ERIC ED492090: Reporting of Violent and Disruptive Incidents by Public Schools. Report 2005-S-38

2006·1.8 MB·English

by  ERIC

Alan G. Hevesi OFFICE OF THE
COMPTROLLER NEW YORK STATE COMPTROLLER

DIVISION OF STATE SERVICES

Audit Objectives.............................2
STATE EDUCATION

Audit Results – Summary..............2
DEPARTMENT

Background.....................................4

Audit Findings and

Recommendations.......................6

REPORTING OF VIOLENT
Incident Reporting............................6
Recommendations...........................15
AND DISRUPTIVE
Persistently Dangerous Schools......15
Recommendations...........................20
INCIDENTS BY PUBLIC
Other Matters..................................21
Recommendations...........................23
SCHOOLS

Audit Scope and Methodology.....23

Authority.......................................24

Reporting Requirements..............24
Report 2005-S-38

Contributors to the Report..........24

Tables.............................................25

Appendix A - Definitions of

Selected Violent and
Disruptive Incidents..................38

Appendix B - Audit Response......40
AUDIT OBJECTIVES involving the use of a weapon. For example,
at one high school, 780 of the 924
Our objectives were to determine whether the documented incidents (84.4 percent) in the
State Education Department (SED) has 2003-04 school year were not reported to
developed effective processes for (1) ensuring SED, and the unreported incidents included
that school districts report violent and two sexual offenses, 11 incidents involving
disruptive incidents to SED in accordance the use of a weapon, and one incident
with State law and regulations, (2) identifying involving the possession of a weapon.
schools that should be designated as
persistently dangerous because of their violent Based on the results of our work, we conclude
and disruptive incidents, and (3) ensuring that that there is significant risk that the level of
the incident data reported by school districts violence at other high schools across the State
is recorded accurately and correctly on SED’s is similarly understated, and therefore SED’s
automated information system. Our audit annual reports on school violence do not
focused on incident reporting outside New convey the full seriousness of the situation to
York City. the Governor, Legislature and Board of
Regents. In effect, school district students,
AUDIT RESULTS - SUMMARY teachers and other employees have a greater
exposure to violent and disruptive behavior
The Safe Schools Against Violence in than may have been previously disclosed.
Education (SAVE) Act, which became
effective in July 2000, requires school Incidents were not fully and accurately
districts to report certain information each reported by the school districts because the
year to SED about the violent and disruptive reporting guidelines, which are complex and
incidents that occurred in their schools during include definitions taken from the State’s
the past year. SED is required to assess the Penal Law, were not always understood and
reported information and determine whether accepted by school district officials. In
any schools should be designated as addition, the officials may be reluctant to
persistently dangerous because of their violent publicly report such incidents. We
and disruptive incidents. SED is also recommend SED more actively monitor the
expected to summarize the information in an reporting process through site visits to
annual report about school violence to the selected districts. We also recommend SED
Governor, the Legislature, and the Board of improve the training and other reporting
Regents. guidance that is provided to the districts.

We visited a representative sample of high If a school is designated as persistently
schools and found that, at a majority of the dangerous, it must develop an Incident
schools, at least one-third of the violent and Reduction Plan and the parents of the children
disruptive incidents documented in the attending the school are to be given the option
schools’ records were not reported to SED. of sending their children to another school in
At several schools, more than 80 percent of the district, if one is available. We found that
the documented incidents were not reported to schools meeting SED’s criteria for persistent
SED, and in a number of instances, the most danger may not always be so designated,
serious types of incidents were unreported, because serious incidents at the schools may
such as sexual offenses and incidents not be fully and accurately reported. Also,

