SECTION I A: FINANCE



C S H M

PREPARATION GUIDE

VOLUME 4

Area IV Risk Management control

Study Notes, Questions and Answer Key

[pic]

Prepared by

Steven J. Geigle, M.A., CSHM

Published by OSHA Training Network

Disclaimer

The information in this preparation guide has been compiled by the OSHA Training Network () from texts recommended by ISHM for study, and represents the best current information on the various subjects. No guarantee, warranty of other representation is made as to the absolute correctness or sufficiency of any information contained in this preparation guide. OSHA Training Network assumes no responsibility in connection therewith; nor can it be assumed that all acceptable safety measures are contained in the preparation guide or that other or additional measures may not be required under particular or exceptional circumstances.

OSHA Training Network (OTN) cannot warrant that the use of this preparation guide will result in certification from the Institute for Safety and Health Management (ISHM). While the content is representative of the knowledge required of a safety and health manager, the successful completion of the CSHM examination is depends on many factors including the applicant's academic background, safety management experience and individual study for the examination. This information is for educational purposes only and does not replace any regulations promulgated by state of federal government agencies.

As this preparation guide will continue to be updated and revised on a periodic basis, contributions and comments from readers are invited. Additional volumes to this preparation guide will be produced and made available in the future.

TABLE OF CONTENTS

Preface Introduction to the CSHM Preparation Guide

Part I Notes

Section A. Workers' Compensation 1

Section B. Risk Management 10

Section C. General Liability/Product Safety 34

Section D. Fleet Safety 47

Section E. Fire and Life Safety 64

Section F. Health and Wellness 76

Section G. Security 103

Section H. Disaster Recovery/Emergency Preparation 132

Section I. Workplace Violence 138

Part II Questions and Key

Introduction 179

Section A. Workers' Compensation 181

Section B. Risk Management 186

Section C. General Liability/Product Safety 190

Section D. Fleet Safety 195

Section E. Fire and Life Safety 198

Section F. Health and Wellness 207

Section G. Security 214

Section H. Disaster Recovery/Emergency Preparation 220

Section I. Workplace Violence 228

Question Key 231

SECTION IV A: WORKERS' COMPENSATION

What is Workers' Compensation?

Source: The Lectric Law Library.

Workers' compensation first started in Germany in the 1800's. A need was seen to take care of injured workers so they did not suffer physically or financially from injuries resulting from working for a company. Workers' compensation became common in the US in the 1930's and 1940's. It continues today in all 50 states and in territories.

Workers' compensation is similar in Canada. Workers' compensation is basically the same and a change in benefits in a particular state may result in similar changes in other states. When workers' compensation was first proposed, a compromise was reached between businesses and the worker. In order to encourage businesses to accept full responsibility for the premium costs of workers' compensation, the workers gave up the right to sue the employer for damages resulting from a job related injury. This "doctrine" continues basically intact to this day. Rather than a benefit, workers' compensation is a legally mandated right of the worker. Businesses who meet certain requirements must provide workers' compensation for all employees of the business. There are fines and other forms of punishment for businesses (and owners) who have not provided coverage as required by law. Workers' compensation is purchased from several possible sources: Private companies, State Funds, Insurance Pools, Self Insurance Programs. Workers' compensation laws and regulations are made by each state and are regulated by state officials.

Workers' compensation by itself loses money for most carriers, so some carriers may require a business to purchase other coverage in addition to workers' compensation before voluntary workers' compensation coverage is offered by the carrier.

Some states require a notice to be posted in the workplace to advise workers of coverage for job related injuries. The posting is similar to other displays required by the Federal Government relating to wage and hour benefits. The notice usually explains what the basic benefits of workers' compensation are for that particular state. The posting also explains who to contact for information. Businesses should check with the regulatory officials to determine if a workers' compensation poster is required. Failure to post any required information may result in a fine for the business.

________________________________________________________________________________

How it works

Source: Washington State Department of Labor and Industries

What is an Experience Factor?

It is the number that indicates how your company’s claims experience (how many accidents you have and how much they cost) compares to others in your industry. It is used to modify the premium rate you pay into the State Fund to cover workers’ compensation claims costs.

Premiums are determined by your Experience Factor (EF)

New businesses normally pay the “base” premium rate, which is set at 1.0. The base rate reflects the risk

of workplace injury or disease in specific industries as a whole, for each risk classification. After a business

has established it’s own accident experience record, the premium will be “experience-rated.” This

means that your premium may be increased or decreased from the current base rate based on your

company’s actual accident history. The higher your claims costs, the higher your experience factor will

be, and the more money you will pay in industrial insurance premiums You can manage your experience

factor rating by having a good accident history through an effective accident prevention program.

Each year you receive a rate notice that includes the experience factor rating for your business and how much you’ll pay for your business (“Your Rate” on the sample below). As shown on the rate notice below, your premium rate (per hour), or “composite rate,” is determined by multiplying your experience factor (EF) by the sum of the accident fund and medical aid base rates, then adding in the supplemental pension assessment:

[pic]

The Accident Fund rate and Medical Fund rate are based on the risk classification; the Supplemental Pension Assessment rate is the same for all risk classifications.

Employees may share in part of the premium costs, deducted by the Employer.

[pic]

The total industrial insurance premium cost for your business is the sum of all the risk class premium costs.

Employees are also rewarded by a lower experience factor rating.

Remember from the previous section that employees share in part of the premium costs, usually deducted by the employer from their paychecks. The employees’ contribution to the premium costs is calculated as follows:

[pic]

The Bottom Line is this: Employers with claims costs lower than expected, have premium rates reduced from base rates. The lower the experience factor, the more you save.

Examples:

The following example shows how three different companies in the same business can have significantly different premiums, based on their experience factors:

• A new company (ABC Co.) has no experience with on-the-job injuries. So it automatically gets an experience factor of 1.0. That means a new company, or one with average claims costs, pays the base rate for the industry.

• Another company (DEF Co.) with a better-than-average accident record is rewarded with a lower experience factor, say 0.5, for example. When this experience factor is multiplied into the equation, it brings down the premium by about 50 percent, or only half of the basic rate. Thus, companies with good safety records and sound claims management programs are rewarded with lower industrial insurance premiums.

• A third company (XYZ Co.) has had a history of incidents. Because of its high claims costs, it has a high experience factor, perhaps as high as 2.0 or more. This company’s injuries and illnesses and medical fund premiums will be two times higher than those of a company at base rate.

