Recommendations for Workplace Violence Prevention Programs in Late-Night Retail Establishments

OSHA 3153-12R 2009 Occupational Safety and Health Act of 1970 “To assure safe and healthful working conditions for working men and women; by authorizing enforcement of the stan dards developed under the Act; by assisting and encouraging the States in their efforts to assure safe and healthful working conditions; by providing for research, information, education, and training in the field of occupational safety and health.”

This publication provides a general overview of a particular standards-related topic. This publication does not alter or determine compliance responsibilities which are set forth in OSHA standards, and the Occupational Safety and Health Act of 1970 . Moreover, because interpretations and enforcement policy may change over time, for additional guidance on OSHA compliance requirements, the reader should consult current administrative interpreta - tions and decisions by the Occu pational Safety and Health Review Commission and the courts.

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This information will be made available to sensory impaired individuals upon request. Voice phone: (202) 693-1999; teletypewriter (TTY) number: 1-877- 889-5627. Recommendations for Workplace Violence Prevention Programs in Late-Night Retail Establishments

Occupational Safety and Health Administration U.S. Department of Labor

OSHA 3153-12R 2009 These recommendations are advisory in nature and informational in content. It is not a standard or regulation, and it neither creates new legal obligations nor alters existing obligations created by OSHA standards or the Occupational Safety and Health Act . Pursuant to the OSH Act, employers must comply with safety and health standards and regulations issued and enforced either by OSHA or by an OSHA-approved State Plan. These “state plan states” may have standards that address workplace violence. Employers are responsible for following the standards in the states where they have worksites. Appendix C provides a summary of existing State Plan standards addressing work - place violence. In addition, the Act’s General Duty Clause, Section 5(a)(1), requires employers to pro - vide their employees with a workplace free from recognized hazards likely to cause death or serious physical harm.

Acknowledgements

Many people and organizations contributed to this publication. OSHA wishes to thank the contributing researchers, educators, representatives of victims’ groups, industry, and law enforcement personnel for their comments and suggestions.

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Occupational Safety and Health Administration Contents

Introduction 4 Violence Prevention Programs 6 Management Commitment and Worker Involvement 6 Worksite Analysis 7 Hazard Prevention and Control 8 Safety and Health Training 10 Recordkeeping and Program Evaluations 11 Conclusion 13 Appendices 14 Appendix A: Sample Workplace Violence Factors and Control Checklists 14 Appendix B: Incident Report Forms 25 Appendix C: States with Workplace Violence Standards 31 Appendix D: Bibliography and References 32 OSHA Assistance 35 OSHA Regional Offices 37

RECOMMENDATIONS FOR WORKPLACE VIOLENCE PREVENTION PROGRAMS IN 3 LATE-NIGHT RETAIL ESTABLISHMENTS Introduction

Workplace violence, whether it is defined narrowly on workplace violence prevention. 2 In this survey, to include only violent criminal acts, or broadly to BLS asked employers about their establishments’ include verbal threats, has long affected retail work - operations, programs and policies regarding work - ers. OSHA developed these recommendations to place violence. These survey results showed that help late-night retail employers design and imple - while 4.8% of all private industry establishments ment prevention programs tailored to the workplace reported experiencing some form of workplace vio - violence hazards in their businesses. Existing data, lence, 7.1% of employers from the retail trade report - while limited, suggests that late-night retail estab - ed experiencing such an incident. Retail trade estab - lishments, such as convenience stores, liquor lishments which did experience such incidents also stores, and gasoline stations, experience relatively reported having higher rates of absenteeism due to high homicide and assault rates. This booklet is these incidents than did all private industry estab - meant to provide guidance to retail employers so lishments. Surprisingly, while 28.3% of retail trade they may avoid such incidents whenever possible. employers reported that such incidents had nega - By recognizing the hazards that lead to violent inci - tive impacts on workers, only 1.9% reported chang - dents and implementing appropriate prevention and ing their program or policy after an incident occurred. control measures, employers will improve the safe - According to an earlier survey conducted by the ty of their workers. OSHA encourages employers to U.S. Bureau of Justice Statistics (BJS), retail sales establish violence prevention programs and to track occupations had the third highest victimization rate, their progress in reducing work-related assaults. after workers in the law enforcement and mental Although not every incident can be prevented, the health professions. The BJS National Crime severity of injuries sustained by workers can be Victimization Survey (1993-1999) found that 20 out reduced. Adopting practical measures, such as of 1,000 workers in retail had experienced some those outlined in this publication, can significantly form of simple or aggravated assault in the work - reduce this serious threat to worker safety. place annually, and the rate for convenience store and gas station workers was much higher. Their Extent of the Problem rate was 53.9 and 68.3 per 1,000 workers, respec - According to the Bureau of Labor Statistics’ (BLS) tively. In addition, 21% of all workplace robberies Census of Fatal Occupational Injuries for 2007, involved personnel in retail sales. assaults and violent acts claimed 864 lives in 2007 and represented over 15% of the total 5,657 work - The risk factors place fatalities in the United States. Homicides rep - A number of factors put late-night retail workers at resented the majority of these violent acts, claiming risk. These include: 628 lives in 2007, or 11% of fatalities. Over 26% of • The exchange of money (making them targets those homicides (a total of 167) occurred in the for robbery); retail trades, with 39 occurring at convenience • Solo work and isolated work sites; stores, 32 occurring at gasoline stations and 7 occurring at liquor stores. While homicides have • The sale of alcohol; shown a marked overall decline since 1994 when • Poorly lit stores and parking areas; and they peaked at 1,080, they were the third leading • Lack of staff training in recognizing and manag - cause of work-related deaths in 2007, and remain a ing escalating hostile and aggressive behavior. serious risk for late-night retail workers. Data from the BLS Survey of Occupational An Effective Violence Prevention Program Injuries and Illnesses for 2007 suggests that non- In January 1989, OSHA published voluntary, fatal violent incidents have also impacted retail work generic safety and health program management sites. Overall, private industry experienced a 2.6 guidelines, 3 followed by recommendations for work - incidence rate 1 for assault and violent acts (a total of 24,230 incidents) but convenience stores experi - 2 BLS conducted this voluntary survey for the National Institute for Occupational Safety and Health and the Centers for Disease enced a rate of over 20.0 (a total of 410 incidents). Control and Prevention. The Survey of Workplace Violence In 2005, BLS conducted another survey specifically Prevention looked at the prevalence of security features, the risks facing workers, employer policies and training, and related topics associated with maintaining a safe work environment. 1 Incidence rates for non-fatal injuries and illnesses involving 3 OSHA’s Safety and Health Program Management Guidelines; days away from work is defined as the number of incidents per Issuance of Voluntary Guidelines, 54 Fed. Reg. 3904-3916, 10,000 full-time workers. January 26, 1989.

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Occupational Safety and Health Administration place violence prevention programs in late-night the extent to which the components of the program retail establishments, published in 1998. 4 The vio - are in writing is less important than how effective lence prevention information presented in this doc - the program is in practice. By implementing appro - ument builds on those guidelines by identifying risk priate hazard prevention and control measures, and factors and describing some feasible solutions. ensuring management and worker involvement, Although not exhaustive, these workplace violence employers will take the most critical steps in pro - guidelines include policy recommendations and tecting their workplace from violent acts. A written practical corrective methods to help prevent and statement of policy serves as a touchstone for the mitigate the effects of workplace violence in late- many separate plans, procedures and actions night retail establishments. required for an effective prevention program. In The goal of this document is to encourage smaller establishments, a program can be effective employers to implement programs to identify the without being documented. As the size of a work - potential risks of workplace violence and to imple - place or the complexity of hazard control increases, ment corrective measures. These recommendations written guidance becomes more important as a way are not a “model program” or a rigid package of to ensure clear communication and consistent appli - violence prevention steps uniformly applicable to all cation of policies and procedures. An employer establishments. No single strategy is appropriate for could create a separate workplace violence preven - all businesses, since environmental and other risk tion program or incorporate this information into an factors for workplace violence differ widely among existing accident prevention program, employee workplaces. Employers may use a combination of handbook, or manual of standard operating proce - strategies recommended in this document, as dures. appropriate, for their particular workplace. These recommendations are not a new standard While OSHA encourages employers to develop a or regulation and do not create any new OSHA written program for workplace violence prevention, duties. Therefore, these recommendations are not intended to establish a legal standard of care with respect to workplace violence. Accordingly, these 4 OSHA’s Recommendations for Workplace Violence Prevention Programs in Late-Night Retail Establishments, OSHA Publication recommendations do not impose any new legal 3153, 1998. obligations or constraints on employers or the states.