Report 2005-S-38 Page 2 of 45
schools that are at risk of being designated as According to the provisions of the Federal No
persistently dangerous may manipulate their Child Left Behind Act, a parent whose child
reported incident data to avoid the is the victim of a violent criminal offense at a
designation, and SED has not instituted public school is to be given the option of
controls that could prevent this kind of sending the child to another school in the
manipulation. district, if one is available. We found
improvements are needed in the incident
For example, in 2005, six schools avoided reporting process if SED is to have reasonable
being designated as persistently dangerous by assurance parents are in fact given this option.
revising previously reported incident data. We also found that the incident data reported
The revised data included either fewer or less by school districts is not always recorded
serious types of incidents than had previously accurately and correctly by SED.
been reported (e.g., a school that had
previously reported eleven weapons Our report contains 14 recommendations to
possession incidents revised the number to improve SED’s processes to: ensure that
seven). SED does not require that such school districts report violent and disruptive
revisions be supported by documentation and incidents to SED in accordance with State law
does not visit the schools to verify and regulations; identify schools that should
questionable submissions against school be designated as persistently dangerous; and
records, even though questionable data is ensure that incident data reported by school
submitted by many of the schools that are at districts is recorded accurately on SED’s
risk of being designated as persistently automated information system. SED officials
dangerous. Because of this lack of agreed with our recommendations and have
verification, in 2005, as many as 14 at-risk taken or will take steps to implement them.
schools were able to avoid being designated
as persistently dangerous. In the absence of This report, dated May 22, 2006, is available
this designation, the schools were not required on our website at: http://www.osc.state.ny.us.
to develop Incident Reduction Plans and the Add or update your mailing list address by
parents of children attending the schools were contacting us at: [phone] or
not given the option of sending their children Office of the State Comptroller
to another school. Division of State Services
State Audit Bureau
If the intent of the SAVE Act is to be fully 110 State Street, 11th Floor
realized, significant improvements are needed Albany, NY 12236
in SED’s process for identifying persistently
dangerous schools.

Report 2005-S-38 Page 3 of 45
BACKGROUND School districts outside New York City are
required to submit their annual incident
In July 2000, the State Education Law was reports to SED. The reports are due after the
amended by the SAVE Act. As a result of completion of the school year, usually in
this amendment, each year, all the school October. The districts must submit a
districts in New York State are required to separate incident report for each school in
report certain information to SED about the the district, and each report must include (1)
violent and disruptive incidents that all the violent and disruptive incidents that
occurred in their schools during the past occurred at the school during the prior
year. school year and (2) certain information
about each incident (e.g., the type of
SED is required to assess the reported incident, the number of the perpetrator(s)
information and determine whether any and victim(s), whether a weapon was
schools should be designated as persistently involved, and the actions taken by the school
dangerous because of their violent and in response to the incident).
disruptive incidents. SED is also required to
make an annual report about school violence Reportable incidents are defined in
to the Governor, the Legislature, and the regulations promulgated by SED. SED was
Board of Regents. required by the SAVE Act to work with the
Division of Criminal Justice Services
If a school is designated as persistently (Division) in developing these definitions.
dangerous, it must develop an Incident SED reports that it worked with the
Reduction Plan and submit the plan for Division, legislative staff and executive staff
SED’s approval. In addition, the parents of in developing the regulations and
the children attending such a school are to definitions, and notes that the definitions
be given the option of sending their children were taken directly from the State Penal
to another school in the district, if one is Law.
available (this option and the Incident
Reduction Plan are also required by the A total of 17 different types of violent and
2002 Federal No Child Left Behind Act). disruptive incidents are defined in the
regulations. All such incidents must be
While all school districts in New York State reported by the schools, and each individual
are subject to the reporting requirements of incident must be properly classified in the
the SAVE Act, different reporting processes annual incident report (e.g., reckless
are used inside and outside New York City. endangerment should not be reported as
For example, in New York City, the criminal harassment). Following are the 17
reporting process is overseen by the New different types of reportable incidents:
York City Department of Education and
much of the reportable information is • homicide
collected and maintained by the New York • sexual offenses
City Police Department. Our audit • kidnapping
addresses the reporting processes used
• assault with serious physical injury *
outside New York City, where there are
• assault with physical injury *
more than 3,000 public schools in more than
• arson
700 school districts.
• robbery

Report 2005-S-38 Page 4 of 45
• reckless endangerment * years was often inconsistent and inaccurate,
• criminal harassment * and as a result, modified the standardized
• intimidation, harassment, menacing, VADIR form, provided more detailed
or bullying * reporting instructions, and conducted
statewide training sessions for school district
• burglary, larceny, or other theft
officials. Because of these various changes,
offenses
the annual incident reports for the 2003-04
• criminal mischief *
school year were not due until April 15,
• bomb threat
2005. SED officials told us that the
• false alarm
information reported for this school year
• other disruptive incidents *
was more accurate; accordingly, our audit
• possession, but not use, of a weapon
focused on the 2003-04 school year.
• use, sale or possession of drugs or

alcohol
To determine whether any schools should be

designated as persistently dangerous because
* - See Appendix A, p. 38 for the definition
of their violent and disruptive incidents,
of this type of incident.
SED analyzes each school’s annual incident

data and assigns a numerical score to each
In addition, if a weapon is used by the
school. The score is generated through a
perpetrators of certain types of incidents, the
calculation that takes into account the
schools are required to disclose this fact and
seriousness of the reported incidents (some
indicate what type of weapon was used.
types of incidents are not included in the