Injuries will affect your industrial insurance premiums for several years

Your company’s current experience factor is calculated at the beginning of each year on the basis of your claims track record during a rolling three-year window. For example:

Because your industrial insurance premiums are based on your accident history, you can work to control them. It makes the most sense to focus your efforts on preventing future injuries and industrial insurance claims.

What you do – or don’t do – about injury prevention will affect your company’s premiums and profits

for years to come.

Be more competitive when bidding for projects by lowering your Experience Factor

When it comes time to select from among a pool of bidders for a major project, the business with the lowest experience factor has an edge in winning the contract. Why? It presents the lowest risk.

• No one wants to hire an “incident prone” company where work stoppage delays due to injuries are more likely to occur, and

• with a lower experience factor, your workers’ compensation premium will be less – this gives you more flexibility on your bid.

_________________________________________________________________________________________

How Are Premiums Calculated? 

Source: Missouri Department of Labor & Industrial Relations

Understanding how workers' compensation insurance premiums are determined is very important.  Many calculations and comparisons are needed in order to customize each employer's insurance premium.  These calculations and comparisons ensure employers, in low hazard industries, pay smaller premiums than do high-hazard industry employers. Employers with fewer claims and good safety records pay less in premiums than do employers with many claims and undesirable safety records. 

The National Council on Compensation Insurance (NCCI) keeps statistics necessary to differentiate high and low hazard industries and high and low hazard employers within the same industry.  The NCCI combines statistics of hundreds of insurance carriers in several states, including Missouri.  Each insurance carrier, writing workers' compensation policies in Missouri, keeps a claims record for each of its clients.  At the end of the policy year for each client, the carrier sends the claims records to the NCCI.  This pool of statistics is then used to help calculate experience modifiers, rates, and classifications. 

High hazard and low hazard industries are distinguished by the classification code they are assigned and the manual rate they pay for workers' compensation insurance.  The classification code and corresponding manual rate are the first factors used to calculate an employer's insurance premium.  If an employer is assigned to a high hazard code such as roofing, trucking or logging, the employer will pay a higher manual rate that employers assigned to a restaurant, clerical or light manufacturing code.  Manual rates vary widely from one (1) classification to another and are expressed as a dollar figure per $100 of payroll.  It is easier to look at rates, however, as a percentage of payroll rather than per $100 of payroll.  For example, $13.71 per $100 of payroll is simply 13.71% of payroll.  

Each occupational classification code may either represent entirely different industries or a segment within different industries.  For example, Code 2501 Clothing Manufacturing represents an entire industry, but Code 8810 Clerical Office Employees represents a segment of employees within many different industries.  There are three (3) classifications considered standard exception codes--Code 8810 Clerical Office Employees, Code 8742 Outside Salespersons, Collectors, or Messengers, and Code 7380 Drivers, Chauffeurs and their Helpers.  Standard exception codes can be separated from the employers' main classification code because employees engaged in these jobs are normally not involved in other operations. 

After a specific classification and rate is assigned to an employer's operations, their manual premium is determined by multiplying the employer's payroll by the appropriate rate.  Throughout this discussion a hypothetical employer, 'ABC Trucking”, will be used to show how the entire rating system works. ABC Trucking has a $453,000 payroll and is classified as Code 7229, Trucking-Long Haul.  Their manual premium would be 453,000 X 13.71% or $62,106.  All employers' worker compensation premiums are based primarily on their manual premium, adjustments are made to the manual premium that will be discussed later. 

The company insurance agent or insurance carrier determines the company's classification code from the definitions available to them from NCCI for the scope of work performed. These definitions are contained in the 'Scopes of Basic Manual Classifications' manual which insurance agents use to classify their employer clients.  Since many classifications are very similar, codes are sometimes difficult to determine.  In these instances, an insurance agent or carrier may ask the NCCI to physically inspect a specific employer's operations and make the final classification decision. 

Employers should obtain a description of their classification from their insurance agent and familiarize themselves with the code assigned to their business.  An employer who feels there are significant differences in the description of an assigned classification code and their actual operations should notify their insurance agent or insurance company.  The agent can probably explain the discrepancies, but if not, the employer should contact the NCCI for answers.  If a company changes operations substantially, e.g., purchasing new equipment, the agent or the NCCI should be asked to re-evaluate the company's operations for possible reclassification.

What Determines Manual Rates? 

Each year the NCCI files suggested rates with the various States. The States combine these suggested rates with their own statistics to determine the approved rates.  The approved rates are effective for all employers in the assigned risk pool. Rates can also be used as a basis for insurance carriers to establish their voluntary or competitive market rates, but the carriers are under no obligation to do so. Employers, not in the Assigned Risk Pool, pay competitive market rates set by their individual insurance carriers.  Deregulation of workers' compensation premium rates began January 1994, and allows insurance carriers to set their own rates in the voluntary market. 

Manual rates in the competitive market vary among insurance carriers. The company's insurance agent should provide them with a minimum of three (3) separate written quotes, each year, to ensure they are getting the best rates.

Two (2) factors affecting the insurance premium are the manual rate and company payroll. The third factor affecting the premium is the employer's experience modifier.  The experience modifier is one of the most important components of a company's worker compensation premium.  It is used as a multiplying factor of an individual company's manual premium and is often the most effective tool for controlling premium cost.  

An average experience modifier is expressed as 1.00 and simply means that a company has average losses and will pay 100% of their manual premium discussed earlier.  A higher than average experience modifier would be any number greater than 1.00.  A company with a 1.43 experience modifier will pay 143% of its manual premium.  This 43% surcharge reflects the higher than average claims which the company has experienced. 

The experience modifier is not always 1.00 or greater, but can also be lower than 1.00.  If a company has an experience modifier of .73, they will pay only 73% of their manual premium.  This effectively gives the company a 27% discount, and reflects the company's lower than average losses, claims and injuries.  

The following chart compares different experience modifiers for ABC Trucking with varying results. 

Manual Premium     Experience Modifier     Discount/Surcharge    Modified Premium 

      $62,106    .73       $16,769 Discount      $45,337

      $62,106                    1.00               None       $62,106

      $62,106            1.43       $26,706 Surcharge      $88,812  

As this chart shows, the experience modifier has a significant impact as to what a company actually pays for insurance.  The difference between the low experience modifier and the high experience modifier, in this example is more than $43,000! Experience modifier ranges are common and can vary significantly.  Controlling the experience modifier is essential to reducing and controlling insurance premiums.  