RECOMMENDATIONS FOR WORKPLACE VIOLENCE PREVENTION PROGRAMS IN 5 LATE-NIGHT RETAIL ESTABLISHMENTS Violence Prevention Programs

Violence prevention programs should set clear • Worksite analysis; goals and objectives to prevent workplace violence. • Hazard prevention and control; and The goals and objectives must be suitable for the • Safety and health training. size and complexity of workplace operations. In addition, the program should be adaptable to differ - ent situations at the worksite. Whatever format the Management Commitment and program takes, it is critical that employers clearly Worker Involvement explain the prevention program to all workers. Management commitment and worker involvement At a minimum, workplace violence prevention are complementary and essential elements of an programs should: effective safety and health management system. To • Establish a clear policy for workplace violence, ensure an effective program, management and verbal and nonverbal threats and related actions. frontline workers must work together. If employ - All personnel employed in the retail establish - ers opt to use a team or committee approach to ment should know the policy. addressing this element they must be careful to comply with the applicable provisions of the • Ensure that no worker who reports or experi - National Labor Relations Act .6 ences workplace violence faces reprisals. 5 • Encourage workers to promptly report incidents Management Commitment and suggest ways to reduce or eliminate risks. By obligating resources – both human capital and Require records of incidents to assess risk and financial – management provides the motivation measure progress. and ability to effectively address workplace vio - • Outline a comprehensive plan for maintaining lence. Management commitment should include: security in the workplace. The plan should • Demonstrating organizational concern for worker include establishing a liaison with law enforce - emotional and physical safety and health, which ment representatives and others who can help includes medical and psychological counseling identify ways to prevent and mitigate workplace and debriefing for personnel who experience or violence. witness assaults and other violent incidents; • Assign responsibility and authority for the pro - • Exhibiting equal commitment to the safety and gram to individuals or teams with appropriate health of workers and store patrons; training and skills. Ensure that adequate • Assigning responsibility for the various aspects resources are available and that those responsi - of the workplace violence prevention program to ble for the program develop expertise on work - ensure that all managers, supervisors and work - place violence prevention in late-night retail ers understand their obligations; set tings. • Allocating appropriate authority and resources • Affirm management commitment to an environ - to all responsible parties; ment that places as much importance on worker safety and health as on serving store patrons. • Maintaining a system of accountability for involved managers, supervisors and workers; Elements of an Effective Violence • Supporting and implementing appropriate rec - Prevention Program ommendations from safety and health commit - The four components of an effective safety and tees; and health management system also apply to the pre - • Working constructively with other parties, such vention of workplace violence, and are: as landlords, lessees, local police and other pub - • Management commitment and worker involve - lic safety agencies to improve security in and ment; around the worksite.

5 Section 11(c)(1) of the OSH Act applies to protected activity involving hazards of workplace violence as it does for other Worker Involvement health and safety matters: “No person shall discharge or in any Worker involvement in violence prevention is manner discriminate against any employee because such employee has filed any complaint or instituted or caused to be espe cially critical in the late-night retail setting. instituted any proceedings under or related to this Act or has tes - tified or is about to testify in any such proceeding or because of the exercise by such employee on behalf of himself or others of 6 29 U.S.C. 158(a)(2) stipulates that an employer can ask that an any right afforded by this Act.” employee confer but without loss of time or pay.

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Occupational Safety and Health Administration Frontline workers are often the most knowledge - Records Review and Analysis able of business procedures and the business envi - To begin a hazard analysis an employer should ronment – especially in situations where no manag - review previous business experiences for at least er is on duty. Workers’ experiences can help to two or three years. The employer should collect identify practical solutions to safety challenges. and examine any medical, safety, workers’ compen - The more inclusive the approach to developing a sation and insurance records to identify any inci - workplace violence prevention plan, the more com - dents of workplace violence. The review should prehensive it will be. In addition, workers who are include the OSHA Log of Work-Related Injuries and engaged in violence prevention programs are more Illnesses (OSHA Form 300), if the employer is likely to support them and ensure their effectiveness. required to maintain one. 7 In addition, worker and police reports of incidents or near-incidents of Workers should be involved by: assaults or aggressive behavior should be exam - • Contributing to the development of procedures ined to identify and analyze trends in assaults rela - that address safety and security concerns, tive to particular: including responding to surveys on these issues; • Job titles; • Understanding and complying with the work - • Workstations; and place violence prevention program and safety • Date and time of day. and security measures; Through this analysis, an employer can identify • Reporting violent incidents promptly and accu - the frequency and severity of incidents to establish rately; a baseline for measuring improvement. Employers • Participating in safety and health committees or with more than one store or worksite may review teams that receive reports of violent incidents or each location’s history of violence. To learn about security problems, make facility inspections and trends in the community or industry an employer respond with recommendations for corrective may contact local businesses, trade associations, strategies; and police departments and community and civic • Taking part in training programs and sharing on- groups. An employer should use several years of the-job experiences that cover techniques to rec - data, if possible, to gain a clear understanding of ognize escalating agitation, aggressive behavior the existing trends. or criminal intent. Conducting Screening Surveys Worksite Analysis Finding few documented cases of workplace vio - A worksite analysis involves a step-by-step assess - lence should not be dismissed as random, because ment to identify environmental and operational incidents may go unreported or undocumented. risks for violence. The analysis entails reviewing Management may not be aware of low intensity specific procedures or operations that contribute to incidents or threats of violence that workers experi - hazards, identifying areas where hazards may enced. A worker questionnaire or survey about develop and performing periodic safety audits. workplace violence issues can identify: Since the hazard analysis is the foundation for the • If customers have assaulted workers; violence prevention program, it is important for the • If the business has had to address other crimes, employer to carefully consider the person(s) or such as shoplifting; team that will conduct the analysis. If a team is • If workers have been threatened or harassed used, it should include representatives from senior while on duty; management, operations, workers, security, occu - pational safety and health personnel, legal and • Whether firearms were carried and/or used; human resources staff. A small business may only • How many workers were on duty when inci - need to assign the duty to a single worker or con - dents occurred; sultant. • Whether police were called;

The recommended program for worksite analysis includes, but is not limited to: 7 29 CFR Part 1904.1 exempts employers with 10 or fewer employees at all times during a calendar year from maintain - • Analyzing and tracking records; ing an OSHA injury and illness log. In addition, 29 CFR 1904.2 • Conducting screening surveys; and exempts businesses classified in specific low-hazard retail, service, finance, insurance, or real estate industry from keep - • Analyzing workplace security. ing these injury and illness records.

RECOMMENDATIONS FOR WORKPLACE VIOLENCE PREVENTION PROGRAMS IN 7 LATE-NIGHT RETAIL ESTABLISHMENTS • What workers were doing before and during the munication systems (such as telephones), and incident; where security systems are installed. • Whether preventive measures were in place at • Evaluate the effectiveness of existing security the time of the incident and whether they were measures, including engineering controls. implemented; Analysis should include whether or not security • Where incidents occurred; and measures are being implemented and whether or not they reduce or eliminate risk factors. If • How often these incidents occurred. security measures are not being implemented, Employers may also use surveys to solicit work - the analysis should determine what has inhibit - ers’ ideas on the potential for violent incidents and ed their use. to identify or confirm the need for improved securi - Appendix A contains some sample checklists ty measures. Detailed baseline screening surveys that may assist employers in developing their own can help pinpoint tasks that put workers at risk. security analyses. Trade associations and other Periodic surveys, conducted at least annually or organizations may also have materials that can when business operations change or workplace assist employers in assessing the risk of violent violence incidents occur, can help employers identi - incidents at their worksites. In addition, some local fy new or previously unnoticed risk factors in work law enforcement agencies provide free advice to practices, procedures or controls. After these business owners on ways to reduce exposure to reviews, employers should provide feedback and crime. As with the workplace surveys, employers follow-up with their workers. may choose to hire independent consultants to Employers may choose to use independent analyze their worksites for security weaknesses. reviewers to conduct and analyze these surveys. Independent reviewers, such as safety and health Hazard Prevention and Control professionals, law enforcement/security specialists By effectively preventing and controlling workplace and insurance safety auditors, may offer advice to violence hazards, employers are better able to pro - strengthen programs. These experts can also pro - tect workers and avoid workplace incidents. After vide fresh perspectives to improve a violence pre - hazards are identified through the systematic work - vention program. site analysis, employers will need to take steps to prevent or control those hazards. Employers or Workplace Security Analysis someone they designate should develop measures Employers should have the designated team, work - that include engineering, procedural, and/or admin - er or consultant periodically inspect the worksite istrative changes to reduce or eliminate the likeli - and evaluate job tasks to identify hazards, condi - hood of violent incidents. Employers will likely need tions, operations and situations that could expose to use a combination of controls to manage the workers to violence. An initial walkthrough survey hazards identified through their hazard analyses but should be conducted to identify risks and establish should carefully assess the effectiveness of each a baseline. To find areas requiring further evalua - type of approach. Engineering controls are consid - tion, the team or coordinator should: ered the most effective because they make physical • Analyze incidents, including the characteristics improvements without any dependence on human of assailants and victims. Incident descriptions behavior. If a given situation does not allow for should include an account of what happened engineering controls, employers should next con - before and during the incident, and the relevant sider procedural and administrative changes. Once details of the situation and its outcome. When prevention and control measures are in place, possible, someone should obtain police reports employers should ensure that procedures are fol - and recommendations. lowed and that workers are supported. • Identify jobs or locations with the greatest risk of violence as well as processes and procedures Minimizing Risk through Engineering Controls that put workers at risk of assault. The analysis and Workplace Adaptations should include an estimate of the frequency and Engineering controls remove the hazard from the time when the risk of violence is greatest. workplace or create a barrier between the worker • Note high risk factors such as types of store and the hazard. Several measures, such as those patrons or environmental factors, such as: build - described in the following paragraphs, can effec - ing layouts, interior and exterior lighting, com - tively prevent or control workplace hazards at retail