calculation and some of the types that are
SED was required by the SAVE Act to
included are weighted more heavily than
develop a “statewide uniform violent
others) and the school’s total enrollment.
incident reporting system.” To help ensure
The Board of Regents must formally
uniformity of reporting, the annual incident
approve the methodology for creating the
reports are to be completed on a
score. However, this approval has not yet
standardized form that was developed by
happened. In the interim, SED refers to the
SED (the Violent and Disruptive Incident
score as the “Transitional Violence
Report or VADIR). In addition, each
Standard.” Once the methodology for the
individual incident is to be recorded shortly
score is approved, the score will be called
after occurrence, either on a standardized
the “School Violence Index.” For this report
form that was developed by SED (the
we use the term “Violence Index” in lieu of
Individual Incident Report) or on a similar
“Transitional Violence Standard.”
recording instrument. SED has developed

detailed instructions, guidelines and other
If a school has a Violence Index of 25 or
forms of assistance to help the school
higher for any school year, it is placed on a
districts comply with the reporting
preliminary list of persistently dangerous
requirements.
schools. If the school’s Violence Index falls

below 25 in the following school year, the
The school districts were first required to
school is removed from the preliminary list
submit annual incident reports for the 2001-
and is not designated as persistently
02 school year. SED officials found that the
dangerous. However, if the Violence Index
information reported for the first two school
is 25 or higher for two consecutive school

Report 2005-S-38 Page 5 of 45
years, the school is designated as SED by the school districts and later
persistently dangerous and ordered to selected by SED for inclusion in the report
develop an Incident Reduction Plan, unless cards. According to the SAVE Act,
school officials are able to demonstrate to information about violent and disruptive
SED that, because of altered conditions or incidents is to be added to the report cards.
some other reason, the school would not in The information in the schools’ annual
fact be dangerous in the upcoming school incident reports is to be summarized by SED
year. and presented in a format prescribed by
SED. The SAVE Act does not specify when
If a school is designated as persistently this incident information is to be included in
dangerous, it is included on the annual the report cards, and at the time of our audit,
published list of such schools. The first the information was not yet included. SED
such list was published in August 2003, and officials told us they had yet to develop the
was based on incident data reported for the report card format for incident information
2001-02 and 2002-03 school years. A total because they first needed to address the
of two schools were on the list, both in New inconsistencies and inaccuracies in reported
York City. The second list of persistently incident data. The officials stated that they
dangerous schools was published in were working on the format and expected
September 2005 (no list was published in incident information to be included soon in
2004), and was based on incident data the annual report cards.
reported for the 2003-04 and 2004-05 school
years. A total of five schools were on this AUDIT FINDINGS AND
list, one in New York City and four outside RECOMMENDATIONS
the City.
Incident Reporting
SED is to submit its annual school violence

report to the Governor, Legislature and
We found that the process developed by
Board of Regents by January 1 of each year.
SED for collecting incident data from school
The report is expected to address the
districts complies with the requirements
prevalence of violence and disruptive
contained in the SAVE Act. We note that
incidents in public schools, and the
the development and implementation of this
effectiveness of school programs undertaken
process required considerable effort on the
to reduce violence and ensure the safety and
part of SED and the school districts.
security of students and school personnel.

The report is also expected to summarize the
However, significant improvements are
information reported by the school districts
needed in the process, as we found
and identify the schools and school districts
indications many districts routinely fail to
with the least and greatest incidence of
report many of their violent and disruptive
violent and disruptive incidents.
incidents. For example, when we visited a

representative sample of high schools and
Each year, SED publishes a report card for
reviewed records maintained at the schools,
each public school in the State. The report
we found that, at a majority of the schools,
cards contain data on the schools’ academic
at least one-third of the incidents
performance and other aspects of school
documented in the records were not reported
operations. The data is initially reported to
to SED. At several schools, more than 80