Calculating the Experience Modifier 

This section discusses the basic method used to calculate the experience modifier.  One common misconception concerning the experience modifier is that a high hazard industry will have a high experience modifier and a low hazard industry will have a low experience modifier.  This is NOT the case.   The experience modifier compares only companies within the same industry classification code. 

ABC Trucking, for example, is compared ONLY to other trucking companies in Code 7229.  It is important to remember that RATES vary based upon the hazard level of the industry, whereas the EXPERIENCE MODIFIER varies only by a company's performance within their specific industry.  Achieving a less than 1.00 experience modifier is as much an accomplishment for a restaurant or clerical office as for a construction or logging company. 

The easiest way to understand how the experience modifier is determined is to examine the loss ratio or the expected loss rate of an individual company.  The loss ratio is the dollar value of a company's manual premium.  The expected loss rate is simply the loss ratio expected for a particular industry multiplied by the manual rate for that industry.  The expected loss rate is multiplied by a company's payroll to determine expected losses. 

If ABC Trucking had 9 claims during their policy year totaling $32,295 and a manual premium of $62,106, their loss ratio would be 52% (32,295 divided by 62,106 = .52 or 52%).  The NCCI determines the actual expected loss rates for all classification codes and publishes them each year.  Many of the expected loss rates are around 52% of the manual rate.  For this reason, assume expected losses of 52% are average for the trucking industry.  With this assumption ABC Trucking will have a 1.00 (average experience modifier) because they have a 52% (average) loss ratio. 

The next table illustrates how the actual loss ratio and expected loss ratio affects the experience modifier.  The "Actual Claims' column represents the claims ABC Trucking Company actually experienced during the policy year.  The 'Expected Claims' column is the premium multiplied by the expected loss ratio of 52%.  This ratio represents $32,295 in expected losses.  The following table indicates three (3) separate actual claim totals that produce three (3) separate experience modifiers. 

       Premium       Expected           Actual                Actual/Expected           Experience

                              Claims             Claims                                                        Modifier 

$62,106 X 52% =  $32,295           $23,575      $23,575/$32,295 = 0.73            0.73

$62,106 X 52% =  $32,295           $32,295      $32,295/$32,295 = 1.00            1.00

$62,106 X 52% =  $32,295           $46,192      $46,182/$32,295 = 1.43            1.43 

The calculation of the experience modifier is more complicated than this example, but this should help employers understand the basic calculations used to determine the experience modifier.  Most importantly, employers should realize that experience modifiers are not arbitrary numbers assigned by the insurance carriers, but instead are calculations based on employers' actual claims history.  The NCCI publishes a booklet titled 'The ABC's of Revised Experience Rating', explaining the experience modifier calculation in detail.  Your insurance agent can obtain a copy of the NCCI booklet for their clients.  'The ABC's of Revised Experience Rating' and other NCCI publications can also be ordered directly from the NCCI.  The resource page at the end of this section lists telephone numbers for NCCI and other relevant organizations. 

Each year, the experience modifier is re-calculated using the combined claims history from a three (3) year rolling period.  By using a three- (3) year rolling period the experience modifier will remain more consistent and eliminate most wide variations from year to year.  Each year the rolling period drops off the oldest policy year and adds the most recent policy year.  If a company has unusually high claims during one (1) policy year their experience modifier will be affected for three (3) years. However, the effect of the high-claims year will be stabilized by the experience of the other two (2) years on the period.  This stabilizing effect works the same when a company has an unusually low claims year. To effectively lower the company experience modifier, the company must consistently control claims over the entire three (3) year period of the experience modifier.  

The three (3) year rolling period includes a one- (1) year lag period immediately preceding the actual three- (3) year claims period.  The one-year lag period is included because of the difficulty placing an immediate cost on claims resulting from serious injuries.  A claim resulting from a serious injury may take several months or even years before it is settled.  If ABC Trucking has an employee injured on June 30, 1997, and their policy ends the same day, it would be impossible for their insurance carrier to determine a cost for the claim and apply it to that claim year.  Since the experience modifier is required for the new policy beginning the next day, a lag period is necessary.  The one-year lag period allows the insurance carrier time to settle and close most claims, and more accurately estimate the cost of claims that continue for more than one year.

 

It is important to remember the lag period when analyzing an experience modifier and when setting goals to reduce it.  If ABC Trucking has a year with an unusually high claim it will not be reflected in the next experience modifier.  It will, however, be reflected in the experience modifier two (2) policy years away.  If, for example, ABC Trucking has a claim on July 1, 1997, the first day of their 1997-98 policy, it will not affect their experience modifier for the policy due on July 1, 1998.  The premium for the policy year beginning July 1, 1999, is the first time the employer actually is charged for the 1997 claims. 

Management needs to understand the lag year in order to evaluate the effectiveness of their safety programs.  Suppose ABC Trucking implemented a successful safety program beginning July 1, 1997, and had no claims for the next two (2) years. It would still be July 1, 1999, before ABC Trucking realized any monetary savings from a lower experience modifier.  The full benefits of the safety program wouldn't be realized in the experienced modifier until the policy due on July 1, 2001.  Understanding the one year lag period and subsequent three (3) year rolling claims period can help management set realistic goals for new or existing safety programs.  

To forecast whether an experience modifier will be higher or lower, analyze the oldest or first year on the current record and compare that year to the lag year. The experience modifier will likely decrease if the year dropping off the record had more claims and losses than the lag year.  If, however, a year with fewer claims and losses than the lag year is dropping off the record, the experience modifier is likely to increase.  

It is only possible to lower the experience modifier by implementing a successful safety program and reducing claims over a period of at least two (2) years.  However, it takes four (4) complete policy years for the experience modifier to decrease from reduced claims and better safety.  There is little a company can do to have an immediate impact on the experience modifier.  Patience and consistently controlling claims through safety and proper claims management will have a positive impact, but it does not happen immediately. 

New companies are often confused about when they will be assigned their first experience modifier.  Companies with first time policies pay their manual premium without the adjustment of the experience modifier.  This is the same as having an experience modifier of 1.00 because there is no surcharge for a higher than average claims record and no discount for a lower than average claims record.  The first experience modifier will be assigned depending on the size of the first year's policy premium. 

Out of Pocket Claims

The employer may pay out of pocket claims under $500 in medical costs involving no lost time.  The incident must still be reported.  This is not considered a deductible, but operates in much the same manner.  Medical bills the employer pays cannot be used when calculating the employer's experience modifier discussed earlier.  The employer should contact their insurance agent to determine the amount of claims, up to $500, to be paid.  It does not benefit all companies to pay claims under $500.  In many instances, the $500 paid for a claim will be more than the dollar benefit saved on the premium.  The insurance agent should provide a close dollar estimate of claims, to be paid, based on individual policies.  The employer should evaluate the actual benefit, if any, of paying low dollar claims compared to insurance premiums.