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Occupational Safety and Health Administration establishments. The selection of any measure cedures can help prevent violent incidents. Often should be based on the hazards identified in the policies are needed to ensure that the engineering workplace security analysis. controls are implemented and used effectively. For Given that late-night retail businesses are prone example, employers should: to robberies, employers should seek to reduce their • Integrate violence prevention activities into daily risk by improving visibility and surveillance, con - procedures, such as checking lighting, locks, and trolling customers’ access, and limiting the avail - security cameras to help maintain a secure ability of cash. Such measures could include: worksite. • Limiting window signs to low or high locations • Require workers to use the drop safes and keep and keeping shelving low so that workers can a minimal amount of cash in each register. see incoming customers and so that police can • Develop and implement procedures for the cor - observe what is occurring from the outside of rect use of physical barriers, such as enclosures the store; and pass-through windows. • Ensuring the customer service and cash register • Establish a policy of when doors should be areas are visible from outside the establishment; locked. Require workers to keep doors locked • Placing curved mirrors at hallway intersections before and after official business hours. Require or concealed areas; workers to lock doors used for deliveries and • Maintaining adequate lighting inside and outside garbage removal when not in use. In addition, the establishment; require that deliveries be made during normal daytime operations. • Installing video surveillance equipment and closed circuit TV to increase the likelihood of • Develop and implement emergency procedures identification of perpetrators; for workers to use in case of a robbery or securi - ty breach – such as calling the police or trigger - • Using door detectors so that workers are alerted ing an alarm. when someone enters the store; • Having height markers on exit doors to help wit - Other administrative and work practice controls, nesses provide more accurate descriptions of independent of engineering controls include: assailants; • Prohibit transactions with large bills (over $20). • Installing and regularly maintaining alarm sys - If this is not practical because of frequent trans - tems and other security devices, panic buttons, actions over $20, cash levels should be kept as handheld alarms or noise devices, cellular low as practical. Workers should not carry busi - phones and private channel radios where risk is ness receipts on their persons unless it is apparent or may be anticipated; absolutely necessary. • Arranging for a reliable response system when • When possible, increase staffing levels at stores an alarm is triggered; with a history of robbery or assaults, or located • Installing fences and other structures to direct in high crime areas. Use the "buddy system," the flow of customer traffic into and around the especially when personal safety may be threat - store; ened. • Controlling access to the store with door entry • Establish rules and practices to ensure that (buzzer) systems; workers can walk to garbage areas and outdoor • Installing physical barriers such as bullet-resis - storage areas without increasing their risk of tant enclosures with pass-through windows assault. between customers and workers; and • Establish liaison with local police and state pros - • Using drop safes to limit the availability of cash ecutors. Report all incidents of violence. Give to cashiers and posting signs which state that police physical layouts of facilities to expedite cashiers have limited access to cash. investigations. • Require workers to report all assaults or threats Minimizing Risk through Administrative to a supervisor or manager (for example, and Work Practice Controls through a confidential interview). Keep log Administrative and work practice controls affect the books and reports of such incidents to help way workers perform their jobs or specific tasks. determine any necessary actions to prevent Changes in work practices and administrative pro - recurrences.

RECOMMENDATIONS FOR WORKPLACE VIOLENCE PREVENTION PROGRAMS IN 9 LATE-NIGHT RETAIL ESTABLISHMENTS • Advise workers of company procedures for ten over time. Appendix B contains sample inci - requesting police assistance or filing charges dent report forms that an employer may use or when assaulted if necessary. adapt. • Provide management support during emergen - • Informing management about the incident. cies. Respond promptly to all complaints. Victims of workplace violence suffer a variety of • Set up a trained response team to respond to consequences, in addition to their actual physical emergencies. injuries. These may include: • Use properly trained security officers to deal • Short- and long-term psychological trauma; with aggressive behavior. Follow written security • Fear of returning to work; procedures. • Changes in relationships with coworkers and • Discourage workers from wearing necklaces or family; chains to help prevent possible strangulation in • Feelings of incompetence, guilt, powerlessness; confrontational situations. and • Provide staff members with security escorts to • Fear of criticism by supervisors or managers. parking areas in evening or late hours. Ensure that parking areas are highly visible, well lit and Consequently, a strong follow-up program for safely accessible to the building. these workers will not only help them to deal with Administrative controls work only if they are fol - these problems, but also help prepare them to con - lowed. Employers should monitor workers regular - front or prevent future incidents of violence. ly to ensure that proper work practices are being Several types of assistance can be incorporated used. Employers should also provide periodic con - into the post-incident response. For example, trau - structive feedback to workers to ensure that they ma crisis counseling, critical incident stress debrief - understand and appreciate the importance of these ing or employee assistance programs may be pro - procedures. vided to assist victims. Certified employee assis - tance professionals, psychologists, psychiatrists, Employer Responses to Incidents of Violence clinical nurse specialists or social workers may pro - Post-incident responses and evaluations are essen - vide this counseling or the employer may refer tial for an effective violence prevention program. workers to an outside specialist. In addition, the Policies should include standard operating proce - employer may establish an employee counseling dures for management and workers to follow in the service, peer counseling or support groups. aftermath of a violent incident. Response proce - Counselors should be well trained and have a dures should ensure that the incident is properly good understanding of the issues and conse - investigated, workers receive the appropriate atten - quences of assaults and other aggressive, violent tion and, in the event of injury, injured workers behavior. Appropriate and promptly rendered post- receive prompt and appropriate medical treatment. incident debriefings and counseling reduce acute Such procedures may include the following: psychological trauma and general stress levels • Providing prompt first aid and emergency med - among victims and witnesses. In addition, this type ical treatment for injured workers, which may of counseling educates staff about workplace vio - include transportation to the local emergency lence and positively influences workplace and orga - medical facility. nizational cultural norms to reduce trauma associat - ed with future incidents. • Reporting incidents to the police or notifying other authorities as required by applicable laws Safety and Health Training and regulations. 8 Training and education ensure that all staff mem - • Securing the premises to safeguard evidence bers are aware of potential security hazards and and reduce distractions during the post-incident how to protect themselves and their coworkers response process so that police or authorities through established policies and procedures. may investigate properly. Workers with different jobs and responsibilities • Preparing an incident report immediately after may need different types and levels of training. the incident, noting details that might be forgot - Training for All Employees 8 As required by 29 CFR 1904.39(a), all employers must report Every employee, including supervisors and man - to OSHA, within eight hours, a fatality resulting from a work - place incident or the hospitalization of three or more employ - agers, should understand the concept of “universal ees resulting from a workplace incident.

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Occupational Safety and Health Administration precautions for violence,” 9 which refers to the con - who forget safety measures should be retrained. cept that violence should be expected but can be New, reassigned, temporary and visiting workers avoided or mitigated through proper precautionary should receive the same training as permanent preparation. Workers need to know the specific haz - staff. In addition, establishments with high worker ards associated with their jobs and worksite to help turnover may need to provide training more fre - them minimize their risk of assault and injury. quently. Training should include information on worksite- The training program should also include an specific potential hazards and instructions on how evaluation. At least annually, the team or coordina - to control those hazards. Training should also tor responsible for the program should review its include guidance to limit workers from intervening content, methods and the frequency of training. in workplace altercations whenever possible unless Program evaluations may involve supervisor and enough staff or emergency response teams and worker interviews, testing, observing, and reviewing security personnel are available. Topics may include reports of behavior of individuals in threatening sit - the following: uations. • An overview of the potential risk of assault; Training for Supervisors/Managers • The workplace violence prevention policy; and Security Personnel • Operational procedures, such as cash handling Supervisors and managers need to recognize high- rules, designed to reduce risk; risk situations, so they can ensure that workers are • Proper use of security measures and engineer - not placed in assignments that compromise their ing controls designed to reduce risk; safety. Following training, supervisors and man - • Early recognition of escalating behavior or agers should be able to recognize a potentially haz - recognition of warning signs of situations that ardous situation and to make any necessary may lead to assaults; changes in the physical worksite and/or policies and • Behavioral strategies such as conflict resolution procedures to reduce or eliminate hazards. They and aggression management techniques to should also be able to handle traumatized workers. defuse tense situations and reduce the likelihood Security personnel need specific training relating of a violent outcome; to the worksite, including the psychological compo - nents of handling aggressive and abusive store • The location and operation of safety devices patrons, and ways to handle aggression and defuse such as alarm systems, along with required hostile situations. maintenance schedules and procedures; • Policies and procedures for reporting the inci - Recordkeeping and dent to the proper authorities, as well as record - Program Evaluations keeping; Recordkeeping and evaluations of the violence pre - • Policies and procedures for obtaining medical vention program are necessary to determine its care, counseling, workers’ compensation or legal overall effectiveness and identify any deficiencies. assistance after a violent episode or injury; • Specific instructions on how to respond to a rob - Records Employers Should Maintain bery such as turning over money or valuables Recordkeeping is essential to the program’s suc - without resistance, and how to respond to cess. Good records help employers determine the attempted shoplifting; and severity of the problem, evaluate methods of hazard control and identify training needs. Records can be • Emergency action procedures to be followed in especially useful to large organizations and mem - the event of a robbery or violent incident. bers of a business group or trade association who Qualified trainers should provide instruction at “pool” data. Through trend analysis, records of the comprehension level appropriate for workers. injuries, illnesses, accidents, assaults, hazards, Effective training programs involve role-playing, corrective actions, histories and training can help simulations and drills. At a minimum, employers identify problems and solutions for an effective should provide required training annually. Workers program. Employers can tailor their recordkeeping prac - 9 The concept of “universal precautions” began in the medical tices to the needs of their violence prevention pro - field and refers to the practice of assuming that all patients are gram. Maintaining records enables employers to infectious and therefore requires avoiding contact with patients' bodily fluids by means of wearing the appropriate monitor ongoing efforts to deter workplace violence, personal protective equipment.

