Recommendations for

Workplace Violence

Prevention Programs

in Late-Night Retail Establishments

OSHA 3153-12R 2009
Occupational Safety and Health Act of 1970

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This publication provides a general overview of a

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on OSHA compliance requirements, the reader

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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 workplace violence. In addition, the Act’s General Duty Clause, Section 5(a)(1), requires employers to provide their employees with a workplace free from recognized hazards likely to cause death or serious

physical harm.

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Occupational Safety and

Health Administration

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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Contents

Introduction 4

Violence Prevention Programs 6

Management Commitment andWorker

Involvement 6

Worksite Analysis 7

Hazard Prevention and Control 8

Safety and HealthTraining 10

Recordkeeping and Program Evaluations 11

Conclusion 13

Appendices 14

Appendix A:

SampleWorkplace Violence Factors

and Control Checklists 14

Appendix B:

Incident Report Forms 25

Appendix C:

States withWorkplace Violence Standards 31

Appendix D:

Bibliography and References 32

OSHA Assistance 35

OSHA Regional Offices 37
Introduction

Workplace violence, whether it is defined narrowly

to include only violent criminal acts, or broadly to

include verbal threats, has long affected retail workers. OSHA developed these recommendations to

help late-night retail employers design and implement prevention programs tailored to the workplace

violence hazards in their businesses. Existing data,

while limited, suggests that late-night retail establishments, such as convenience stores, liquor

stores, and gasoline stations, experience relatively

high homicide and assault rates. This booklet is

meant to provide guidance to retail employers so

they may avoid such incidents whenever possible.

By recognizing the hazards that lead to violent incidents and implementing appropriate prevention and

control measures, employers will improve the safety of their workers. OSHA encourages employers to

establish violence prevention programs and to track

their progress in reducing work-related assaults.

Although not every incident can be prevented, the

severity of injuries sustained by workers can be

reduced. Adopting practical measures, such as

those outlined in this publication, can significantly

reduce this serious threat to worker safety.

Extent of the Problem

According to the Bureau of Labor Statistics’ (BLS)

Census of Fatal Occupational Injuries for 2007,

assaults and violent acts claimed 864 lives in 2007

and represented over 15% of the total 5,657 workplace fatalities in the United States. Homicides represented the majority of these violent acts, claiming

628 lives in 2007, or 11% of fatalities. Over 26% of

those homicides (a total of 167) occurred in the

retail trades, with 39 occurring at convenience

stores, 32 occurring at gasoline stations and 7

occurring at liquor stores. While homicides have

shown a marked overall decline since 1994 when

they peaked at 1,080, they were the third leading

cause of work-related deaths in 2007, and remain a

serious risk for late-night retail workers.

Data from the BLS Survey of Occupational

Injuries and Illnesses for 2007 suggests that nonfatal violent incidents have also impacted retail work

sites. Overall, private industry experienced a 2.6

incidence rate1 for assault and violent acts (a total of

24,230 incidents) but convenience stores experienced a rate of over 20.0 (a total of 410 incidents).

In 2005, BLS conducted another survey specifically

on workplace violence prevention.

2 In this survey,

BLS asked employers about their establishments’

operations, programs and policies regarding workplace violence. These survey results showed that

while 4.8% of all private industry establishments

reported experiencing some form of workplace violence, 7.1% of employers from the retail trade reported experiencing such an incident. Retail trade establishments which did experience such incidents also

reported having higher rates of absenteeism due to

these incidents than did all private industry establishments. Surprisingly, while 28.3% of retail trade

employers reported that such incidents had negative impacts on workers, only 1.9% reported changing their program or policy after an incident occurred.

According to an earlier survey conducted by the

U.S. Bureau of Justice Statistics (BJS), retail sales

occupations had the third highest victimization rate,

after workers in the law enforcement and mental

health professions. The BJS National Crime

Victimization Survey (1993-1999) found that 20 out

of 1,000 workers in retail had experienced some

form of simple or aggravated assault in the workplace annually, and the rate for convenience store

and gas station workers was much higher. Their

rate was 53.9 and 68.3 per 1,000 workers, respectively. In addition, 21% of all workplace robberies

involved personnel in retail sales.

The risk factors

A number of factors put late-night retail workers at

risk. These include:

• The exchange of money (making them targets

for robbery);

• Solo work and isolated work sites;

• The sale of alcohol;

• Poorly lit stores and parking areas; and

• Lack of staff training in recognizing and managing escalating hostile and aggressive behavior.

An Effective Violence Prevention Program

In January 1989, OSHA published voluntary,

generic safety and health program management

guidelines,

3 followed by recommendations for work4

Occupational Safety and

Health Administration

1 Incidence rates for non-fatal injuries and illnesses involving

days away from work is defined as the number of incidents per

10,000 full-time workers.

2 BLS conducted this voluntary survey for the National Institute

for Occupational Safety and Health and the Centers for Disease

Control and Prevention. The Survey of Workplace Violence

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. 3 OSHA’s Safety and Health Program Management Guidelines;

Issuance of Voluntary Guidelines, 54 Fed. Reg. 3904-3916,

January 26, 1989.
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place violence prevention programs in late-night

retail establishments, published in 1998.

4 The violence prevention information presented in this document builds on those guidelines by identifying risk

factors and describing some feasible solutions.

Although not exhaustive, these workplace violence

guidelines include policy recommendations and

practical corrective methods to help prevent and

mitigate the effects of workplace violence in latenight retail establishments.

The goal of this document is to encourage

employers to implement programs to identify the

potential risks of workplace violence and to implement corrective measures. These recommendations

are not a “model program” or a rigid package of

violence prevention steps uniformly applicable to all

establishments. No single strategy is appropriate for

all businesses, since environmental and other risk

factors for workplace violence differ widely among

workplaces. Employers may use a combination of

strategies recommended in this document, as

appropriate, for their particular workplace.

While OSHA encourages employers to develop a

written program for workplace violence prevention,

the extent to which the components of the program

are in writing is less important than how effective

the program is in practice. By implementing appropriate hazard prevention and control measures, and

ensuring management and worker involvement,

employers will take the most critical steps in protecting their workplace from violent acts. A written

statement of policy serves as a touchstone for the

many separate plans, procedures and actions

required for an effective prevention program. In

smaller establishments, a program can be effective

without being documented. As the size of a workplace or the complexity of hazard control increases,

written guidance becomes more important as a way

to ensure clear communication and consistent application of policies and procedures. An employer

could create a separate workplace violence prevention program or incorporate this information into an

existing accident prevention program, employee

handbook, or manual of standard operating procedures.

These recommendations are not a new standard

or regulation and do not create any new OSHA

duties. Therefore, these recommendations are not

intended to establish a legal standard of care with

respect to workplace violence. Accordingly, these

recommendations do not impose any new legal

obligations or constraints on employers or the states.