Choosing a Designated Physician

 

Missouri law allows employers to select the physician or health care provider to treat their injured employees. In many case the employer allows the insurance carrier to make the choice. The authority to direct medical attention is an important workers' compensation control measure available to employers, and ensures injured employees receive treatment for work-related injuries and illnesses from qualified physicians.  Most employers choose a general practitioner or an occupational health physician as their primary care physician.  Either of these physicians is capable of treating most injuries and referring serious injuries to proper medical specialists.  Employers may choose specific medical specialists such as an orthopedic surgeon.  A primary care physician should be notified in advance if referrals to individual specialists are desired. 

Several questions need to be addressed when selecting a primary care physician.  Some services the company may want to consider are: 

1. Immediate treatment for emergencies and 24-hour appointments for other injuries or illnesses.

2. How employees injured after office hours are treated - 24-hour clinics or the local emergency room?

3. If an emergency room is used, can fees be negotiated?  Is the employee referred to the designated physician for follow up?

4. Will the physician visit the work site?  If so, how often?  Is the visit included in the contract?  Is there an additional charge?

5. How quickly is paperwork returned to the company?

6. Does the physician or clinic have a qualified case manager on staff?

7. Will the physician help develop a modified or light-duty program and recommend its use?

 

Discussing these issues with a designated medical care provider will provide savings on emergency room visits for non-life-threatening injuries.  Employees, who have made prior arrangements with a designated medical provider, should expect prompt medical attention with an office visit instead of the more costly emergency room visit.  Many injuries such as cuts and sprains require prompt medical attention.  However, using the emergency room for all types of injuries can become expensive.  A doctor should advise which type of injury requires emergency room services and which may be treated with an office visit. 

Many employers designate a medical clinic with several doctors.  Even though there are several physicians to choose from, the employer should try to utilize only one primary physician.  Building a close working relationship with one primary care physician is important. Working with one physician regularly simplifies employer and employee requirements for timely paperwork submission, etc. 

The physician should tour the work facility to better understand the employer's operations.  This may be difficult for a small employer, but the offer should still be made.  If the primary medical provider has a case manager on staff, these services should be utilized as much as possible.  Case managers are usually responsible for following up with injured employees and tracking their progress.  Case managers can be invaluable when a return to work program is implemented.  They also can assist and encourage injured employees with rehabilitation. 

If a particular physician or clinic has been used in the past and has provided satisfactory service, they should be considered when choosing the designated medical provider.  Another method of choosing a designated medical provider is to ask an insurance carrier for a list of the carrier's preferred providers and clinics in the area.  Medical providers on this list will sometimes offer discounts to clients of particular insurance carriers.  A third method of choosing a designated medical provider may be to contact other local business associates for referrals and references. 

Choose a physician early during the safety and health program implementation.  Notify employees, in writing, that a designated medical provider has been selected and treatment by any unauthorized physician will be at the employee's expense.  The insurance carrier should also be informed that a designated medical provider has been selected. 

Managed care organizations (MCO) are physician networks that provide effective cost containment of workplace injuries and illnesses.  MCO offer employers and insurance carriers discounted rates for medical charges.  Since carriers save money when their clients contract with a MCO, the carrier will usually offer the employer client a discount off the insurance premium.  Many MCO provide case managers, medical specialists, and additional services such as employee training and safety services. 

Modified Work Program

 

One of the main reasons for spending time choosing a designated medical provider is to effectively implement a modified work program.  Returning injured employees to modified work as soon as possible is very important.  It is just as important to allow injured employees to recover sufficiently from their injuries and return to their previous state of health before returning to work.  An effective modified work program will accomplish both objectives.   

Two core requirements needed to effectively implement a modified work program are written job descriptions and a designated medical provider.  Before the physician returns an injured employee to work, he or she must be confident the employer will keep the injured employee within any physical restrictions.  By supplying the physician with a written job description, the physician can better determine if the injured employee can perform the essential job functions.  It is important for the employer and medical provider to feel comfortable with each other.  Rather than returning an injured employee to a situation of uncertainty, the physician may not return the employee to work at all. 

Employers should never give up on complicated cases or write off claims management as unproductive.  Regardless of how long a case has continued, the employer should always strive to return the employee to work.  It may be necessary to involve the employer's designated medical provider if the employee has been seeing his or her own physician.  If this is the case, the employer should contact its primary care physician and the employee's current physician to have the treatment for the injured employee transferred. The employer's primary care physician should also ask the employee's current physician to transfer any medical records concerning the worker's compensation claim. 

Injured employees who return to work on modified light duty also benefit.  Employees do not receive workers' compensation lost wage benefits for the first three regularly scheduled workdays they are off unless they are off work for 14 days or more.    For example, an employee who misses five days of work will be compensated for two days of lost wages, but an employee who misses a full 14 days will be compensated for the entire 14 days.  This loss of income to the employee is often compounded by the delay in receiving these benefits from the insurance carrier.  Employees and employers are better off if injured employees, where possible, return to work and continue receiving wages on their regular schedule. 

Employers should explain this delay to employees who cannot return to work under a physician's orders.  It is advantageous for all parties to understand the claims process and the time constraints involved. 

Knowledge of workers' compensation and safety procedures is invaluable when setting goals to reduce and control workers' compensation costs.  Compensation claims and costs are controllable.  Employers who set goals to control claims and costs should realize these goals and many other related benefits.

_________________________________________________________________________________________

 

SECTION IV B: RISK MANAGEMENT

Risk Management Principles and Application

Source: FAA Office of System Safety

This is a discussion of safety risk management policy and procedures for implementing safety risk management as a decision making tool. It also discusses the establishment of a Safety Risk Management Committee.

It's important to develop a flexible but formalized safety risk management process for all high-consequence decisions, except in situations deemed to be an emergency. A high-consequence decision is one that either creates or could be reasonably estimated to result in a statistical increase or decrease in personal injuries and/or loss of life and health, a change in property values, loss of or damage to property, costs or savings, or other economic impacts valued at $100,000,000 or more per annum.

The objective of a risk management policy is to formalize a common sense approach to risk management and safety risk analysis/assessment. An organization should use a formal, disciplined, and documented decisionmaking process to address safety risks in relation to high-consequence decisions impacting the complete product life cycle. The critical information resulting from a safety risk management process can thereby be effectively communicated in an objective and unbiased manner to decisionmakers, and from decisionmakers to the public.