RECOMMENDATIONS FOR WORKPLACE VIOLENCE PREVENTION PROGRAMS IN 11 LATE-NIGHT RETAIL ESTABLISHMENTS to determine if a violence prevention program is management should review the program regularly, working and to identify ways to improve it. and with each incident, evaluate its success. Important records employers may maintain Responsible parties (including managers, supervi - include: sors and workers) should reevaluate policies and • OSHA Log of Work-Related Injuries and Illnesses procedures on a regular basis to identify deficien - (OSHA Form 300). Employers who are required cies and take corrective action. to keep this log must record any new work-relat - Management should share workplace violence ed injury that results in death, days away from prevention evaluation reports with all workers. Any work, days of restriction or job transfer, medical changes in the programs should be discussed at treatment beyond first aid, loss of consciousness regular meetings of the safety committee, and with or a significant injury diagnosed by a licensed union representatives or other worker groups. healthcare professional. Injuries caused by All reports should protect worker confidentiality assaults must be entered on the log if they meet either by presenting only aggregate data or by the recording criteria. removing personal identifiers if individual data are used. • Medical reports of work injury and supervisors’ The processes involved in an evaluation should reports for each recorded assault. These records include: should describe the type of assault, such as an unprovoked sudden attack or patron-to-patron • Establishing a uniform violence reporting system altercation; who was assaulted; and all other cir - and regular review of reports; cumstances of the incident. The records should • Reviewing reports and minutes from staff meet - include a description of the environment or loca - ings on safety and security issues; tion, potential or actual cost, lost work time that • Analyzing trends and rates in injuries, illnesses resulted and the nature of injuries sustained. or fatalities caused by violence relative to initial These medical records are confidential docu - or “baseline” rates; ments and should be kept in a locked location • Measuring improvement based on lowering the under the direct responsibility of a healthcare frequency and severity of workplace violence; professional. • Keeping up-to-date records of administrative and • Records of incidents of abuse, verbal attacks or work practice changes to prevent workplace vio - aggressive behavior that may be threatening, lence and to evaluate how well they work; such as pushing or shouting and acts of aggres - sion toward other clients. These records may be • Surveying workers before and after making job kept as part of an incident report. Employers or worksite changes or installing security meas - should ensure that the affected department eval - ures or new systems to determine their effective - uates these records routinely. (See sample vio - ness; lence incident forms in Appendix B.) • Keeping abreast of new strategies available to • Documentation of minutes of safety meetings, address violence in retail establishments, as they records of hazard analyses and corrective actions develop; recommended and taken. • Complying with OSHA and State requirements • Records of all training programs, attendees and for recording and reporting injuries, illnesses and qualification of trainers. deaths; and • Requesting periodic law enforcement or outside Program Evaluation Elements consultant review of the worksite for recommen - As part of their overall program, employers should dations on improving worker safety. evaluate their safety and security measures. Top

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Occupational Safety and Health Administration Conclusion

Workplace violence has emerged as a major occu - pational safety and health issue in many industries, especially the retail trade. OSHA’s voluntary recom - mendations offer systematic frameworks to help employers protect workers from risks of injury and death from occupationally-related violence. By treat - ing workplace violence as a preventable hazard, employers can develop practical, effective strategies to protect their workers from this serious risk and provide a safe, healthful working environment.

RECOMMENDATIONS FOR WORKPLACE VIOLENCE PREVENTION PROGRAMS IN 13 LATE-NIGHT RETAIL ESTABLISHMENTS Appendices

Appendix A: Not all of the questions listed here fit all types of Sample Workplace Violence Factors retail businesses, and these checklists obviously do and Control Checklists not include all possible topics specific businesses need. Employers should expand, modify, and adapt These sample checklists can help employers identify these checklists to fit their own circumstances. present or potential workplace violence problems. These suggestions are not new regulations or stan - They contain various factors and controls that are dards, and the fact that an employer does not adopt commonly encountered in retail establishments. a listed control does not prove a violation of the General Duty clause. (“N/A” stands for “not applica - ble”).

Sample Checklist 1:

Yes No N/A Environmental Factors Do workers exchange money with the public? Is the business open during evening or late-night hours? Is the site located in a high crime area? Has the site experienced a robbery in the past 3 years? Has the site experienced other violent acts in the past 3 years? Has the site experienced threats, harassment, or other abusive behavior in the past 3 years? Yes No N/A Engineering Controls Do workers have access to a telephone with an outside line? Are emergency telephone numbers for law enforcement, fire and medical services, and an internal contact person posted next to the phone? Are emergency telephone numbers programmed into company telephones? Is the entrance to the building easily seen from the street and free of heavy shrub growth? Is lighting bright in outside, parking and adjacent areas? Are windows and views outside and inside clear of advertising or other obstructions? Is the cash register in plain view of customers and police cruisers to deter robberies? Is there a working drop safe or time access safe to minimize cash on hand? Are security cameras and mirrors placed in locations that would deter robbers or provide greater security for employees? Are there height markers on exit doors to help witnesses provide more complete descriptions of assailants? Are employees protected through the use of bullet-resistant enclosures in locations with a history of robberies or assaults in a high crime area? Yes No N/A Administrative/Work Practice Controls Are there emergency procedures in place to address robberies and other acts of potential violence? Have workers been instructed to report suspicious persons or activities? Are workers trained in emergency response procedures for robberies and other crimes that may occur on the premises?

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Occupational Safety and Health Administration Yes No N/A Administrative/Work Practice Controls ( continued ) Are workers trained in conflict resolution and in nonviolent response to threatening situations? Is cash control a key element of the establishment’s violence and robbery prevention program? Does the site have a policy limiting the number of cash registers open during late-night hours? Does the site have a policy to maintain less than $50 in the cash register? (This may not be possible in stores that have lottery tickets and payouts.) Are signs posted notifying the public that limited cash, no drugs, and no other valuables are kept on the premises? Do workers have at least one other person throughout their shifts, or are other protective measures utilized when workers are working alone in locations with a history of robberies or assaults in a high crime area? Are there procedures in place to assure the safety of workers who open and close the store?

RECOMMENDATIONS FOR WORKPLACE VIOLENCE PREVENTION PROGRAMS IN 15 LATE-NIGHT RETAIL ESTABLISHMENTS Sample Checklist 2 – Self Inspection Security Checklist: Reprinted with permission of the Hartford Financial Services Group, Inc., Workplace Violence Prevention Program Loss ControlTIPS – Technical Information Paper Series

Facility: Inspector: Date of Inspection:

Security Control Plan? J Yes J No If yes, does it contain: Policy Statement? J Yes J No Review of Worker Incident Exposure? J Yes J No Methods of Control? J Yes J No If yes, does it include: Engineering J Yes J No Work practice J Yes J No Training J Yes J No Reporting procedures J Yes J No Recordkeeping J Yes J No Counseling J Yes J No Evaluation of incidents? J Yes J No Floor Plan? J Yes J No Protection of Assets? J Yes J No Computer Security? J Yes J No Plan accessible to all workers? J Yes J No Plan reviewed and updated annually? J Yes J No Plan reviewed and updated when tasks added or changed? J Yes J No

Policy statement by employer? J Yes J No

Work areas evaluated by employer? J Yes J No If yes, how often? ______

Engineering controls? J Yes J No If yes, does it include: Mirrors to see around corners and in blind spots? J Yes J No Landscaping to provide unobstructed view of the workplace? J Yes J No "Fishbowl effect" to allow unobstructed view of the interior? J Yes J No Limiting the posting of sale signs on windows? J Yes J No Adequate lighting in and around the workplace? J Yes J No Parking lot well lighted? J Yes J No Door control(s)? J Yes J No Panic button(s)? J Yes J No Door detector(s)? J Yes J No Closed circuit TV? J Yes J No

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Occupational Safety and Health Administration Stationary metal detector? J Yes J No Sound detection? J Yes J No Intrusion detection system? J Yes J No Intrusion panel? J Yes J No Monitor(s)? J Yes J No Videotape recorder? J Yes J No Switcher? J Yes J No Handheld metal detector? J Yes J No Handheld video camera? J Yes J No Personnel traps ("Sally Traps")? J Yes J No Other? J Yes J No