4 OSHA’s Recommendations for Workplace Violence Prevention

Programs in Late-Night Retail Establishments, OSHA Publication

3153, 1998.
Violence Prevention Programs

Violence prevention programs should set clear

goals and objectives to prevent workplace violence.

The goals and objectives must be suitable for the

size and complexity of workplace operations. In

addition, the program should be adaptable to different situations at the worksite. Whatever format the

program takes, it is critical that employers clearly

explain the prevention program to all workers.

At a minimum, workplace violence prevention

programs should:

• Establish a clear policy for workplace violence,

verbal and nonverbal threats and related actions.

All personnel employed in the retail establishment should know the policy.

• Ensure that no worker who reports or experiences workplace violence faces reprisals.

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• Encourage workers to promptly report incidents

and suggest ways to reduce or eliminate risks.

Require records of incidents to assess risk and

measure progress.

• Outline a comprehensive plan for maintaining

security in the workplace. The plan should

include establishing a liaison with law enforcement representatives and others who can help

identify ways to prevent and mitigate workplace

violence.

• Assign responsibility and authority for the program to individuals or teams with appropriate

training and skills. Ensure that adequate

resources are available and that those responsible for the program develop expertise on workplace violence prevention in late-night retail

settings.

• Affirm management commitment to an environment that places as much importance on worker

safety and health as on serving store patrons.

Elements of an Effective Violence

Prevention Program

The four components of an effective safety and

health management system also apply to the prevention of workplace violence, and are:

• Management commitment and worker involvement;

• Worksite analysis;

• Hazard prevention and control; and

• Safety and health training.

Management Commitment and

Worker Involvement

Management commitment and worker involvement

are complementary and essential elements of an

effective safety and health management system. To

ensure an effective program, management and

frontline workers must work together. If employers opt to use a team or committee approach to

addressing this element they must be careful to

comply with the applicable provisions of the

National Labor Relations Act.

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Management Commitment

By obligating resources – both human capital and

financial – management provides the motivation

and ability to effectively address workplace violence. Management commitment should include:

• Demonstrating organizational concern for worker

emotional and physical safety and health, which

includes medical and psychological counseling

and debriefing for personnel who experience or

witness assaults and other violent incidents;

• Exhibiting equal commitment to the safety and

health of workers and store patrons;

• Assigning responsibility for the various aspects

of the workplace violence prevention program to

ensure that all managers, supervisors and workers understand their obligations;

• Allocating appropriate authority and resources

to all responsible parties;

• Maintaining a system of accountability for

involved managers, supervisors and workers;

• Supporting and implementing appropriate recommendations from safety and health committees; and

• Working constructively with other parties, such

as landlords, lessees, local police and other public safety agencies to improve security in and

around the worksite.

Worker Involvement

Worker involvement in violence prevention is

especially critical in the late-night retail setting.

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Occupational Safety and

Health Administration

5 Section 11(c)(1) of the OSH Act applies to protected activity

involving hazards of workplace violence as it does for other

health and safety matters: “No person shall discharge or in any

manner discriminate against any employee because such

employee has filed any complaint or instituted or caused to be

instituted any proceedings under or related to this Act or has testified or is about to testify in any such proceeding or because of

the exercise by such employee on behalf of himself or others of

any right afforded by this Act.”

6 29 U.S.C. 158(a)(2) stipulates that an employer can ask that an

employee confer but without loss of time or pay.
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Frontline workers are often the most knowledgeable of business procedures and the business environment – especially in situations where no manager is on duty. Workers’ experiences can help to

identify practical solutions to safety challenges.

The more inclusive the approach to developing a

workplace violence prevention plan, the more comprehensive it will be. In addition, workers who are

engaged in violence prevention programs are more

likely to support them and ensure their effectiveness.

Workers should be involved by:

• Contributing to the development of procedures

that address safety and security concerns,

including responding to surveys on these issues;

• Understanding and complying with the workplace violence prevention program and safety

and security measures;

• Reporting violent incidents promptly and accurately;

• Participating in safety and health committees or

teams that receive reports of violent incidents or

security problems, make facility inspections and

respond with recommendations for corrective

strategies; and

• Taking part in training programs and sharing onthe-job experiences that cover techniques to recognize escalating agitation, aggressive behavior

or criminal intent.

Worksite Analysis

A worksite analysis involves a step-by-step assessment to identify environmental and operational

risks for violence. The analysis entails reviewing

specific procedures or operations that contribute to

hazards, identifying areas where hazards may

develop and performing periodic safety audits.

Since the hazard analysis is the foundation for the

violence prevention program, it is important for the

employer to carefully consider the person(s) or

team that will conduct the analysis. If a team is

used, it should include representatives from senior

management, operations, workers, security, occupational safety and health personnel, legal and

human resources staff. A small business may only

need to assign the duty to a single worker or consultant.

The recommended program for worksite analysis

includes, but is not limited to:

• Analyzing and tracking records;

• Conducting screening surveys; and

• Analyzing workplace security.

Records Review and Analysis

To begin a hazard analysis an employer should

review previous business experiences for at least

two or three years. The employer should collect

and examine any medical, safety, workers’ compensation and insurance records to identify any incidents of workplace violence. The review should

include the OSHA Log of Work-Related Injuries and

Illnesses (OSHA Form 300), if the employer is

required to maintain one.

7 In addition, worker and

police reports of incidents or near-incidents of

assaults or aggressive behavior should be examined to identify and analyze trends in assaults relative to particular:

• Job titles;

• Workstations; and

• Date and time of day.

Through this analysis, an employer can identify

the frequency and severity of incidents to establish

a baseline for measuring improvement. Employers

with more than one store or worksite may review

each location’s history of violence. To learn about

trends in the community or industry an employer

may contact local businesses, trade associations,

police departments and community and civic

groups. An employer should use several years of

data, if possible, to gain a clear understanding of

the existing trends.

Conducting Screening Surveys

Finding few documented cases of workplace violence should not be dismissed as random, because

incidents may go unreported or undocumented.

Management may not be aware of low intensity

incidents or threats of violence that workers experienced. A worker questionnaire or survey about

workplace violence issues can identify:

• If customers have assaulted workers;

• If the business has had to address other crimes,

such as shoplifting;

• If workers have been threatened or harassed

while on duty;

• Whether firearms were carried and/or used;

• How many workers were on duty when incidents occurred;

• Whether police were called;

7 29 CFR Part 1904.1 exempts employers with 10 or fewer

employees at all times during a calendar year from maintaining an OSHA injury and illness log. In addition, 29 CFR 1904.2

exempts businesses classified in specific low-hazard retail,

service, finance, insurance, or real estate industry from keeping these injury and illness records.
• What workers were doing before and during the

incident;

• Whether preventive measures were in place at

the time of the incident and whether they were

implemented;

• Where incidents occurred; and

• How often these incidents occurred.