Report 2005-S-38 Page 6 of 45
percent of the documented incidents were Our sample consisted of two of the State’s
not reported to SED, and in a number of “Big Five” city school districts, six small to
instances, the most serious types of incidents medium-size city school districts, four
were unreported, such as incidents involving suburban school districts, and three rural
the use of a weapon. school districts (the districts are listed in
Table 1 on page 25). We judgmentally
As a result of such extensive underreporting, selected these districts to get a representative
the level of violence at many public schools sample from different regions of the State.
in the State may be significantly understated We also ensured that our sample included
in their annual incident reports to SED, and districts reporting both a relatively high and
consequently, SED’s annual reports on a relatively low number of incidents. We
school violence may not convey the full visited a total of 17 high schools in these 15
seriousness of the situation to the Governor, school districts. At these schools, we
Legislature and Board of Regents. In reviewed the Individual Incident Reports (if
addition, schools that should be designated available) and/or other records used by
as persistently dangerous may not be so school officials to record individual
designated, because their Violence Index incidents, such as incident databases, student
may be based on incomplete data (two of the suspension letters, records of
schools in our sample would have had a superintendent’s hearings and student files.
Violence Index above 25 in the year we
examined if all documented incidents had We found that, at most of the schools we
been reported to SED). visited, incidents were neither fully nor
accurately reported to SED. The number of
To better ensure that school districts fully unreported incidents was particularly
and accurately report their incidents, we significant. As is shown in Table 2 (See
recommend SED more actively monitor the page 26), at 13 of the 17 schools, incidents
reporting process through site visits to that were documented in school records
selected districts. We also recommend SED were not included in the annual incident
improve the training and other guidance that report that was submitted to SED. At ten of
is provided to the districts. the schools, at least 38 percent of the
documented incidents were not reported to
Incomplete and Inaccurate Reporting SED, and at eight of the schools, more than
50 percent of the documented incidents were
To determine whether incidents were fully not reported to SED.
and accurately reported by school districts,
we selected a sample of 15 school districts For example, White Plains High School
outside New York City. We visited the high reported only 22 violent and disruptive
schools in those districts and reviewed the incidents for the 2003-04 school year, as
incident information recorded in the follows:
schools’ on-site records for the 2003-04
school year. We then compared this on-site 1 assault with physical injury;
information to the information recorded on 5 instances of intimidation,
each school’s annual incident report for the harassment, menacing or bullying;
2003-04 school year. 1 instance of burglary, larceny or
other theft offenses;

Report 2005-S-38 Page 7 of 45
2 bomb threats; 3 instances of burglary, larceny or
2 incidents involving the use, sale or other theft offenses;
possession of drugs or alcohol; 11 instances of criminal mischief;
8 incidents involving the possession, but 1 bomb threat;
not the use, of a weapon; and 5 false alarms;
3 other disruptive incidents. 1 incident involving the use, sale or
possession of drugs or alcohol;
However, records maintained at White 37 incidents involving the possession,
Plains High School indicated that, during the but not the use, of a weapon; and
2003-04 school year, a total of 311 violent 24 other disruptive incidents.
and disruptive incidents occurred at the
school, as follows: However, records maintained at Albany
High School indicated that, during the 2003-
1 sexual offense; 04 school year, a total of 924 violent and
1 assault with serious physical injury; disruptive incidents occurred at the school,
36 assaults with physical injury; as follows:
9 instances of reckless endangerment,
one of which involved the use of a 3 sexual offenses;
weapon; 6 assaults with serious physical
13 instances of criminal harassment; injury;
28 instances of intimidation, 126 assaults with physical injury, four
harassment, menacing or bullying; of which involved the use of a
9 instances of burglary, larceny or weapon;
other theft offenses; 16 instances of reckless endangerment,
5 instances of criminal mischief; three of which involved the use of a
13 instances involving the use, sale or weapon;
possession of drugs or alcohol; 25 instances of criminal harassment;
12 incidents involving the possession, 94 instances of intimidation,
but not the use, of a weapon; and harassment, menacing or bullying,
184 other disruptive incidents. two of which involved the use of a
weapon;
Thus, 289 of the 311 documented incidents 17 instances of burglary, larceny or
(92.9 percent) at White Plains High School other theft offenses;
were not reported to SED. 23 instances of criminal mischief, two
of which involved the use of a
Similarly, Albany High School reported 144 weapon;
violent and disruptive incidents for the 2 bomb threats;
2003-04 school year, as follows: 22 incidents involving the use, sale or
possession of drugs or alcohol;
1 sexual offense; 38 incidents involving the possession,
20 assaults with physical injury; but not the use, of a weapon; and
2 robberies; 552 other disruptive incidents.
39 instances of intimidation,
harassment, menacing or bullying; Thus, 780 of the 924 documented incidents
(84.4 percent) at Albany High School were