Structural modifications Plexiglas, glass guard, wire glass, partitions, etc.? J Yes J No

If yes, comment: ______

Security guards? J Yes J No If yes, are there an appropriate number for the site? J Yes J No Are they knowledgeable of the company WPVP Policy? J Yes J No Indicate if they are: ______Contract Guards (1) ______In-house Workers (2) At Entrance(s)? J Yes J No Building Patrol? J Yes J No Guards provided with communication? J Yes J No

If yes, indicate what type: ______

Guards receive training on Workplace Violence situations? J Yes J No

Comments: ______

Work practice controls? J Yes J No If yes, indicate: Desks clear of objects which may become missiles? J Yes J No Unobstructed office exits? J Yes J No Vacant (Bare) cubicles available? J Yes J No Reception area available? J Yes J No Visitor/client sign in/out? J Yes J No Visitor(s)/client(s) escorted? J Yes J No One entrance used? J Yes J No Separate interview area(s)? J Yes J No

RECOMMENDATIONS FOR WORKPLACE VIOLENCE PREVENTION PROGRAMS IN 17 LATE-NIGHT RETAIL ESTABLISHMENTS I.D. badges used? J Yes J No Emergency numbers posted by phones? J Yes J No Internal phone system? J Yes J No If yes, indicate: Does it use 120 VAC building lines? J Yes J No Does it use phone lines? J Yes J No Internal procedures for conflict (problem) situations? J Yes J No Procedures for worker dismissal? J Yes J No Limit spouse & family visits to designated areas? J Yes J No Key control procedures? J Yes J No Access control to the workplace? J Yes J No Objects which may become missiles removed from area? J Yes J No Parking prohibited in fire zones? J Yes J No Other:______Workplace Violence Prevention Program © 2008 The Hartford Loss Control Department

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Occupational Safety and Health Administration Sample Checklist 3 – Workplace Violence Inspection Checklist: This checklist was adapted from Violence on the Job: A Guidebook for Labor and Management , published by the Labor Occupational Health Program, University of California, Berkeley.

Staffing Is there someone responsible for building security? J Yes J No J Sometimes Notes ______Who is it? ______

Are workers told who is responsible for security? J Yes J No J Sometimes Notes ______

Is adequate and trained staffing available to protect workers against assaults or other violence? J Yes J No J Sometimes Notes ______

Is there a “buddy system” to use when workers are in potentially dangerous situations? J Yes J No J Sometimes Notes ______

Are there trained security personnel accessible to workers in a timely manner? J Yes J No J Sometimes Notes ______

Do security personnel have sufficient authority to take all necessary action to ensure worker safety? J Yes J No J Sometimes Notes ______

Are security personnel provided outside the building? J Yes J No J Sometimes Notes ______

Is the parking lot attended or otherwise secure? J Yes J No J Sometimes Notes ______

Are security escorts available to walk workers to and from the parking lot? J Yes J No J Sometimes Notes ______

Training Are workers trained in the emergency response plan (for example, escape routes, notifying the proper authorities)? J Yes J No J Sometimes Notes ______

Are workers trained to report violent incidents or threats? J Yes J No J Sometimes Notes ______

Are workers trained in how to handle difficult customers? J Yes J No J Sometimes Notes ______

RECOMMENDATIONS FOR WORKPLACE VIOLENCE PREVENTION PROGRAMS IN 19 LATE-NIGHT RETAIL ESTABLISHMENTS Are workers trained in ways to prevent or defuse potentially violent situations? J Yes J No J Sometimes Notes ______

Are workers trained in personal safety and self-defense? J Yes J No J Sometimes Notes ______

Facility Design Are there enough exits and adequate routes of escape? J Yes J No J Sometimes Notes ______

Can exit doors be opened only from the inside to prevent unauthorized entry? J Yes J No J Sometimes Notes ______

Is the lighting adequate to see clearly in indoor areas? J Yes J No J Sometimes Notes ______

Are there worker-only work areas that are separate from public areas? J Yes J No J Sometimes Notes ______

Is a secure place available for workers to store their personal belongings? J Yes J No J Sometimes Notes ______

Are private, locked restrooms available for staff? J Yes J No J Sometimes Notes ______

Security Measures Does the workplace have: Physical barriers (Plexiglas partitions, elevated counters to prevent people from jumping over them, bulletproof customer windows, etc.)? J Yes J No J Sometimes Notes ______

Security cameras or closed-circuit TV in high risk areas? J Yes J No J Sometimes Notes ______

Panic buttons (portable or fixed)? J Yes J No J Sometimes Notes ______

Alarm systems? J Yes J No J Sometimes Notes ______

Internal phone system to activate emergency assistance? J Yes J No J Sometimes Notes ______

Phones with an outside line programmed to call 911? J Yes J No J Sometimes Notes ______

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Occupational Safety and Health Administration Two-way radios, pagers or cellular phones? J Yes J No J Sometimes Notes ______

Security mirrors (convex mirrors)? J Yes J No J Sometimes Notes ______

Secured entry (buzzers)? J Yes J No J Sometimes Notes ______

Personal alarm devices? J Yes J No J Sometimes Notes ______

Outside The Facility Do workers feel safe walking to and from the workplace? J Yes J No J Sometimes Notes ______

Are the entrances to the building clearly visible from the street? J Yes J No J Sometimes Notes ______

Is the area surrounding the building free of bushes or other hiding places? J Yes J No J Sometimes Notes ______

Is video surveillance provided outside the building? J Yes J No J Sometimes Notes ______

Is there enough lighting to see clearly outside the building? J Yes J No J Sometimes Notes ______

Are all exterior walkways visible to security personnel? J Yes J No J Sometimes Notes ______

Is there a nearby parking lot reserved for workers only? J Yes J No J Sometimes Notes ______

Is the parking lot free of bushes or other hiding places? J Yes J No J Sometimes Notes ______

Is there enough lighting to see clearly in the parking lot and when walking to the building? J Yes J No J Sometimes Notes ______

Have neighboring facilities and businesses experienced violence or crime? J Yes J No J Sometimes Notes ______

RECOMMENDATIONS FOR WORKPLACE VIOLENCE PREVENTION PROGRAMS IN 21 LATE-NIGHT RETAIL ESTABLISHMENTS Workplace Procedures Is public access to the building controlled? J Yes J No J Sometimes Notes ______

Are floor plans posted showing building entrances, exits? J Yes J No J Sometimes Notes ______

Are these floor plans visible only to staff and not to outsiders? J Yes J No J Sometimes Notes ______

Is other emergency information posted, such as telephone numbers? J Yes J No J Sometimes Notes ______

Are special security measures taken to protect people who work late at night (escorts, locked entrances, etc.)? J Yes J No J Sometimes Notes ______

Are authorized visitors to the building required to wear ID badges? J Yes J No J Sometimes Notes ______

Are identification tags required for staff (omitting personal information such as the person’s last name and Social Security number)? J Yes J No J Sometimes Notes ______

Are workers notified of past violent activity? J Yes J No J Sometimes Notes ______

Is there an established liaison with local police? J Yes J No J Sometimes Notes ______

Are broken windows and locks repaired promptly? J Yes J No J Sometimes Notes ______

Are security devices (locks, cameras, alarms, etc.) tested on a regular basis and repaired promptly when necessary? J Yes J No J Sometimes Notes ______

Field Work Staffing: Is there adequate staffing in the establishment? J Yes J No J Sometimes Notes ______

Are escorts or “buddies” provided for people who work in potentially dangerous situations? J Yes J No J Sometimes Notes ______

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Occupational Safety and Health Administration Training: Are workers briefed about the area in which they will be working (gang colors, neighborhood cul - ture, language, drug activity, etc.)? J Yes J No J Sometimes Notes ______

Are workers who work late at night or early mornings advised about special precautions to take? J Yes J No J Sometimes Notes ______

Work Environment: Is there enough lighting to see clearly in all areas where workers must go? J Yes J No J Sometimes Notes ______

Are there safe places for workers to eat, use the restroom, store valuables, etc.? J Yes J No J Sometimes Notes ______

Are there places where workers can go for protection in an emergency? J Yes J No J Sometimes Notes ______

Is safe parking readily available for workers? J Yes J No J Sometimes Notes ______

Security Measures: Are workers provided two-way radios, pagers or cellular phones? J Yes J No J Sometimes Notes ______

Are workers provided with personal alarm devices or portable panic buttons? J Yes J No J Sometimes Notes ______

Are vehicle door and window locks controlled by the driver? J Yes J No J Sometimes Notes ______

Are vehicles equipped with physical barriers (Plexiglas partitions, etc.)? J Yes J No J Sometimes Notes ______

Work Procedures: Are workers given maps and good directions covering the areas where they will be working? J Yes J No J Sometimes Notes ______

Are workers given alternative routes to use in neighborhoods with a high crime rate? J Yes J No J Sometimes Notes ______

Does a policy exist to allow workers to refuse service to unruly customers? J Yes J No J Sometimes Notes ______

RECOMMENDATIONS FOR WORKPLACE VIOLENCE PREVENTION PROGRAMS IN 23 LATE-NIGHT RETAIL ESTABLISHMENTS Has a liaison with the police been established? J Yes J No J Sometimes Notes ______

Do workers avoid carrying unnecessary items, which someone could use as a weapon against them? J Yes J No J Sometimes Notes ______

Is a safe vehicle or other transportation provided by the employer for use when conducting company business? J Yes J No J Sometimes Notes ______

Are vehicles used in the field routinely inspected and kept in good working order? J Yes J No J Sometimes Notes ______

Is there always someone who knows where each worker is while traveling during business hours? J Yes J No J Sometimes Notes ______

Are workers notified of past violent acts committed by customers or other personnel? J Yes J No J Sometimes Notes ______

Are special precautions taken when workers: Perform “enforcement” functions (parking control officers, inspectors, etc.)? J Yes J No J Sometimes Notes ______

Have to take something away from customers (illegal credit cards)? J Yes J No J Sometimes Notes ______

Have contact with people who behave violently? J Yes J No J Sometimes Notes ______

Have contact with dangerous animals (dogs, rodents, etc.)? J Yes J No J Sometimes Notes ______

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Occupational Safety and Health Administration Appendix B: Incident Report Forms Sample Incident Report Form 1: This incident report was adapted from Violence on the Job: a Guidebook for Labor and Management , published by the Labor Occupational Health Program, University of California, Berkeley.