Employers may also use surveys to solicit workers’ ideas on the potential for violent incidents and

to identify or confirm the need for improved security measures. Detailed baseline screening surveys

can help pinpoint tasks that put workers at risk.

Periodic surveys, conducted at least annually or

when business operations change or workplace

violence incidents occur, can help employers identify new or previously unnoticed risk factors in work

practices, procedures or controls. After these

reviews, employers should provide feedback and

follow-up with their workers.

Employers may choose to use independent

reviewers to conduct and analyze these surveys.

Independent reviewers, such as safety and health

professionals, law enforcement/security specialists

and insurance safety auditors, may offer advice to

strengthen programs. These experts can also provide fresh perspectives to improve a violence prevention program.

Workplace Security Analysis

Employers should have the designated team, worker or consultant periodically inspect the worksite

and evaluate job tasks to identify hazards, conditions, operations and situations that could expose

workers to violence. An initial walkthrough survey

should be conducted to identify risks and establish

a baseline. To find areas requiring further evaluation, the team or coordinator should:

• Analyze incidents, including the characteristics

of assailants and victims. Incident descriptions

should include an account of what happened

before and during the incident, and the relevant

details of the situation and its outcome. When

possible, someone should obtain police reports

and recommendations.

• Identify jobs or locations with the greatest risk of

violence as well as processes and procedures

that put workers at risk of assault. The analysis

should include an estimate of the frequency and

time when the risk of violence is greatest.

• Note high risk factors such as types of store

patrons or environmental factors, such as: building layouts, interior and exterior lighting, communication systems (such as telephones), and

where security systems are installed.

• Evaluate the effectiveness of existing security

measures, including engineering controls.

Analysis should include whether or not security

measures are being implemented and whether

or not they reduce or eliminate risk factors. If

security measures are not being implemented,

the analysis should determine what has inhibited their use.

Appendix A contains some sample checklists

that may assist employers in developing their own

security analyses. Trade associations and other

organizations may also have materials that can

assist employers in assessing the risk of violent

incidents at their worksites. In addition, some local

law enforcement agencies provide free advice to

business owners on ways to reduce exposure to

crime. As with the workplace surveys, employers

may choose to hire independent consultants to

analyze their worksites for security weaknesses.

Hazard Prevention and Control

By effectively preventing and controlling workplace

violence hazards, employers are better able to protect workers and avoid workplace incidents. After

hazards are identified through the systematic worksite analysis, employers will need to take steps to

prevent or control those hazards. Employers or

someone they designate should develop measures

that include engineering, procedural, and/or administrative changes to reduce or eliminate the likelihood of violent incidents. Employers will likely need

to use a combination of controls to manage the

hazards identified through their hazard analyses but

should carefully assess the effectiveness of each

type of approach. Engineering controls are considered the most effective because they make physical

improvements without any dependence on human

behavior. If a given situation does not allow for

engineering controls, employers should next consider procedural and administrative changes. Once

prevention and control measures are in place,

employers should ensure that procedures are followed and that workers are supported.

Minimizing Risk through Engineering Controls

andWorkplace Adaptations

Engineering controls remove the hazard from the

workplace or create a barrier between the worker

and the hazard. Several measures, such as those

described in the following paragraphs, can effectively prevent or control workplace hazards at retail

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Occupational Safety and

Health Administration
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establishments. The selection of any measure

should be based on the hazards identified in the

workplace security analysis.

Given that late-night retail businesses are prone

to robberies, employers should seek to reduce their

risk by improving visibility and surveillance, controlling customers’ access, and limiting the availability of cash. Such measures could include:

• Limiting window signs to low or high locations

and keeping shelving low so that workers can

see incoming customers and so that police can

observe what is occurring from the outside of

the store;

• Ensuring the customer service and cash register

areas are visible from outside the establishment;

• Placing curved mirrors at hallway intersections

or concealed areas;

• Maintaining adequate lighting inside and outside

the establishment;

• Installing video surveillance equipment and

closed circuit TV to increase the likelihood of

identification of perpetrators;

• Using door detectors so that workers are alerted

when someone enters the store;

• Having height markers on exit doors to help witnesses provide more accurate descriptions of

assailants;

• Installing and regularly maintaining alarm systems and other security devices, panic buttons,

handheld alarms or noise devices, cellular

phones and private channel radios where risk is

apparent or may be anticipated;

• Arranging for a reliable response system when

an alarm is triggered;

• Installing fences and other structures to direct

the flow of customer traffic into and around the

store;

• Controlling access to the store with door entry

(buzzer) systems;

• Installing physical barriers such as bullet-resistant enclosures with pass-through windows

between customers and workers; and

• Using drop safes to limit the availability of cash

to cashiers and posting signs which state that

cashiers have limited access to cash.

Minimizing Risk through Administrative

andWork Practice Controls

Administrative and work practice controls affect the

way workers perform their jobs or specific tasks.

Changes in work practices and administrative procedures can help prevent violent incidents. Often

policies are needed to ensure that the engineering

controls are implemented and used effectively. For

example, employers should:

• Integrate violence prevention activities into daily

procedures, such as checking lighting, locks, and

security cameras to help maintain a secure

worksite.

• Require workers to use the drop safes and keep

a minimal amount of cash in each register.

• Develop and implement procedures for the correct use of physical barriers, such as enclosures

and pass-through windows.

• Establish a policy of when doors should be

locked. Require workers to keep doors locked

before and after official business hours. Require

workers to lock doors used for deliveries and

garbage removal when not in use. In addition,

require that deliveries be made during normal

daytime operations.

• Develop and implement emergency procedures

for workers to use in case of a robbery or security breach – such as calling the police or triggering an alarm.

Other administrative and work practice controls,

independent of engineering controls include:

• Prohibit transactions with large bills (over $20).

If this is not practical because of frequent transactions over $20, cash levels should be kept as

low as practical. Workers should not carry business receipts on their persons unless it is

absolutely necessary.

• When possible, increase staffing levels at stores

with a history of robbery or assaults, or located

in high crime areas. Use the "buddy system,"

especially when personal safety may be threatened.

• Establish rules and practices to ensure that

workers can walk to garbage areas and outdoor

storage areas without increasing their risk of

assault.

• Establish liaison with local police and state prosecutors. Report all incidents of violence. Give

police physical layouts of facilities to expedite

investigations.

• Require workers to report all assaults or threats

to a supervisor or manager (for example,

through a confidential interview). Keep log

books and reports of such incidents to help

determine any necessary actions to prevent

recurrences.
• Advise workers of company procedures for

requesting police assistance or filing charges

when assaulted if necessary.

• Provide management support during emergencies. Respond promptly to all complaints.

• Set up a trained response team to respond to

emergencies.

• Use properly trained security officers to deal

with aggressive behavior. Follow written security

procedures.