Risk managers should maintain safety risk management expertise appropriate to their operations, and should perform and document the safety risk management process prior to issuing the high-consequence decision. The risk manager should determine the documentation format. The approach to safety risk management is composed of the following steps:

1. Plan. A case-specific plan for risk analysis and risk assessment should be predetermined in adequate detail for appropriate review and agreement by the risk manager prior to commitment of resources. The plan should additionally describe criteria for acceptable risk.

2. Hazard Identification. The specific safety hazard or list of hazards to be addressed by the safety risk management plan should be explicitly identified to prevent ambiguity in subsequent analysis and assessment.

3. Analysis. Both elements of risk (hazard severity and likelihood of occurrence) should be characterized. The inability to quantify and/or lack of historical data on a particular hazard does not exclude the hazard from this requirement. If the seriousness of a hazard can be expected to increase over the effective life of the decision, this should be noted. Additionally, both elements should be estimated for each hazard being analyzed, even if historical and/or quantitative data is not available.

4. Assessment. The combined impact of the risk elements should be compared to acceptability criteria and the results provided for decisionmaking.

5. Decision. The risk management decision should consider the risk assessment results. Risk assessment results may be used to compare and contrast alternative options.

Principles for Safety Risk Assessment and Risk Characterization

Safety risk assessments, to the maximum extent feasible:

1. Are scientifically objective.

2. Are unbiased.

3. Include all relevant data available.

4. Employ default or conservative assumptions only if situation-specific information is not reasonably available. The basis of these assumptions must be clearly identified.

5. Distinguish clearly as to what risks would be affected by the decision and what risks would not.

6. Are reasonably detailed and accurate.

7. Relate to current risk or the risk resulting from not adopting the proposal being considered.

8. Allow for unknown and/or unquantifiable risks.

The principles to be applied when preparing safety risk assessments are:

1. Each risk assessment should first analyze the two elements of risk: severity of the hazard and likelihood of occurrence. Risk assessment is then performed by comparing the combined effect of their characteristics to acceptable criteria as determined in the plan.

2. A risk assessment may be qualitative and/or quantitative. To the maximum extent practicable, these risk assessments will be quantitative.

3. The selection of a risk assessment methodology should be flexible.

4. Basic assumptions should be documented or, if only bounds can be estimated reliably, the range encompassed should be described.

5. Significant risk assessment assumptions, inferences, or models should:

o Describe any model used in the risk assessment and make explicit the assumptions incorporated in the model.

o Identify any policy or value judgments.

o Explain the basis for choices.

o Indicate the extent that the model and the assumptions incorporated have been validated by or conflict with empirical data.

6. All safety risk assessments should include or summarize the information gathered. This record should be maintained by the organization performing the assessment.

Analysis of Risk Reduction Benefits and Cost

For each high-consequence decision, the following tasks should be performed:

1. a. Compare the results of a risk assessment for each risk-reduction alternative considered, including no action, in order to rank each risk assessment for decisionmaking purposes. The assessment will consider future conditions.

2. b. Assess the costs and the safety risk reduction or other benefits associated with implementation of, and compliance with, an alternative under final consideration.

Substitution Risks

Safety risk assessments of proposed changes to high-consequence decisions should include a statement of substitution risks. Substitution risks should be included in the risk assessment documentation.

Safety Risk Management Committee

A safety risk management committee can provide a valuable service to the organization for safety risk management planning. It can meet periodically to exchange risk management ideas and information. The committee can provide advice and counsel to the managers when requested.

The Safety Risk Management Committee provides a communication and support team to supplement the overall risk analysis capability and efficiency of key managers. The Committee supports safety risk management activities. It provides advice and guidance, upon request from responsible program offices, to help them fulfill their authority and responsibility to incorporate safety risk management as a decisionmaking tool. It serves as an internal vehicle for risk management process communication, for coordination of risk analysis methods, and for use of common practices where appropriate. This includes, but is not limited to:

1. Continuing the internal exchange of risk management information.

2. Fostering the exchange of risk management ideas and information to avoid duplication of effort.

3. Providing risk analysis/management advice and guidance.

4. Identifying and recommending needed enhancements to risk analysis/management capabilities and/or efficiencies upon request.

5. Maintaining a risk management resources directory that includes:

o Risk methodologies productively employed,

o Specific internal risk analysis/management expertise by methodology or tool and organizational contact point(s), and

o A central contact point for resource identification assistance.

6. Encouraging the establishment of a directory of safety information resources via the Internet.

7. Assisting in the identification of suitable risk analysis tools and initiate appropriate training in the use of these tools.

_________________________________________________________________________________________

Definition of Risk-based Decision Making

Source: USCG Risk-based Decision-making (RBDM) Guidelines.

The best place to begin this Introduction to Risk-based Decision Making is with the definition of risk-based decision making.

A process ...

Risk-based decision making involves a series of basic steps. It can add value to almost any situation, especially when the possibility exists for serious or catastrophic outcomes. The steps can be used at different levels of detail and with varying degrees of formality, depending on the situation. The key to using the process is in completing each step in the most simple, practical way to provide the information the decision maker needs. Some situations are so complex that detailed risk assessments are needed, but most can be addressed with more simple risk assessments.

... that organizes information about the possibility for one or more unwanted outcomes ...

This information about the possibility for one or more unwanted outcomes separates risk-based decision making from more traditional decision making. The consideration of possible losses for any set of stakeholders is unique to risk-based decision making. These losses can include such things as harmful effects on safety and health, the environment, property loss, or mission success. The risks for an engineered system or activity are determined by the types of possible losses, the frequency at which they are expected to occur, and the effects they might have. Although not certain, these possible losses present real risks that must be considered in most decision-making processes.

... into a broad, orderly structure ...

Most decisions require information not only about risk, but about other things as well. This additional information can include such things as cost, schedule requirements, and public perception. In risk-based decision making, all of the identifiable factors that affect a decision must be considered. The factors may have different levels of importance in the final decision. Therefore, an orderly decision analysis structure that considers more than just risk is necessary to give decision makers the information needed to make smart choices.

... that helps decision makers ...

The only purpose of risk-based decision making is to provide enough information to help someone make a more informed decision. The process focuses on organizing information for logical understanding. It does not replace the decision maker. Neither should it force the decision maker into burdensome risk assessments to gather information that is either irrelevant to the decision or too late to affect it.