Workplace Violence Incident Report Form

Personal Informatio n Name ( optional )

J Male J Female

Job title

Facility/employer address

Years in current job

Incident Description Date incident occurred

Time incident occurred

Location where incident occurred ( be specific )

Describe the incident

RECOMMENDATIONS FOR WORKPLACE VIOLENCE PREVENTION PROGRAMS IN 25 LATE-NIGHT RETAIL ESTABLISHMENTS Type of incident ( check all that apply ) J Grabbed J Pushed J Slapped J Kicked J Scratched J Hit with fist J Hit with object J Bitten J Knifed (or attempted) J Shot (or attempted) J Sexually assaulted J Assaulted with weapon J Threatened with weapon J Verbally harassed J Verbally threatened J Bomb threat J Animal attack J Robbery J Vandalism (employer’s property) J Vandalism (own property) J Other J Arson

What type of weapon was used? How was the weapon obtained?

Were you working alone? If no, who was with you that may have witnessed the incident?

Were security personnel on duty at the time of the assault? If yes, was security notified? Did security respond? When?

Who threatened or assaulted you? J Client/customer J Patient J Parent J Student J Family/friend of client or patient J Co-worker J Supervisor/manager J Stranger J Passenger J Person in custody J Animal J Spouse or partner J Former spouse or partner J Other J Robber/burglar

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Occupational Safety and Health Administration Were any threats made before the incident occurred? If yes, did you ever report to your supervisor or manager that you were threatened, harassed or suspicious that the attacker may become violent?

Incident Analysis J Yes J No Has this type of incident occurred before at the workplace?

What do you think were the main factors that contributed to the incident?

What could have prevented or at least minimized the damage caused by this incident?

Post-Incident Response J Yes J No Did you require medical attention as a result of the incident? J Yes J No Did you miss work as a result of the incident? J Yes J No Did you apply for workers’ compensation? J Yes J No Was the incident reported to a supervisor or manager? J Yes J No Was a police report filed? J Yes J No Was immediate counseling provided to affected workers and witnesses who desired it? J Yes J No Was critical incident debriefing provided to all affected staff who desired it? J Yes J No Was post-trauma (follow-up) counseling provided to all affected staff who desired it? J Yes J No Was all counseling provided by a professional counselor? J Yes J No Was the counseling effective? J Yes J No Was the victim advised about legal rights?

Report completed by Department/Job Title/Union Position

Date Phone number E-mail

RECOMMENDATIONS FOR WORKPLACE VIOLENCE PREVENTION PROGRAMS IN 27 LATE-NIGHT RETAIL ESTABLISHMENTS Sample Incident Report Form 2: Reprinted with permission of the Hartford Financial Services Group, Inc., Workplace Violence Prevention Program Loss ControlTIPS—Technical Information Paper Series .

Victim’s Name Job Title Victim’s Address Home Phone Number Work Phone Number Employer’s Name and Address Department/Section Victim’s Social Security Number Incident Date Incident Time Incident Location Work Location ( if different ) Type of Incident: ( check one) J Assault J Robbery J Harassment J Disorderly Conduct J Sex Offense J Other ( Please Specify ) (See Definition of Incidents Worksheet ) Were You Injured? J Yes J No If yes, please specify your injuries and the location of any treatment

Did Police Respond to Incident J Yes J No What Police Department Police Report Filed J Yes J No Report Number Was Your Supervisor Notified J Yes J No Supervisor’s Name Was the Local Union/Employee Representative Notified J Yes J No Who should be notified Was Any Action Taken By Employer (specify)

Assailant/Perpetrator (check one) J Intruder J Customer J Patient J Resident J Client J Visitor J Student J Co-Worker J Former Worker J Supervisor J Family/Friend J Other ( specify )

21. Assailant/Perpetrator—Name/Address/Age (if known):

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Occupational Safety and Health Administration Please Briefly Describe the Incident

Incident Disposition J No action taken J Arrest J Warning J Suspension J Reprimand J Other ( Please Specify )

Did The Incident Involve A Weapon: J Yes J No Specify Did You Lose Any Workdays: J Yes J No Specify Were You Singled Out Or Was The Violence Directed At More Than One Individual

Were You Alone When The Incident Occurred

Did You Have Any Reason To Believe Than An Incident Might Occur J Yes J No Why Has This Type Or Similar Incident(s) Happened To You Or Your Co-workers: J Yes J No Specify Have You Had Any Counseling Or Support Since The Incident: J Yes J No Specify What Do You Feel Can Be Done In The Future To Avoid Such An Incident

Was This Assailant Involved In Previous Incidents

Are There Any Measures In Place To Prevent Similar Incidents: J Yes J No Specify Has Corrective Action Been Taken: J Yes J No Specify

Comments

RECOMMENDATIONS FOR WORKPLACE VIOLENCE PREVENTION PROGRAMS IN 29 LATE-NIGHT RETAIL ESTABLISHMENTS Definition of Incidents Assault The intentional use of physical injury, (impairment of physical condition or substantial pain) to another person, with or without a weapon or dangerous instrument.

Criminal Mischief Intentional or reckless damaging of the property of another person without permission.

Disorderly Conduct Intentionally causing public inconvenience, annoyance or alarm or recklessly creating a risk thereof by fighting (without injury) or violent, numinous (mysterious) or threatening behavior or making unreasonable noise, shouting abuse, misbehaving, disturbing an assembly or meeting or persons or creating hazardous conditions by an act which serves no legitimate purpose.

Harassment Intentionally striking, shoving or kicking another or subjecting another person to physical contact, or threatening to do the same (without physical injury). ALSO, using abusive or obscene language or following a person in/about a public place, or engaging in a course of conduct which alarms or seriously annoys another person.

Larceny Wrongful taking, depriving or withholding property from another (no force involved). Victim may or may not be present.

Menacing Intentionally places or attempts to place another person in fear of imminent serious physical injury.

Reckless Endangerment Subjecting individuals to danger by recklessly engaging in conduct which creates substantial risk of serious physical injury.

Robbery Forcible stealing of another’s property by use of threat or immediate physical force. Victim is present and aware of theft.

Sex Offense Public Lewdness: Exposure of sexual organs to others. Sexual Abuse: Subjecting another to sexual contact without consent. Sodomy: A deviant sexual act committed as in rape. Rape: Sexual intercourse without consent.

Workplace Violence Prevention Program © 2008 The Hartford Loss Control Department

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Occupational Safety and Health Administration Appendix C: States with Workplace Violence Standards

Below are examples of State Plan standards that address workplace violence. If employers main - tain businesses in any state plan states they should contact the state occupational safety and health office to ensure that they have the most current standards.

New Mexico The New Mexico Environmental Improvement Board, which issues occupational safety and health standards, issued a regulation (11.5.6) that requires convenience stores open between the hours of 11 p.m. and 5 a.m. either to have two workers on duty, or one clerk and a security guard, or to install bulletproof glass or other safety features to limit access to store personnel. See www.nmenv.state.nm.us/NMED_regs/osha/11nmac5_6.doc for more information.

Washington Several existing provisions of the Washington Administrative Code (WAC) may apply to the haz - ards of violence in the workplace. The provision that is specific to late-night retail is: WAC 296- 832, the “Late Night Retail Workers Crime Protection Standard,” provides specific violence-related direction to retail businesses that operate between 11:00 p.m. and 6:00 a.m. Restaurants, hotels, taverns and lodging facilities are beyond the scope of this rule. See http://lni.wa.gov/Safety/Rules/ Policies/PDFs/WRD505.pdf for more information.