• Discourage workers from wearing necklaces or

chains to help prevent possible strangulation in

confrontational situations.

• Provide staff members with security escorts to

parking areas in evening or late hours. Ensure

that parking areas are highly visible, well lit and

safely accessible to the building.

Administrative controls work only if they are followed. Employers should monitor workers regularly to ensure that proper work practices are being

used. Employers should also provide periodic constructive feedback to workers to ensure that they

understand and appreciate the importance of these

procedures.

Employer Responses to Incidents of Violence

Post-incident responses and evaluations are essential for an effective violence prevention program.

Policies should include standard operating procedures for management and workers to follow in the

aftermath of a violent incident. Response procedures should ensure that the incident is properly

investigated, workers receive the appropriate attention and, in the event of injury, injured workers

receive prompt and appropriate medical treatment.

Such procedures may include the following:

• Providing prompt first aid and emergency medical treatment for injured workers, which may

include transportation to the local emergency

medical facility.

• Reporting incidents to the police or notifying

other authorities as required by applicable laws

and regulations.

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• Securing the premises to safeguard evidence

and reduce distractions during the post-incident

response process so that police or authorities

may investigate properly.

• Preparing an incident report immediately after

the incident, noting details that might be forgotten over time. Appendix B contains sample incident report forms that an employer may use or

adapt.

• Informing management about the incident.

Victims of workplace violence suffer a variety of

consequences, in addition to their actual physical

injuries. These may include:

• Short- and long-term psychological trauma;

• Fear of returning to work;

• Changes in relationships with coworkers and

family;

• Feelings of incompetence, guilt, powerlessness;

and

• Fear of criticism by supervisors or managers.

Consequently, a strong follow-up program for

these workers will not only help them to deal with

these problems, but also help prepare them to confront or prevent future incidents of violence.

Several types of assistance can be incorporated

into the post-incident response. For example, trauma crisis counseling, critical incident stress debriefing or employee assistance programs may be provided to assist victims. Certified employee assistance professionals, psychologists, psychiatrists,

clinical nurse specialists or social workers may provide this counseling or the employer may refer

workers to an outside specialist. In addition, the

employer may establish an employee counseling

service, peer counseling or support groups.

Counselors should be well trained and have a

good understanding of the issues and consequences of assaults and other aggressive, violent

behavior. Appropriate and promptly rendered postincident debriefings and counseling reduce acute

psychological trauma and general stress levels

among victims and witnesses. In addition, this type

of counseling educates staff about workplace violence and positively influences workplace and organizational cultural norms to reduce trauma associated with future incidents.

Safety and HealthTraining

Training and education ensure that all staff members are aware of potential security hazards and

how to protect themselves and their coworkers

through established policies and procedures.

Workers with different jobs and responsibilities

may need different types and levels of training.

Training for All Employees

Every employee, including supervisors and managers, should understand the concept of “universal

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Occupational Safety and

Health Administration

8 As required by 29 CFR 1904.39(a), all employers must report

to OSHA, within eight hours, a fatality resulting from a workplace incident or the hospitalization of three or more employees resulting from a workplace incident.
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precautions for violence,”9 which refers to the concept that violence should be expected but can be

avoided or mitigated through proper precautionary

preparation. Workers need to know the specific hazards associated with their jobs and worksite to help

them minimize their risk of assault and injury.

Training should include information on worksitespecific potential hazards and instructions on how

to control those hazards. Training should also

include guidance to limit workers from intervening

in workplace altercations whenever possible unless

enough staff or emergency response teams and

security personnel are available. Topics may include

the following:

• An overview of the potential risk of assault;

• The workplace violence prevention policy;

• Operational procedures, such as cash handling

rules, designed to reduce risk;

• Proper use of security measures and engineering controls designed to reduce risk;

• Early recognition of escalating behavior or

recognition of warning signs of situations that

may lead to assaults;

• Behavioral strategies such as conflict resolution

and aggression management techniques to

defuse tense situations and reduce the likelihood

of a violent outcome;

• The location and operation of safety devices

such as alarm systems, along with required

maintenance schedules and procedures;

• Policies and procedures for reporting the incident to the proper authorities, as well as recordkeeping;

• Policies and procedures for obtaining medical

care, counseling, workers’ compensation or legal

assistance after a violent episode or injury;

• Specific instructions on how to respond to a robbery such as turning over money or valuables

without resistance, and how to respond to

attempted shoplifting; and

• Emergency action procedures to be followed in

the event of a robbery or violent incident.

Qualified trainers should provide instruction at

the comprehension level appropriate for workers.

Effective training programs involve role-playing,

simulations and drills. At a minimum, employers

should provide required training annually. Workers

who forget safety measures should be retrained.

New, reassigned, temporary and visiting workers

should receive the same training as permanent

staff. In addition, establishments with high worker

turnover may need to provide training more frequently.

The training program should also include an

evaluation. At least annually, the team or coordinator responsible for the program should review its

content, methods and the frequency of training.

Program evaluations may involve supervisor and

worker interviews, testing, observing, and reviewing

reports of behavior of individuals in threatening situations.

Training for Supervisors/Managers

and Security Personnel

Supervisors and managers need to recognize highrisk situations, so they can ensure that workers are

not placed in assignments that compromise their

safety. Following training, supervisors and managers should be able to recognize a potentially hazardous situation and to make any necessary

changes in the physical worksite and/or policies and

procedures to reduce or eliminate hazards. They

should also be able to handle traumatized workers.

Security personnel need specific training relating

to the worksite, including the psychological components of handling aggressive and abusive store

patrons, and ways to handle aggression and defuse

hostile situations.

Recordkeeping and

Program Evaluations

Recordkeeping and evaluations of the violence prevention program are necessary to determine its

overall effectiveness and identify any deficiencies.

Records Employers Should Maintain

Recordkeeping is essential to the program’s success. Good records help employers determine the

severity of the problem, evaluate methods of hazard

control and identify training needs. Records can be

especially useful to large organizations and members of a business group or trade association who

“pool” data. Through trend analysis, records of

injuries, illnesses, accidents, assaults, hazards,

corrective actions, histories and training can help

identify problems and solutions for an effective

program.

Employers can tailor their recordkeeping practices to the needs of their violence prevention program. Maintaining records enables employers to

monitor ongoing efforts to deter workplace violence,

9 The concept of “universal precautions” began in the medical

field and refers to the practice of assuming that all patients are

infectious and therefore requires avoiding contact with

patients' bodily fluids by means of wearing the appropriate

personal protective equipment.
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to determine if a violence prevention program is

working and to identify ways to improve it.

Important records employers may maintain

include:

• OSHA Log of Work-Related Injuries and Illnesses

(OSHA Form 300). Employers who are required

to keep this log must record any new work-related injury that results in death, days away from

work, days of restriction or job transfer, medical

treatment beyond first aid, loss of consciousness

or a significant injury diagnosed by a licensed

healthcare professional. Injuries caused by

assaults must be entered on the log if they meet

the recording criteria.