... make more informed management choices

The goal of risk-based decision making is to help people make better, more logical choices without complicating their work or taking away their authority. A good decision made quickly is much better than a perfect decision made too late. Also, a good decision does not always result in a good outcome. The best we can hope for is to equip intelligent decision makers with good information based on a number of decision factors and the interests of stakeholders. On average, and over time, good decisions made through this process should provide the best outcomes. They will also provide logical explanations for decisions when the outcomes are not favorable.

Do You Need Risk-based Decision Making?

We make hundreds of risk-based decisions every day:

• Should I change lanes on the interstate?

• How often should I change the oil in my car?

• What can I do to lower my risk of cancer?

• Can I put off this task until later without affecting my project?

For almost every decision, there is a chance for some unwanted outcome. We include this possibility in our decisions, along with the consequences of the unwanted outcomes and the effort that would be needed to make the unwanted outcomes less likely or less severe.

Informal risk-based decision making

For most of our decisions, we do not formally assess the likelihood and consequences of possible unfortunate outcomes. For example, we do not study traffic statistics before changing lanes. Instead, we rely on our feel for the situation to create a level of comfort. If we are uncomfortable, we look for ways to change the situation to make ourselves more comfortable with the risks. For these types of decisions, the risk-based decision-making process takes place within seconds and becomes second nature.

Formal risk-based decision making

For some decisions, we are more formal about assessing the frequencies and consequences of possible unwanted outcomes. For example, when we decide how to provide for our families in case we are injured or killed, we rate a number of factors, including the following:

• The possible losses we face (from short-term disabilities to death)

• The chances of those losses

• The economic consequences of those losses

• The ways in which we can protect against the effects of the losses; for example, we can buy insurance

• The acceptability of the risks and impacts of the protections; for example, can we afford the insurance or are we willing to give up certain extras?

The Risk-based Decision-making Process

Regardless of how formally you address risk-based decision making or the specific tools you use, risk-based decision making is made up of five major components, which are shown in the figure above.

Components of risk-based decision making

The following sections introduce the five components of risk-based decision making.

Step 1. Establish the decision structure

Understanding and defining the decision that must be made is critical. This first component of risk-based decision making is often overlooked and deserves more discussion. The following steps must be performed to accomplish this critical component:

Step 1a — Define the decision. Specifically describe what decision(s) must be made. Major categories of decisions include (1) accepting or rejecting a proposed facility or operation, (2) determining who and what to inspect, and (3) determining how to best improve a facility or operation.

Step 1b — Determine who needs to be involved in the decision. Identify and solicit involvement from key stakeholders who (1) should be involved in making the decision or (2) will be affected by actions resulting from the decision-making process.

Step 1c — Identify the options available to the decision maker. Describe the choices available to the decision maker. This will help focus efforts only on issues likely to influence the choice among credible alternatives.

Step 1d — Identify the factors that will influence the decisions (including risk factors). Few decisions are based on only one factor. Most require consideration of many factors, including costs, schedules, risks, etc., at the same time. The stakeholders must identify the relevant decision factors.

Step 1e — Gather information about the factors that influence stakeholders. Perform specific analyses (e.g., risk assessments and cost studies) to measure against the decision factors.

Step 2. Perform the risk assessment.

Different types of risk are important factors in many types of decisions. Very simply, risk assessment is the process of understanding the following:

• What bad things can happen

• How likely they are to happen

• How severe the effects may be

The bad things of interest can be safety and health losses, property losses, environmental losses, schedule impacts, political issues, etc.

Risk assessment can range from very simple, personal judgments by individuals to very complex assessments by expert teams using a broad set of tools and information, including historical loss data. The key to risk assessment is choosing the right approach to provide the needed information without overworking the problem.

The following steps must be performed to asses risk:

Step 2a — Establish the risk-related questions that need answers. Decide what questions, if answered, would provide the risk insights needed by the decision maker.

Step 2b — Determine the risk-related information needed to answer the questions. Describe the information necessary to answer each question posed in the previous step. For each information item, specify the following:

• Information type needed

• Precision required

• Certainty required

• Analysis resources (staff-hours, costs, etc.) available

Step 2c — Select the risk analysis tool(s). Select the risk analysis tool(s) that will most efficiently develop the required risk-related information.

Step 2d — Establish the scope for the analysis tool(s). Set any appropriate physical or analytical boundaries for the analysis.

Step 2e — Generate risk-based information using the analysis tool(s). Apply the selected risk analysis tool(s). This may require the use of more than one analysis tool and may involve some iterative analysis (i.e., starting with a general, low-detail analysis and progressing toward a more specific, high-detail analysis).

Step3. Apply the results to risk management decision making.

One goal in most decision-making processes is to lower risk as much as possible. Sometimes the risk will be acceptable; at other times, the risk must change to become acceptable. To reduce risk, action must be taken to manage it. These actions must provide more benefit than they cost. They must also be acceptable to stakeholders and not cause other significant risks.

The following steps must be performed to manage risk:

Step 3a — Assess the possible risk management options. Determine how the risks can be managed most effectively. This decision can include (1) accepting/rejecting the risk or (2) finding specific ways to reduce the risk.

Step 3b — Use risk-based information in decision making. Use the risk-related information within the overall decision framework to make an informed, rational decision. This final decision-making step often involves significant communication with a broad set of stakeholders.

Step 4. Monitor effectiveness through impact assessment.

Impact assessment is the process of tracking the effectiveness of actions taken to manage risk. The goal is to verify that the organization is getting the expected results from its risk management decisions. If not, a new decision-making process must be considered.

Step 5. Facilitate risk communication.

Risk communication is a two-way process that must take place during risk-based decision making.

At every step in the process, encourage stakeholders to do the following:

Provide guidance on key issues to consider. Stakeholders identify the issues of importance to them. They present their views on how each step of the process should be performed, or at least provide comments on plans suggested by others.

Provide relevant information needed for assessments. Some or all of the stakeholders may have key information needed in the decision-making process.

Provide buy-in for the final decisions. Stakeholders should agree on the work to be done in each phase of the risk-based decision-making process. They can then support the ultimate decisions.

__________________________________________________________________________________________

Dealing with Information Precision, Uncertainty, and Resource Needs

Source: USCG Risk-based Decision-making (RBDM) Guidelines.

[pic]

Information needed for decision making is characterized by its precision and certainty. The level of precision and certainty is balanced by our willingness to expend resources to obtain it. Generally, highly precise, highly certain information is very expensive to obtain.