Report 2005-S-38 Page 8 of 45
not reported to SED. Our detailed findings more than 2,000 of these incidents were not
at all 17 high schools are shown in Table 4 reported by the schools in our sample.
(See pages 28-36). While these incidents, which typically
include disrespectful and disruptive behavior
All 17 types of violent and disruptive in a classroom, are not as serious as some of
incidents are considered serious, but certain the other types of reportable incidents, they
types are considered more serious than are still serious and should be reported to
others and, for this reason, these types of give an accurate indication of the conditions
incidents are included in the Violence Index at a school.
calculation while the other types of incidents
are not. For example, sexual offenses, As a result of the significant number and
assaults with serious physical injury, and types of unreported incidents at many of the
weapons incidents (both use and possession) schools in our sample, the level of violence
are included in the calculation, while bomb at these schools was significantly
threats, false alarms, and several other types understated in the schools’ annual incident
of incidents (if no weapon is used) are not reports to SED. Based upon our work, we
included in the calculation. Thus, incidents conclude that there is a significant risk that
classified as reckless endangerment or the level of violence at other high schools
criminal harassment are not included in the across the State is similarly understated, and
calculation, unless a weapon is used. therefore, SED’s annual reports on school
violence do not convey the full seriousness
We found that, in a number of instances, the of the situation to the Governor, Legislature
more serious types of incidents were not and Board of Regents.
reported to SED. For example, as is shown
in Table 3 (see page 27), in a total of 100 In addition, if the level of violence is
instances, 10 of the 17 schools in our sample significantly understated at schools across
failed to report an incident in which a the State, schools that should be designated
weapon was used or possessed. Three of as persistently dangerous may not be so
these schools failed to report any of their designated, because their Violence Index
weapons incidents, including Schenectady may be based on incomplete data. We note
High School, which failed to report all 21 that this could be the case for 2 of the 17
such incidents. Two other schools did not schools in our sample: Albany and
report at least half of their weapons Henninger High Schools.
incidents, as Charlotte High School failed to
report 31 of its 39 weapons incidents On the basis of the annual incident
(79.5%) and White Plains High School information that was reported to SED for the
failed to report 10 of its 18 weapons 2003-04 school year, the Violence Index for
incidents (55.5%). We also note that 7 of both schools was below 25. However, when
the 20 assaults with serious physical injury we recalculated the schools’ Violence Index,
were not reported to SED, and 11 sexual using the documented incident information
offenses (at seven schools) were not that we found in our review of 2003-04
reported to SED. school records, the corrected Violence Index
for both schools was above 25, for the
The most common type of unreported following reasons:
incident was “other disruptive incidents,” as

Report 2005-S-38 Page 9 of 45
• At Albany High School, the was reported for the 2004-05 school year,
Violence Index was incorrectly because if their Violence Index for that year
calculated to be 17.47, because 20 is also above 25, the schools could be
serious incidents were not reported designated as persistently dangerous.
to SED and one serious incident was
not properly classified on the annual If schools that should be designated as
incident report. The 20 unreported persistently dangerous are not so designated,
incidents included two sexual the schools will not be required to develop
offenses, six incidents of assault with an Incident Reduction Plan and parents of
serious injuries, 11 incidents the children attending those schools will not
involving the use of a weapon, one be given the option of sending their children
incident involving the possession of to other schools. In addition, the parents in
a weapon. The misclassified those districts may believe that the schools
incident was a sexual offense that are safer than they actually are. It is
was not included in the Violence therefore critical for schools to report all
Index calculation because the their violent and disruptive incidents to
incident was incorrectly classified as SED.
a consensual sexual offence.
However, the records at the school We also found that, in some cases, incidents
indicated that the offense was not were inaccurately reported on the annual
consensual, and therefore should incident reports because they were put in the
have been included in the wrong category. For example, some
calculation. When these 15 incidents incidents that should have been reported as
were included in the calculation, the physical assault with injury were incorrectly
Violence Index was 25.94. reported as criminal harassment. While
classification errors are not nearly as
• At Henninger High School, in the significant as the failure to report a
Syracuse City School District, the reportable incident, information needs to be
Violence Index was incorrectly accurately reported if it is to be used as
calculated to be 17.44, because 12 intended, and some classification errors can
weapons possession incidents were be significant, as was the case with the
not reported to SED. When these 12 misclassified sexual offense at Albany High
incidents were taken into account, School.
Henninger’s Violence Index was
27.06. In addition, at 4 of the 17 schools in our
sample (Charlotte, Hempstead, Plattsburgh
Thus, it appears that both schools should and Uniondale High Schools), many of the
have been placed on the preliminary list of incidents reported to SED were not
persistently dangerous schools on the basis documented in records maintained at the
of their 2003-04 data. We recommend SED schools. For example, Hempstead High
review both schools’ incident records for the School reported 597 incidents in the seven
2003-04 school year and determine whether following categories: criminal harassment,
the schools should in fact be placed on that intimidation, theft offenses, criminal
list. We further recommend that SED visit mischief, bomb threat, false alarm, and other
both schools to verify the incident data that disruptive incidents. However, only 274

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