• Medical reports of work injury and supervisors’

reports for each recorded assault. These records

should describe the type of assault, such as an

unprovoked sudden attack or patron-to-patron

altercation; who was assaulted; and all other circumstances of the incident. The records should

include a description of the environment or location, potential or actual cost, lost work time that

resulted and the nature of injuries sustained.

These medical records are confidential documents and should be kept in a locked location

under the direct responsibility of a healthcare

professional.

• Records of incidents of abuse, verbal attacks or

aggressive behavior that may be threatening,

such as pushing or shouting and acts of aggression toward other clients. These records may be

kept as part of an incident report. Employers

should ensure that the affected department evaluates these records routinely. (See sample violence incident forms in Appendix B.)

• Documentation of minutes of safety meetings,

records of hazard analyses and corrective actions

recommended and taken.

• Records of all training programs, attendees and

qualification of trainers.

Program Evaluation Elements

As part of their overall program, employers should

evaluate their safety and security measures. Top

management should review the program regularly,

and with each incident, evaluate its success.

Responsible parties (including managers, supervisors and workers) should reevaluate policies and

procedures on a regular basis to identify deficiencies and take corrective action.

Management should share workplace violence

prevention evaluation reports with all workers. Any

changes in the programs should be discussed at

regular meetings of the safety committee, and with

union representatives or other worker groups.

All reports should protect worker confidentiality

either by presenting only aggregate data or by

removing personal identifiers if individual data are

used.

The processes involved in an evaluation should

include:

• Establishing a uniform violence reporting system

and regular review of reports;

• Reviewing reports and minutes from staff meetings on safety and security issues;

• Analyzing trends and rates in injuries, illnesses

or fatalities caused by violence relative to initial

or “baseline” rates;

• Measuring improvement based on lowering the

frequency and severity of workplace violence;

• Keeping up-to-date records of administrative and

work practice changes to prevent workplace violence and to evaluate how well they work;

• Surveying workers before and after making job

or worksite changes or installing security measures or new systems to determine their effectiveness;

• Keeping abreast of new strategies available to

address violence in retail establishments, as they

develop;

• Complying with OSHA and State requirements

for recording and reporting injuries, illnesses and

deaths; and

• Requesting periodic law enforcement or outside

consultant review of the worksite for recommendations on improving worker safety.
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Conclusion

Workplace violence has emerged as a major occupational safety and health issue in many industries,

especially the retail trade. OSHA’s voluntary recommendations offer systematic frameworks to help

employers protect workers from risks of injury and

death from occupationally-related violence. By treating 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.
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Appendices

Appendix A:

Sample Workplace Violence Factors

and Control Checklists

These sample checklists can help employers identify

present or potential workplace violence problems.

They contain various factors and controls that are

commonly encountered in retail establishments.

Not all of the questions listed here fit all types of

retail businesses, and these checklists obviously do

not include all possible topics specific businesses

need. Employers should expand, modify, and adapt

these checklists to fit their own circumstances.

These suggestions are not new regulations or standards, and the fact that an employer does not adopt

a listed control does not prove a violation of the

General Duty clause. (“N/A” stands for “not applicable”).

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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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?
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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? ❏ Yes ❏ No

If yes, does it contain:

Policy Statement? ❏ Yes ❏ No

Review of Worker Incident Exposure? ❏ Yes ❏ No

Methods of Control? ❏ Yes ❏ No

If yes, does it include:

Engineering ❏ Yes ❏ No

Work practice ❏ Yes ❏ No

Training ❏ Yes ❏ No

Reporting procedures ❏ Yes ❏ No

Recordkeeping ❏ Yes ❏ No

Counseling ❏ Yes ❏ No

Evaluation of incidents? ❏ Yes ❏ No

Floor Plan? ❏ Yes ❏ No

Protection of Assets? ❏ Yes ❏ No

Computer Security? ❏ Yes ❏ No

Plan accessible to all workers? ❏ Yes ❏ No

Plan reviewed and updated annually? ❏ Yes ❏ No

Plan reviewed and updated when tasks added or changed? ❏ Yes ❏ No

Policy statement by employer? ❏ Yes ❏ No

Work areas evaluated by employer? ❏ Yes ❏ No

If yes, how often? __________________________________________

Engineering controls? ❏ Yes ❏ No

If yes, does it include:

Mirrors to see around corners and in blind spots? ❏ Yes ❏ No

Landscaping to provide unobstructed view of the workplace? ❏ Yes ❏ No

"Fishbowl effect" to allow unobstructed view of the interior? ❏ Yes ❏ No

Limiting the posting of sale signs on windows? ❏ Yes ❏ No

Adequate lighting in and around the workplace? ❏ Yes ❏ No

Parking lot well lighted? ❏ Yes ❏ No

Door control(s)? ❏ Yes ❏ No

Panic button(s)? ❏ Yes ❏ No

Door detector(s)? ❏ Yes ❏ No

Closed circuit TV? ❏ Yes ❏ No
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Stationary metal detector? ❏ Yes ❏ No

Sound detection? ❏ Yes ❏ No

Intrusion detection system? ❏ Yes ❏ No

Intrusion panel? ❏ Yes ❏ No

Monitor(s)? ❏ Yes ❏ No

Videotape recorder? ❏ Yes ❏ No

Switcher? ❏ Yes ❏ No

Handheld metal detector? ❏ Yes ❏ No

Handheld video camera? ❏ Yes ❏ No

Personnel traps ("Sally Traps")? ❏ Yes ❏ No

Other? ❏ Yes ❏ No

Structural modifications

Plexiglas, glass guard, wire glass, partitions, etc.? ❏ Yes ❏ No

If yes, comment: _________________________________________

Security guards? ❏ Yes ❏ No

If yes, are there an appropriate number for the site? ❏ Yes ❏ No

Are they knowledgeable of the company WPVP Policy? ❏ Yes ❏ No

Indicate if they are:

______ Contract Guards (1)

______ In-house Workers (2)

At Entrance(s)? ❏ Yes ❏ No

Building Patrol? ❏ Yes ❏ No

Guards provided with communication? ❏ Yes ❏ No

If yes, indicate what type:_________________________________

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

Comments: ______________________________________________

__________________________________________________________

Work practice controls? ❏ Yes ❏ No

If yes, indicate:

Desks clear of objects which may become missiles? ❏ Yes ❏ No

Unobstructed office exits? ❏ Yes ❏ No

Vacant (Bare) cubicles available? ❏ Yes ❏ No

Reception area available? ❏ Yes ❏ No

Visitor/client sign in/out? ❏ Yes ❏ No

Visitor(s)/client(s) escorted? ❏ Yes ❏ No

One entrance used? ❏ Yes ❏ No

Separate interview area(s)? ❏ Yes ❏ No
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I.D. badges used? ❏ Yes ❏ No