RECOMMENDATIONS FOR WORKPLACE VIOLENCE PREVENTION PROGRAMS IN 31 LATE-NIGHT RETAIL ESTABLISHMENTS Appendix D: Bachman, R. (1994). “Violence and Theft in the Bibliography and References Workplace.“ National Crime Victimization Survey . Washington, DC: U.S. Department of Bibliography Justice, Bureau of Justice Statistics. Albence, M.T. (1994). “Convenient Targets: An Examination of Convenience Store Robberies Bellamy, L. (1995). “Situational Crime in Carbondale, Illinois, from 1986 to 1993.” Prevention Strategies for Combating Unpublished Master’sThesis, Southern Illinois Convenience Store Robbery.” Unpublished University at Carbondale. paper, Rutgers, The State University of New Jersey. Alexander, R.H., Franklin, G.M., and Wolf, M.L. (1994). “The sexual assault of women at work Bellamy, L. (1996). “Situational Crime in Washington State, 1980-1989.” American Prevention and Convenience Stores Robbery.” Journal of Public Health 84 (4):640-642. Security Journal 7:41-52.

Amandus, H.E. (1995). “Reevaluation of the Calder, J.D. and Bauer, J.R. (1992). effectiveness of environmental designs to “Convenience Store Robberies: Security reduce robbery risk in Florida convenience Measures and Store Robbery Incidents.” stores.” Journal of Occupational and Journal of Criminal Justice 20:553-556. Environmental Medicine 37:711-717. California State Department of Industrial Amandus, H.E. (1995). “Status of NIOSH Relations. (1994). CAL/OSHA Guidelines for research on prevention of robbery-related Workplace Security . San Francisco, CA: intentional injuries to convenience store work - Division of Occupational Safety and Health. ers.” National Institute of Justice Research Report: Trends, Risks, and Interventions in California State Department of Industrial Lethal Violence, Proceedings of Third Annual Relations. (1995). Model Injury and Illness Spring Symposium of the Homicide Research Prevention Program for Workplace Security . Working Group , Atlanta, GA. pp. 217-228. Clarke, R.V. (1983) “Situational Crime Amandus, H.E. (1997). “Convenience store rob - Prevention: Its theoretical basis and practical beries in selected metropolitan areas: Risk fac - scope.” Crime and Justice: An Annual Review tors for employees injury.“ Journal of of Research 4:225-256. Occupational and Environmental Medicine 39(5): 442-447. Clifton, W., Jr. and Callahan, P .T. (1987) Convenience Store Robberies: An Intervention American Insurance Services Group, Inc. Strategy by the City of Gainesville; Gainesville, (1994). “Workplace Violence: A Prevention FL: Gainesville Police Department. Program.” New York, N Y: American Insurance Services Group, Inc. Convenience Business Security Act . (1992) Supplement to Florida Statutes 1991. ASIS International (2005). Workplace Violence (§§ 812.1701 — 812.1750). Prevention and Response Guide . (http://www. asisonline.org/guidelines/guidelineswpvfinal.pdf). Cook, P.J. (1987). “Robbery Violence.“ Journal of Criminal Law & Criminology 78(2) pp. 357- Askari, E. (1997). “Violence on the Job: A 375. Guidebook for Labor and Management.” Berkeley, CA: University of California. Crow, W.J. and Bull, J.L. (1975). Robbery Deterrence: An Applied Behavioral Science Athena Research Corporation. (1981). “Robber Demonstration . La Jolla, CA: Western Interview Report.” Presented to Crime Behavioral Sciences Institute. Committee of the Southland Corporation, Dallas, TX. Crow, W.J., Erickson. R.J., and Scott, L. (1987), “Set Your Sights on Preventing Retail Violence.” Security Management 31 (9): 60-64.

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Occupational Safety and Health Administration Degner, R.L. et al. (1983), “Food Store Hales, T., et al. (1988). “Occupational Injuries Robberies in Florida: Detailed Crime Statistics.” Due to Violence.” Journal of Occupational and Florida Agricultural Market Research Center, Environmental Medicine 30(6): 483-487. Gainesville, FL. Hunter, R.D. (1999). “Convenience Store Erickson, R.J. (1991). “Convenience Store Robbery Revisited: A Review of Prevention Homicide and Rape.” In National Association of Results.” Journal of Security Administration Convenience Stores (Ed.). Convenience Store 22(1): pp. 1-14 Security . Alexandria, VA. pp. 29-101. Hunter, R.D. (1990). “Convenience store rob - Erickson, R.J. (1995). “Employer Liability for bery in Tallahassee: A Reassessment”, FL: Workplace Violence.” In Fitzpatrick, R. Tips on Journal of Security Administration. Employment Law 5:1-7. Washington, DC, American Bar Association. Hunter, R.D. and Jeffery, C.R. (1991). “Environmental Crime Prevention: An Analysis Erickson, R.J. (1996). Armed Robbers andTheir of Convenience Store Robberies,” Security Crimes . Seattle, WA: Athena Research. Journal 2(2): 78-83.

Erickson, R.J. (1996) “Retail Employees as a Jeffery, C.R., Hunter, R.D., and Griswold, J. Group at Risk for Violence.” Occupational (1987). “Crime Prevention and Computer Medicines: State of the Art Reviews 11(2): 269- Analysis of Convenience Store Robberies in 275. Tallahassee, Florida,” Florida Police Journal 34: 65-69. Erickson, R.J. (1998). Convenience Store Security at the Millennium . Alexandria, VA: Kinney, J.A., and Johnson, D.L. (1993). National Association of Convenience Stores. Breaking Point: the Workplace Violence Epidemic and What to Do about It . Chicago, IL: Federal Bureau of Investigation (1993). Crimes National Safe Workplace Institute. in the United States: Uniform Crime Reports. Washington, DC: United States Department of Kraus, J.F., Blander, B., and McArthur, D.L. Justice. (1995). “Incidence, Risk Factors and Prevention Strategies for Work-related Assault Injuries: A Figlio, R. and Aurand, S. (1991). “An Review of What is Known, What Needs to Be Assessment of Robbery Deterrence Measures Known, and Countermeasures for Intervention. at Convenience Stores.” In National Annual Review of Public Health (16)355-79. Association of Convenience Stores (Ed.). Convenience Store Security 103-138. Liberty Mutual (2004). Liberty mutual work - Alexandria, VA. pp. 103-138. place safety index: the direct costs and leading causes of workplace injuries. Boston, MA: Flannery, R.B., et al. (1991). “A program to help Liberty Mutual, 4 pp. [http://www.libertymutual. staff cope with psychological sequelae of com/omapps/ContentServer?cid=107843944803 assaults by patients.” Hospital Community 6&pagename=ResearchCenter%2FDocument% Psychiatry 42:935-938. 2FShowDoc&c=Document].

Flannery, R.B., et al. (1994). “Risk Factors for Matchulat, J.J. (2007). “Separating Fact from psychiatric inpatient assaults on staff.” Mental Fiction about Workplace Violence.” Employee Health Administration 21:24-31. Relations Law Journal 33(2) 14-22.

Flannery, R.B., et al. (1995). “The Assaulted NIOSH (2006). Workplace Violence Prevention Staff Action Program (ASAP): Guidelines for Strategies and Research Needs . Conference Fielding a Team.” In Vandenbos, G.R. and held in Baltimore, Maryland, November 17-19, Bulatao, E.Q. (Eds.). Violence on the Job 327- 2004. Cincinnati, OH: U.S. Department of 342. Washington, DC: American Psychological Health and Human Services, Centers for Association. Disease and Control Prevention, National

RECOMMENDATIONS FOR WORKPLACE VIOLENCE PREVENTION PROGRAMS IN 33 LATE-NIGHT RETAIL ESTABLISHMENTS Institute for Occupational Safety and Health. Virginia Crime Prevention Center. (1993). DHHS (NIOSH) Publication number 2006-144. Violent Crimes in Convenience Stores: Analysis [www.cdc.gov/niosh/docs/2006-144] of Crimes, Criminals, and Costs. House Document No. 30, Richmond, VA: Northwestern National Life Employee Benefits Commonwealth of Virginia. Division. (1993). Fear and Violence in the Workplace . Minneapolis, MN: Northwestern Washington Crime News Services. (1994). National Life Insurance Company. “New Police Approach Reduces Convenience Store Crime.” Crime Control Digest 28(1): 1, Pearson, G.W. (2005). “Controlling the Risk of 4-5. Violence in the Retail Workplace.” Risk Management . Workers’ Compensation Board of British Columbia. (1995). Take Care: How to Develop Reiss, A.J., Jr., and Roth, J.A. (Eds.). (1993). and Implement a Workplace Violence Understanding and Preventing Violence . Prevention Program (A Guide for Small Washington, DC: National Academy Press. Business). Vancouver, BC: Workers’ Compensation Board of British Columbia. Rugala, E.A., and Isaacs, A.R. (2004). Workplace violence: Issues in response . Quantico, VA: FBI Zahn, M.A. and Sagi, P.C. (1987). “Stranger Academy, Federal Bureau of Investigation, Homicides in Nine American Cities.” Journal of National Center for the Analysis of Violent Criminal Law & Criminology 78(2): 377-397. Crime, Critical Incident Response Group [www.fbi.gov/publications/violence.pdf]. References Schreiber, B. (1991). “Survey of Convenience Store Crime and Security.” Convenience store U.S. Department of Justice, Bureau of Justice security: report and recommendations. Statistics. (2001). National Crime Victimization Alexandria, VA: National Association of Survey. Violence in the Workplace , 1993-99. Convenience Stores. www.ojp.gov/bjs/pub/pdf/vw99.pdf

Toscano, G. and Weber, W. (1995). Violence in U.S. Department of Labor, Bureau of Labor the Workplace. Washington, DC: U.S. Statistics. (2008). Census of Fatal Occupational Department of Labor, Bureau of Labor Injuries , 2006. Statistics. www.bls.gov/iif/oshwc/cfoi/cftb0215.pdf

Toscano G. and Windau, J. (1994). “The U.S. Department of Labor, Bureau of Labor Changing Character of Fatal Work Injuries.” Statistics. (2007). Survey of Occupational Fatal Workplace Injuries in 1993: A Collection of Injuries and Illnesses , 2006. Data and Analysis 6-17. Washington, DC: U.S. www.bls.gov/iif/oshwc/osh/case/ostb1796.pdf Department of Labor, Bureau of Labor Statistics. U.S. Department of Labor, Bureau of Labor Statistics. (2006). Survey of Workplace Violence U.S. Department of Justice. (1994). Criminal Prevention , 2005. Victimization in the United States , 1992. Pub. www.bls.gov/iif/osh_wpvs.htm No. NCJ-145 125. Washington, DC.