To make risk-based decisions, the decision maker must understand how future accidents can occur. For example, information on historical performance may be available, but the decision maker believes that this information does not adequately predict the existence of other potential accidents.

Therefore, the decision maker commissions a risk assessment to provide more certain information about future accidents. As expected, additional resources were expended to obtain this more certain information. As more certain, more precise information is required to predict future performance, more resources are required to obtain it.

Dealing with information precision

The precision of information is characterized by its level of detail. For example, a person can be from the United States, Texas, or Dallas. Likewise, a number can be described by the number of places following the decimal point. The more precise the information, the more detail is inherent in it.

The decision maker must understand the precision required to make a decision. If knowing that a person is from Texas is sufficient to make a decision, there is no need to expend resources to determine which city in Texas the person is from. Likewise, if numerical information to one decimal place is precise enough to make a decision, information precise to three decimal places will not affect it.

Dealing with information uncertainty

In any decision-making process, there is constant struggle between the need for more and better information and the practicality of improving the information. This is illustrated by the simple figure below.

[pic]

Even when a lot of information is collected, a great deal of uncertainty remains. So the decision makers and information suppliers must work together to make sure that the cost of collecting more accurate data does not outweigh the benefits of having it. This is why analysts should never use very complex risk assessment tools without first trying to meet decision-making needs with simpler tools.

Dealing with uncertainty is part of any decision-making process. Therefore, those taking part in decision making, either directly or indirectly, must be aware of the most likely sources of uncertainty: model uncertainty and data uncertainty.

Model uncertainty

The models used in both the general decision-making structure and in detailed risk assessments will never be perfect. The detail in a model and scope boundaries will determine how well the model reflects reality. Even if the data are perfect, the model usually brings some doubt into the results.

For example, Phil was asked to describe what factors would influence his choice of a new car. If Phil cannot describe all of the factors that influence his choice, then these factors will not appear in his decision model.

More detailed levels of risk analysis can reduce model uncertainty by more thoroughly accounting for potentially important loss sequences. However, more thorough analysis also costs more.

The simplest risk assessments are historical event summaries and account only for known accidents, and possibly some near misses, that have occurred during some reporting period. Streamlined risk assessments require more resources, but they also account for more near misses, as well as other recognized accident scenarios that did not occur. More detailed risk assessments require even more resources, but they systematically identify and account for previously unrecognized accident scenarios.

Data uncertainty

Data uncertainty causes much concern during decision making. Data uncertainty arises from any or all of the following:

• The needed data do not exist

• The analysts do not know where to collect the data, or they do not have the staff, funds, or time to collect it

• The quality of the data is questionable, usually because of the methods used to gather it

• The data vary widely, making their use complex

Although steps can be taken to reduce uncertainty in data, all data have some uncertainty. This uncertainty cannot be ignored. Following are methods available for dealing with data uncertainty:

Subjectively characterize uncertainty (for example, as high or low). A simple approach in which doubt in the final answer is estimated based on personal experience or belief.

Perform calculations using best-case and worst-case situations. An approach that uses different calculations for best-case and worst-case conditions to reflect the range of possible outcomes.

Analyze a number of possible situations (i.e., what-if scenarios). An expanded version of the previous approach that involves calculations for many other sets of conditions, usually including an estimate of how likely each set is to occur.

Decrease the precision requirements. Using broader ranges when categorizing the frequency and consequence of accidents increases the certainty in the selection.

Perform calculations using probability distributions in place of discrete estimates. A more complicated approach that uses statistics to describe data used in a model so that statistical descriptions of the expected outcomes can be formed.

Choose a simple method first for dealing with uncertainty. If decision makers need better estimates, the uncertainty can be reduced for the issues that most affect the model.

Dealing with resource needs

The objective is to use the minimum resources necessary to develop the required information. One effective means of minimizing resources involves starting with the lowest-cost approach that can possibly provide needed information with the required precision and certainty. This strategy most often relies on "streamlined" forms of traditional risk assessment tools. For example, before requesting any detailed modeling, the decision maker might contact one or more system experts and simply ask their perception of the answer to the risk-based question. Based on their experience, the experts may be able to provide the needed results with adequate precision and certainty. The need for more detailed analysis is therefore avoided. Be ready to commission more detailed risk assessments, though, if results from the less detailed approaches are not suitable for making a decision.

Dealing with expert bias

Risk assessments often rely on expert judgments for estimates of frequencies, probabilities, and expected levels of consequence. Reliance on experts is necessary when loss data is nonexistent or when schedule/budget constraints do not allow collection and evaluation of loss data.

The down side of relying on expert judgment is that the expert(s) may be unintentionally (or intentionally) biased. Experts often rely on heuristics (rules of thumb) to reach judgments quickly. The following heuristics are known to cause experts to introduce bias in their responses:

• Availability - people judge the likelihood of an event by how easily they can recall or imagine examples.

• Representativeness - people judge an event by how closely it represents a stereotypical member of a group.

• Anchoring and adjustment - people often pick a starting value, or anchor, and then adjust up and down from it. They may not adjust adequately to a new value when new information comes to light

• Affect - positive information about the benefit of an activity can affect an individual's perception/inference of the risk associated with the activity, causing underestimation of the risk. Alternatively, negative information about the benefit of an activity can cause an individual to overestimate the risk.

The following are general guidelines to help reduce bias when querying experts:

• Encourage some anecdotal data (story-telling, etc.), but ask if reported events are truly representative of the norm, or are outliers.

• Ask the expert about the process used to arrive at a decision/conclusion.

• Reframe questions from different perspectives.

• Ask for upper and lower bounds before asking for the best estimate evaluation.

• Discuss the implications of selecting one answer versus another.

• Resolve apparent discrepancies or inconsistencies.

• Ensure results are plausible.

Barriers to Risk-based Decision Making

A common barrier to risk-based decision making is the perception that mounds of highly precise, technical data are required before a decision can be made. Overcome this perceived barrier by trying to develop the data from information that is already at hand. Even though the precision and certainty of this data may not be high, they may be high enough for the decision maker. When more detailed data are required, then you know that you have at least tried to develop the required decision-making information from what was immediately available to you using the minimum resources.

Another common barrier to risk-based decision making is the perception that the risk assessment part of the process takes far too much time. There is no question that more time is required for complicated decisions that use information developed from highly precise and certain data. However, risk-based decisions are often not this complicated. Do existing risk-based decision-making tools like checklists and risk indexes work? These tools take very little time, but they often end up providing the information needed to make the decision.