Emergency numbers posted by phones? ❏ Yes ❏ No

Internal phone system? ❏ Yes ❏ No

If yes, indicate:

Does it use 120 VAC building lines? ❏ Yes ❏ No

Does it use phone lines? ❏ Yes ❏ No

Internal procedures for conflict (problem) situations? ❏ Yes ❏ No

Procedures for worker dismissal? ❏ Yes ❏ No

Limit spouse & family visits to designated areas? ❏ Yes ❏ No

Key control procedures? ❏ Yes ❏ No

Access control to the workplace? ❏ Yes ❏ No

Objects which may become missiles removed from area? ❏ Yes ❏ No

Parking prohibited in fire zones? ❏ Yes ❏ No

Other:_____________________________________________________

___________________________________________________________

Workplace Violence Prevention Program © 2008 The Hartford Loss Control Department
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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?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Who is it? ____________________________________

Are workers told who is responsible for security?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Is adequate and trained staffing available to protect workers against assaults or other violence?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Is there a “buddy system” to use when workers are in potentially dangerous situations?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Are there trained security personnel accessible to workers in a timely manner?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Do security personnel have sufficient authority to take all necessary action to ensure worker safety?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Are security personnel provided outside the building?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Is the parking lot attended or otherwise secure?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Are security escorts available to walk workers to and from the parking lot?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Training

Are workers trained in the emergency response plan (for example, escape routes, notifying the

proper authorities)?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Are workers trained to report violent incidents or threats?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Are workers trained in how to handle difficult customers?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________
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Are workers trained in ways to prevent or defuse potentially violent situations?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Are workers trained in personal safety and self-defense?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Facility Design

Are there enough exits and adequate routes of escape?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Can exit doors be opened only from the inside to prevent unauthorized entry?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Is the lighting adequate to see clearly in indoor areas?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Are there worker-only work areas that are separate from public areas?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Is a secure place available for workers to store their personal belongings?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Are private, locked restrooms available for staff?

❏ Yes ❏ No ❏ 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.)?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Security cameras or closed-circuit TV in high risk areas?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Panic buttons (portable or fixed)?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Alarm systems?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Internal phone system to activate emergency assistance?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Phones with an outside line programmed to call 911?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________
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Two-way radios, pagers or cellular phones?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Security mirrors (convex mirrors)?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Secured entry (buzzers)?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Personal alarm devices?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

OutsideThe Facility

Do workers feel safe walking to and from the workplace?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Are the entrances to the building clearly visible from the street?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Is the area surrounding the building free of bushes or other hiding places?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Is video surveillance provided outside the building?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Is there enough lighting to see clearly outside the building?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Are all exterior walkways visible to security personnel?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Is there a nearby parking lot reserved for workers only?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Is the parking lot free of bushes or other hiding places?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Is there enough lighting to see clearly in the parking lot and when walking to the building?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Have neighboring facilities and businesses experienced violence or crime?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________
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Workplace Procedures

Is public access to the building controlled?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Are floor plans posted showing building entrances, exits?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Are these floor plans visible only to staff and not to outsiders?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Is other emergency information posted, such as telephone numbers?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Are special security measures taken to protect people who work late at night (escorts, locked

entrances, etc.)?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Are authorized visitors to the building required to wear ID badges?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Are identification tags required for staff (omitting personal information such as the person’s last

name and Social Security number)?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Are workers notified of past violent activity?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Is there an established liaison with local police?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Are broken windows and locks repaired promptly?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Are security devices (locks, cameras, alarms, etc.) tested on a regular basis and repaired promptly

when necessary?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

FieldWork

Staffing:

Is there adequate staffing in the establishment?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Are escorts or “buddies” provided for people who work in potentially dangerous situations?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________
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Training:

Are workers briefed about the area in which they will be working (gang colors, neighborhood cul- ture, language, drug activity, etc.)?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Are workers who work late at night or early mornings advised about special precautions to take?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Work Environment:

Is there enough lighting to see clearly in all areas where workers must go?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Are there safe places for workers to eat, use the restroom, store valuables, etc.?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Are there places where workers can go for protection in an emergency?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Is safe parking readily available for workers?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Security Measures:

Are workers provided two-way radios, pagers or cellular phones?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Are workers provided with personal alarm devices or portable panic buttons?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Are vehicle door and window locks controlled by the driver?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Are vehicles equipped with physical barriers (Plexiglas partitions, etc.)?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Work Procedures:

Are workers given maps and good directions covering the areas where they will be working?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Are workers given alternative routes to use in neighborhoods with a high crime rate?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Does a policy exist to allow workers to refuse service to unruly customers?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________
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Has a liaison with the police been established?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Do workers avoid carrying unnecessary items, which someone could use as a weapon against

them?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Is a safe vehicle or other transportation provided by the employer for use when conducting

company business?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Are vehicles used in the field routinely inspected and kept in good working order?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Is there always someone who knows where each worker is while traveling during business

hours?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Are workers notified of past violent acts committed by customers or other personnel?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Are special precautions taken when workers:

Perform “enforcement” functions (parking control officers, inspectors, etc.)?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Have to take something away from customers (illegal credit cards)?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Have contact with people who behave violently?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________

Have contact with dangerous animals (dogs, rodents, etc.)?

❏ Yes ❏ No ❏ Sometimes Notes _________________________________
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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 Information

Name (optional)

❏ Male ❏ 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
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Type of incident (check all that apply)

❏ Grabbed ❏ Pushed ❏ Slapped

❏ Kicked ❏ Scratched ❏ Hit with fist

❏ Hit with object ❏ Bitten ❏ Knifed (or attempted)

❏ Shot (or attempted) ❏ Sexually assaulted ❏ Assaulted with weapon

❏ Threatened with weapon ❏ Verbally harassed ❏ Verbally threatened

❏ Bomb threat ❏ Animal attack ❏ Robbery

❏ Vandalism (employer’s property) ❏ Vandalism (own property) ❏ Other

❏ 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?

❏ Client/customer ❏ Patient ❏ Parent

❏ Student ❏ Family/friend of client or patient

❏ Co-worker ❏ Supervisor/manager ❏ Stranger

❏ Passenger ❏ Person in custody ❏ Animal

❏ Spouse or partner ❏ Former spouse or partner ❏ Other

❏ Robber/burglar
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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

❏ Yes ❏ 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

❏ Yes ❏ No Did you require medical attention as a result of the incident?

❏ Yes ❏ No Did you miss work as a result of the incident?

❏ Yes ❏ No Did you apply for workers’ compensation?

❏ Yes ❏ No Was the incident reported to a supervisor or manager?

❏ Yes ❏ No Was a police report filed?

❏ Yes ❏ No Was immediate counseling provided to affected workers and witnesses

who desired it?

