions you can implement immediately
Identify three actions you can implement within 60 days
Identify three actions you would like to implement within this calendar year
RISK MANAGEMENT NUTS & BOLTSExercise:
No Surprises: Harmonizing Risk & Reward in Volunteer Management, 4th Edition, Nonprofit Risk Management Center, www.nonprofitrisk.org
Volunteer Management, 3rd Edition, Steve McCurley & Rick Lynch
Leading the Way to Successful Volunteer Involvement, Betty Stallings with Susan J. Ellis
Complete Idiot’s Guide to Recruiting & Managing Volunteers, John L. Lipp
Visionary Leadership in Volunteer Programs, Marlene Wilson
RISK MANAGEMENT NUTS & BOLTSResources:
“Volunteering Is Inherently Risky”, Susan J. Ellis, Nonprofit Times, http://www.energizeinc.com/art/nprisk.html
“Federal Law Protects Nonprofit Volunteers”, Don Kramer, Energize Inc. archive, http://www.energizeinc.com/art/ifed.html
“Reference Checks”, John Patterson, Energize Inc. archive, http://www.energizeinc.com/art/astaf.html
“Volunteer Screening”, Charles Tremper & Gwynne Kostin, Energize Inc. archive, http://www.energizeinc.com/art/anos.html
“Running the Risk? A Risk Management Tool for Volunteer Involving Organizations”, Energize Inc. archive, http://www.energizeinc.com/art/subj/risk.html
RISK MANAGEMENT NUTS & BOLTSResources:
RISK MANAGEMENT NUTS & BOLTS
“Every organization must grapple with its own tolerance for risk. Just be sure that fear of liability does not lead to narrow and confined roles for volunteers...Practice conscientious management and then be willing to defend your activities passionately should someone decide to take you to court. What you gain by accepting some risk is as great as what you lose by avoiding it.” Susan J. Ellis, Volunteering Is Inherently Risky, Nonprofit Times, 1996