U.S. Department of Labor, Bureau of Labor Statistics, (1994). Violence in the Workplace Comes Under Closer Scrutiny. Summary 94-10. Washington, DC.

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Occupational Safety and Health Administration OSHA Assistance

OSHA can provide extensive help through a variety of employer. Primarily developed for smaller employers programs, including technical assistance about effec - with more hazardous operations, the consultation tive safety and health programs, state plans, work - service is delivered by state governments employing place consultations, and training and education. professional safety and health consultants. Comprehen- sive assistance includes an appraisal of all mechanical Safety and Health Management systems, work practices, and occupational safety and System Guidelines health hazards of the workplace and all aspects of the employer’s present job safety and health program. In Effective management of worker safety and health addition, the service offers assistance to employers in protection is a decisive factor in reducing the extent developing and implementing an effective safety and and severity of work-related injuries and illnesses and health program. No penalties are proposed or cita - their related costs. In fact, an effective safety and tions issued for hazards identified by the consultant. health management system forms the basis of good OSHA provides consultation assistance to the employ - worker protection, can save time and money, increase er with the assurance that his or her name and firm productivity and reduce employee injuries, illnesses and any information about the workplace will not be and related workers’ compensation costs. routinely reported to OSHA enforcement staff. For To assist employers and workers in developing more information concerning consultation assistance, effective safety and health management systems, see OSHA’s website at www.osha.gov. OSHA published recommended Safety and Health Program Management Guidelines (54 Federal Register Strategic Partnership Program (16): 3904-3916, January 26, 1989). These voluntary OSHA’s Strategic Partnership Program helps encour - guidelines can be applied to all places of employment age, assist and recognize the efforts of partners to covered by OSHA. eliminate serious workplace hazards and achieve a The guidelines identify four general elements criti - high level of worker safety and health. Most strategic cal to the development of a successful safety and partnerships seek to have a broad impact by building health management system: cooperative relationships with groups of employers • Management leadership and worker involvement, and workers. These partnerships are voluntary rela - • Worksite analysis, tionships between OSHA, employers, worker repre - • Hazard prevention and control, and sentatives, and others (e.g., trade unions, trade and • Safety and health training. professional associations, universities, and other gov - ernment agencies). The guidelines recommend specific actions, under each of these general elements, to achieve an effective For more information on this and other agency safety and health management system. The Federal programs, contact your nearest OSHA office, or visit Register notice is available online at www.osha.gov. OSHA’s website at www.osha.gov.

State Programs OSHA Training and Education The Occupational Safety and Health Act of 1970 (OSH OSHA area offices offer a variety of information serv - Act) encourages states to develop and operate their ices, such as technical advice, publications, audiovisu - own job safety and health plans. OSHA approves and al aids and speakers for special engagements. OSHA’s monitors these plans. Twenty-five states, Puerto Rico Training Institute in Arlington Heights, IL, provides and the Virgin Islands currently operate approved basic and advanced courses in safety and health for state plans: 22 cover both private and public (state and Federal and state compliance officers, state consult - local government) employment; Connecticut, Illinois, ants, Federal agency personnel, and private sector New Jersey, New York and the Virgin Islands cover the employers, workers and their representatives. public sector only. States and territories with their own The OSHA Training Institute also has established OSHA-approved occupational safety and health plans OSHA Training Institute Education Centers to address must adopt standards identical to, or at least as effec - the increased demand for its courses from the private tive as, the Federal OSHA standards. sector and from other federal agencies. These centers are colleges, universities, and nonprofit organizations Consultation Services that have been selected after a competition for partici - Consultation assistance is available on request to pation in the program. employers who want help in establishing and main - OSHA also provides funds to nonprofit organiza - taining a safe and healthful workplace. Largely funded tions, through grants, to conduct workplace training by OSHA, the service is provided at no cost to the and education in subjects where OSHA believes there

RECOMMENDATIONS FOR WORKPLACE VIOLENCE PREVENTION PROGRAMS IN 35 LATE-NIGHT RETAIL ESTABLISHMENTS is a lack of workplace training. Grants are awarded www.osha.gov or contact the OSHA Publications annually. Office, U.S. Department of Labor, 200 Constitution For more information on grants, training and edu - Avenue, NW, N-3101, Washington, DC 20210; tele - cation, contact the OSHA Training Institute, Directorate phone (202) 693-1888 or fax to (202) 693-2498. of Training and Education, 2020 South Arlington Contacting OSHA Heights Road, Arlington Heights, IL 60005, (847) 297- To report an emergency, file a complaint, or seek 4810, or see Training on OSHA’s website at OSHA advice, assistance, or products, call (800) 321- www.osha.gov. For further information on any OSHA OSHA or contact your nearest OSHA Regional or Area program, contact your nearest OSHA regional office office listed at the end of this publication. The tele - listed at the end of this publication. typewriter (TTY) number is (877) 889-5627. Information Available Electronically Written correspondence can be mailed to the near - est OSHA Regional or Area Office listed at the end of OSHA has a variety of materials and tools available on this publication or to OSHA’s national office at: U.S. its website at www.osha.gov. These include electronic Department of Labor, Occupational Safety and Health tools, such as Safety and HealthTopics , eTools , Expert Administration, 200 Constitution Avenue, N.W., Advisors ; regulations, directives and publications; Washington, DC 20210. videos and other information for employers and work - By visiting OSHA’s website at www.osha.gov, you ers. OSHA’s software programs and eTools walk you can also: through challenging safety and health issues and • File a complaint online, common problems to find the best solutions for your • Submit general inquiries about workplace safety workplace. and health electronically, and OSHA Publications • Find more information about OSHA and occupa - tional safety and health. OSHA has an extensive publications program. For a listing of free items, visit OSHA’s website at

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Occupational Safety and Health Administration OSHA Regional Offices Region VII (IA*, KS, MO, NE) Two Pershing Square Region I 2300 Main Street, Suite 1010 (CT*, ME, MA, NH, RI, VT*) Kansas City, MO 64108-2416 JFK Federal Building, Room E340 (816) 283-8745 Boston, MA 02203 (617) 565-9860 Region VIII (CO, MT, ND, SD, UT*, WY*) Region II 1999 Broadway, Suite 1690 (NJ*, NY*, PR*, VI*) PO Box 46550 201 Varick Street, Room 670 Denver, CO 80202-5716 New York, NY 10014 (720) 264-6550 (212) 337-2378 Region IX Region III (AZ*, CA*, HI*, NV*, and American Samoa, (DE, DC, MD*, PA , VA*, WV) Guam and the Northern Mariana Islands) The Curtis Center 90 7th Street, Suite 18-100 170 S. Independence Mall West San Francisco, CA 94103 Suite 740 West (415) 625-2547 Philadelphia, PA 19106-3309 (215) 861-4900 Region X (AK*, ID, OR*, WA*) Region IV 1111 Third Avenue, Suite 715 (AL, FL, GA, KY*, MS, NC*, SC*, TN*) Seattle, WA 98101-3212 61 Forsyth Street, SW, Room 6T50 (206) 553-5930 Atlanta, GA 30303 (404) 562-2300 * These states and territories operate their own OSHA-approved job safety and health programs Region V and cover state and local government employees (IL*, IN*, MI*, MN*, OH, WI) as well as private sector employees. The 230 South Dearborn Street Connecticut, Illinois, New Jersey, New York and Room 3244 Virgin Islands plans cover public employees only. Chicago, IL 60604 States with approved programs must have stan - (312) 353-2220 dards that are identical to, or at least as effective as, the Federal OSHA standards. Region VI Note: To get contact information for OSHA Area (AR, LA, NM*, OK, TX) Offices, OSHA-approved State Plans and OSHA 525 Griffin Street, Room 602 Consultation Projects, please visit us online at Dallas, TX 75202 www.osha.gov or call us at 1-800-321-OSHA. (972) 850-4145

RECOMMENDATIONS FOR WORKPLACE VIOLENCE PREVENTION PROGRAMS IN 37 LATE-NIGHT RETAIL ESTABLISHMENTS