❏ Yes ❏ No Was critical incident debriefing provided to all affected staff who desired it?

❏ Yes ❏ No Was post-trauma (follow-up) counseling provided to all affected staff

who desired it?

❏ Yes ❏ No Was all counseling provided by a professional counselor?

❏ Yes ❏ No Was the counseling effective?

❏ Yes ❏ No Was the victim advised about legal rights?

Report completed by

Department/Job Title/Union Position

Date Phone number

E-mail
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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) ❏ Assault ❏ Robbery ❏ Harassment ❏ Disorderly Conduct

❏ Sex Offense ❏ Other (Please Specify)

(See Definition of IncidentsWorksheet)

Were You Injured? ❏ Yes ❏ No

If yes, please specify your injuries and the location of any treatment

Did Police Respond to Incident ❏ Yes ❏ No

What Police Department

Police Report Filed ❏ Yes ❏ No

Report Number

Was Your Supervisor Notified ❏ Yes ❏ No

Supervisor’s Name

Was the Local Union/Employee Representative Notified ❏ Yes ❏ No

Who should be notified

Was Any Action Taken By Employer (specify)

Assailant/Perpetrator (check one) ❏ Intruder ❏ Customer ❏ Patient ❏ Resident

❏ Client ❏ Visitor ❏ Student ❏ Co-Worker ❏ Former Worker ❏ Supervisor

❏ Family/Friend ❏ Other (specify)

21. Assailant/Perpetrator—Name/Address/Age (if known):
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Please Briefly Describe the Incident

Incident Disposition ❏ No action taken ❏ Arrest ❏ Warning ❏ Suspension

❏ Reprimand ❏ Other (Please Specify)

Did The Incident Involve A Weapon: ❏ Yes ❏ No

Specify

Did You Lose Any Workdays: ❏ Yes ❏ 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 ❏ Yes ❏ No

Why

Has This Type Or Similar Incident(s) Happened To You Or Your

Co-workers: ❏ Yes ❏ No

Specify

Have You Had Any Counseling Or Support Since The Incident: ❏ Yes ❏ 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: ❏ Yes ❏ No

Specify

Has Corrective Action Been Taken: ❏ Yes ❏ No

Specify

Comments
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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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Appendix C:

States with Workplace Violence Standards

Below are examples of State Plan standards that address workplace violence. If employers maintain 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 hazards 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.
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Appendix D:

Bibliography and References

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Amandus, H.E. (1995). “Reevaluation of the

effectiveness of environmental designs to

reduce robbery risk in Florida convenience

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Amandus, H.E. (1997). “Convenience store robberies in selected metropolitan areas: Risk factors for employees injury.“ Journal of

Occupational and Environmental Medicine

39(5): 442-447.

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Degner, R.L. et al. (1983), “Food Store

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in the United States: Uniform Crime Reports.

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Figlio, R. and Aurand, S. (1991). “An

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Flannery, R.B., et al. (1994). “Risk Factors for

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Flannery, R.B., et al. (1995). “The Assaulted

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Journal 2(2): 78-83.

Jeffery, C.R., Hunter, R.D., and Griswold, J.

(1987). “Crime Prevention and Computer

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Tallahassee, Florida,” Florida Police Journal

34: 65-69.

Kinney, J.A., and Johnson, D.L. (1993).

Breaking Point: the Workplace Violence

Epidemic and What to Do about It. Chicago, IL:

National Safe Workplace Institute.

Kraus, J.F., Blander, B., and McArthur, D.L.

(1995). “Incidence, Risk Factors and Prevention

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Review of What is Known, What Needs to Be

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Matchulat, J.J. (2007). “Separating Fact from

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Strategies and Research Needs. Conference

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DHHS (NIOSH) Publication number 2006-144.

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Workplace. Minneapolis, MN: Northwestern

National Life Insurance Company.

Pearson, G.W. (2005). “Controlling the Risk of

Violence in the Retail Workplace.” Risk

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Rugala, E.A., and Isaacs, A.R. (2004). Workplace

violence: Issues in response. Quantico, VA: FBI

Academy, Federal Bureau of Investigation,

National Center for the Analysis of Violent

Crime, Critical Incident Response Group

[www.fbi.gov/publications/violence.pdf].

Schreiber, B. (1991). “Survey of Convenience

Store Crime and Security.” Convenience store

security: report and recommendations.

Alexandria, VA: National Association of

Convenience Stores.

Toscano, G. and Weber, W. (1995). Violence in

the Workplace. Washington, DC: U.S.

Department of Labor, Bureau of Labor

Statistics.

Toscano G. and Windau, J. (1994). “The

Changing Character of Fatal Work Injuries.”

Fatal Workplace Injuries in 1993: A Collection of

Data and Analysis 6-17. Washington, DC: U.S.

Department of Labor, Bureau of Labor

Statistics.

U.S. Department of Justice. (1994). Criminal

Victimization in the United States, 1992. Pub.

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.

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of Crimes, Criminals, and Costs. House

Document No. 30, Richmond, VA:

Commonwealth of Virginia.

Washington Crime News Services. (1994).

“New Police Approach Reduces Convenience

Store Crime.” Crime Control Digest 28(1): 1,

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Columbia. (1995). Take Care: How to Develop

and Implement a Workplace Violence

Prevention Program (A Guide for Small

Business). Vancouver, BC: Workers’

Compensation Board of British Columbia.

Zahn, M.A. and Sagi, P.C. (1987). “Stranger

Homicides in Nine American Cities.” Journal of

Criminal Law & Criminology 78(2): 377-397.

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U.S. Department of Justice, Bureau of Justice

Statistics. (2001). National Crime Victimization

Survey. Violence in the Workplace, 1993-99.

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U.S. Department of Labor, Bureau of Labor

Statistics. (2008). Census of Fatal Occupational

Injuries, 2006.

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U.S. Department of Labor, Bureau of Labor

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Injuries and Illnesses, 2006.

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www.bls.gov/iif/osh_wpvs.htm
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OSHA Assistance

OSHA can provide extensive help through a variety of

programs, including technical assistance about effective safety and health programs, state plans, workplace consultations, and training and education.

Safety and Health Management

System Guidelines

Effective management of worker safety and health

protection is a decisive factor in reducing the extent

and severity of work-related injuries and illnesses and

their related costs. In fact, an effective safety and

health management system forms the basis of good

worker protection, can save time and money, increase

productivity and reduce employee injuries, illnesses

and related workers’ compensation costs.

To assist employers and workers in developing

effective safety and health management systems,

OSHA published recommended Safety and Health

Program Management Guidelines (54 Federal Register

(16): 3904-3916, January 26, 1989). These voluntary

guidelines can be applied to all places of employment

covered by OSHA.

The guidelines identify four general elements critical to the development of a successful safety and

health management system:

• Management leadership and worker involvement,

• Worksite analysis,

• Hazard prevention and control, and

• Safety and health training.

The guidelines recommend specific actions, under

each of these general elements, to achieve an effective

safety and health management system. The Federal

Register notice is available online at www.osha.gov.

State Programs

The Occupational Safety and Health Act of 1970 (OSH

Act) encourages states to develop and operate their

own job safety and health plans. OSHA approves and

monitors these plans. Twenty-five states, Puerto Rico

and the Virgin Islands currently operate approved

state plans: 22 cover both private and public (state and

local government) employment; Connecticut, Illinois,

New Jersey, New York and the Virgin Islands cover the

public sector only. States and territories with their own

OSHA-approved occupational safety and health plans

must adopt standards identical to, or at least as effective as, the Federal OSHA standards.

Consultation Services

Consultation assistance is available on request to

employers who want help in establishing and maintaining a safe and healthful workplace. Largely funded

by OSHA, the service is provided at no cost to the

employer. Primarily developed for smaller employers

with more hazardous operations, the consultation

service is delivered by state governments employing

professional safety and health consultants. Comprehensive assistance includes an appraisal of all mechanical

systems, work practices, and occupational safety and

health hazards of the workplace and all aspects of the

employer’s present job safety and health program. In

addition, the service offers assistance to employers in

developing and implementing an effective safety and

health program. No penalties are proposed or citations issued for hazards identified by the consultant.

OSHA provides consultation assistance to the employer with the assurance that his or her name and firm

and any information about the workplace will not be

routinely reported to OSHA enforcement staff. For

more information concerning consultation assistance,

see OSHA’s website at www.osha.gov.

Strategic Partnership Program

OSHA’s Strategic Partnership Program helps encourage, assist and recognize the efforts of partners to

eliminate serious workplace hazards and achieve a

high level of worker safety and health. Most strategic

partnerships seek to have a broad impact by building

cooperative relationships with groups of employers

and workers. These partnerships are voluntary relationships between OSHA, employers, worker representatives, and others (e.g., trade unions, trade and

professional associations, universities, and other government agencies).

For more information on this and other agency

programs, contact your nearest OSHA office, or visit

OSHA’s website at www.osha.gov.

OSHATraining and Education

OSHA area offices offer a variety of information services, such as technical advice, publications, audiovisual aids and speakers for special engagements. OSHA’s

Training Institute in Arlington Heights, IL, provides

basic and advanced courses in safety and health for

Federal and state compliance officers, state consultants, Federal agency personnel, and private sector

employers, workers and their representatives.

The OSHA Training Institute also has established

OSHA Training Institute Education Centers to address

the increased demand for its courses from the private

sector and from other federal agencies. These centers

are colleges, universities, and nonprofit organizations

that have been selected after a competition for participation in the program.

OSHA also provides funds to nonprofit organizations, through grants, to conduct workplace training

and education in subjects where OSHA believes there
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is a lack of workplace training. Grants are awarded

annually.

For more information on grants, training and education, contact the OSHA Training Institute, Directorate

of Training and Education, 2020 South Arlington

Heights Road, Arlington Heights, IL 60005, (847) 297-

4810, or see Training on OSHA’s website at

www.osha.gov. For further information on any OSHA

program, contact your nearest OSHA regional office

listed at the end of this publication.

Information Available Electronically

OSHA has a variety of materials and tools available on

its website at www.osha.gov. These include electronic

tools, such as Safety and HealthTopics, eTools, Expert

Advisors; regulations, directives and publications;

videos and other information for employers and workers. OSHA’s software programs and eTools walk you

through challenging safety and health issues and

common problems to find the best solutions for your

workplace.

OSHA Publications

OSHA has an extensive publications program. For

a listing of free items, visit OSHA’s website at

www.osha.gov or contact the OSHA Publications

Office, U.S. Department of Labor, 200 Constitution

Avenue, NW, N-3101, Washington, DC 20210; telephone (202) 693-1888 or fax to (202) 693-2498.

Contacting OSHA

To report an emergency, file a complaint, or seek

OSHA advice, assistance, or products, call (800) 321-

OSHA or contact your nearest OSHA Regional or Area

office listed at the end of this publication. The teletypewriter (TTY) number is (877) 889-5627.

Written correspondence can be mailed to the nearest OSHA Regional or Area Office listed at the end of

this publication or to OSHA’s national office at: U.S.

Department of Labor, Occupational Safety and Health

Administration, 200 Constitution Avenue, N.W.,

Washington, DC 20210.

By visiting OSHA’s website at www.osha.gov, you

can also:

• File a complaint online,

• Submit general inquiries about workplace safety

and health electronically, and

• Find more information about OSHA and occupational safety and health.
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OSHA Regional Offices

Region I

(CT*, ME, MA, NH, RI, VT*)

JFK Federal Building, Room E340

Boston, MA 02203

(617) 565-9860

Region II

(NJ*, NY*, PR*, VI*)

201 Varick Street, Room 670

New York, NY 10014

(212) 337-2378

Region III

(DE, DC, MD*, PA, VA*, WV)

The Curtis Center

170 S. Independence Mall West

Suite 740 West

Philadelphia, PA 19106-3309

(215) 861-4900

Region IV

(AL, FL, GA, KY*, MS, NC*, SC*, TN*)

61 Forsyth Street, SW, Room 6T50

Atlanta, GA 30303

(404) 562-2300

Region V

(IL*, IN*, MI*, MN*, OH, WI)

230 South Dearborn Street

Room 3244

Chicago, IL 60604

(312) 353-2220

Region VI

(AR, LA, NM*, OK, TX)

525 Griffin Street, Room 602

Dallas, TX 75202

(972) 850-4145

Region VII

(IA*, KS, MO, NE)

Two Pershing Square

2300 Main Street, Suite 1010

Kansas City, MO 64108-2416

(816) 283-8745

Region VIII

(CO, MT, ND, SD, UT*, WY*)

1999 Broadway, Suite 1690

PO Box 46550

Denver, CO 80202-5716

(720) 264-6550

Region IX

(AZ*, CA*, HI*, NV*, and American Samoa,

Guam and the Northern Mariana Islands)

90 7th Street, Suite 18-100

San Francisco, CA 94103

(415) 625-2547

Region X

(AK*, ID, OR*, WA*)

1111 Third Avenue, Suite 715

Seattle, WA 98101-3212

(206) 553-5930

*These states and territories operate their own

OSHA-approved job safety and health programs

and cover state and local government employees

as well as private sector employees. The

Connecticut, Illinois, New Jersey, New York and

Virgin Islands plans cover public employees only.

States with approved programs must have standards that are identical to, or at least as effective

as, the Federal OSHA standards.

Note: To get contact information for OSHA Area

Offices, OSHA-approved State Plans and OSHA

Consultation Projects, please visit us online at

www.osha.gov or call us at 1-800-321-OSHA.