One impediment to risk-based decision making is found in the culture of "it's always been done this way." Challenge this thinking. Why has it always been done this way? Do regulations REQUIRE this decision to be made this way, or is this simply a convenient interpretation of a flexible rule?

Sometimes the prescriptive requirements that appear to be inflexible can be changed. Use the risk-based decision-making process to help change prescriptive requirements that do not effectively manage important risks.

Risk-based decision making is for everyone. An inexperienced person given basic training in the use of a well-developed risk-based checklist will make good risk-based decisions. Tear down barriers that cause people to believe risk-based decision making is only for the most experienced. Use the experienced people to help develop information for complex decisions and to create new risk-based decision-making tools. No one should perceive experience as a barrier to risk-based decision making.

______________________________________________________________________________________

Risk Assessment and Management

Source: South Carolina Department of Labor, Licensing and Regulation

What is Risk Assessment?

Performing a risk assessment is the first step toward ensuring that all hazards at a worksite have been identified.

• Risk is the chance of injury, damage, or loss.

• Chance means the probability of something happening.

A Hazard is something that is dangerous – an object, a chemical, an infectious agent, or a situation. Hazards are categorized into three groups; Physical hazards, Chemical hazards, and Biological hazards

Risk assessment is an action or series of actions taken to recognize or identify hazards and to measure the risk or probability that something will happen because of the hazard. In evaluating risk, the severity of the consequences is also taken into account.

Risk Management

Once you have identified the risk, you should review the risk management portion of the plan and address proactive, preventative control measures.

Risk Management is divided into two distinct areas: risk reduction/elimination and management of the risk.

1. Risk reduction/elimination. Can the risk be reduced or eliminated? Part one of this section list ways to reduce or minimize some of the risks identified on page 10.

2. Management. If the risk cannot be eliminated, it must then be managed through security and crisis management.

a. Security. For many risks, an important risk management tool is to increase security. Security information is given on page16 of this section.

b. Crisis Management. A crisis management plan should be in place to clearly identify everyone’s responsibilities during an emergency. Every workplace should have an emergency action plan that is communicated to employees both verbally and in writing. The event that requires emergency action could be a fire or explosion caused by an act of terrorism/sabotage.

Be aware that the risk management process is an ongoing process and must be periodically re-evaluated (at least annually).

Risk Reduction/Elimination

Can the risk be reduced or eliminated?

Risk reduction/elimination methods and reference information are provided for chemicals, infectious material, radioactive materials, explosives, utility providers, sewer treatment facilities, emergency services, food or water providers, workplaces with a high volume of incoming materials and transportation-related workplaces. Employers should take into account the type of personal protective equipment needed for employees and the implementation of a hazardous material communication plan.

_____________________________________________________________________________________

ASSESSING RISK USING WITH PARETO ANALYSIS

Source: USCG Risk-based Decision-making (RBDM) Guidelines.

Pareto analysis is a prioritization technique that identifies the most significant items among many. This technique employs the 80-20 rule, which states that about 80 percent of the problems or effects are produced by about 20 percent of the causes.

Brief summary of characteristics

• Used as a risk assessment technique at any level, from activity level to system level

• Yields broad, quantitative results that are graphically depicted on simple bar charts

• Depending on the information analyzed, generally requires some form of data tracking (e.g., monitoring the number of accidents caused by piloting)

Applicable to any activity or operating system

Most common uses

• Most often used to rank activity or system accidents

• Can be used to rank the causes that contribute to accidents

• Also used to evaluate the risk improvement that results from activity or system modifications with "before" and "after" data

The following graph is an example of the final results from a Pareto analysis.

Pareto Graph of Propulsion System Problems

[pic]

 

Limitations of Pareto Analysis

Although Pareto analysis is highly effective in identifying the most significant contributors to activity or system problems, this technique has three limitations:

Focuses only on the past. Pareto analysis develops risk-related characteristics for an activity or system based solely on the numbers and types of problems encountered in the past. While Pareto analysis offers a valuable look at key contributors to past problems, the exclusive reliance on historical data can be misleading in the following ways:

1. The data under-represent events that, luckily, have not happened yet or have occurred rarely but that, statistically, are just as likely as events that have occurred more frequently. This can skew decisions and resource allocations, especially when a relatively small total number of problems has occurred for individual components or types of components.

2. Recent changes in operating practices, maintenance plans, equipment configurations, etc., may invalidate historical trends, or at least reduce their accuracy. This situation can also skew decisions and resource allocations, both when relatively recent changes have not been in place long enough to affect the data or when data are analyzed over extremely long time intervals during which numerous changes have been made.

Variability in levels of risk assessment resolution. Deciding how to group elements of an activity or system for a Pareto analysis is an inherently subjective exercise. It produces significant variability in (1) the time required to perform the analysis and (2) the level of resolution in the results. Grouping elements at too high a level may mask significant variations among elements in each group. On the other hand, grouping elements at too low a level may falsely indicate relative importance of individual components.

Dependent on availability and applicability of data. The quality of Pareto analyses is completely dependent on the availability of relevant and reliable data for the activity or system being analyzed. A diligent focus on collecting meaningful data is critical to a successful Pareto analysis.

The procedure for performing a Pareto analysis consists of the following eight steps. Each step will be further explained on the following pages

Procedure for Pareto Analysis

1.0 Define the activity or system of interest

Intended functions. All risk assessments are concerned with how an activity or system can fail to perform an intended function. A clear definition of the intended functions for an activity or system is, therefore, an important first step in any analysis. This step does not have to be formally documented for most Pareto analyses.

Example: "The vessel must be able to take passengers to their destination safely"

Boundaries. Few activities or systems exist in isolation. Most interact with other activities or systems. By clearly defining the boundaries of an activity or system, the analyst can avoid (1) overlooking key elements of an activity or system at interfaces and (2) penalizing an activity or system by associating other issues with the subject of the study. This is especially true of boundaries that support activities or systems such as electric power and compressed air.

Example of boundaries for a Pareto analysis

Vessel Systems

Within boundaries

• Bridge control systems

• Electrical systems

• Fuel, water, and oil storage systems

• Propulsion systems

• Steering systems

• Structural systems

Outside of boundaries

• Heating, ventilation, and air conditioning (HVAC) systems

 

2.0 Define the specific risk-related factors of merit

Specify the metrics that best characterize the problems of interest. Virtually any metric can serve as the basis for a Pareto analysis. Sometimes, the metrics are even more restrictively defined by being linked to a specific type of activity or system problem, such as the number of failures of elements of a vessel's propulsion system. The key is to define the factors of merit that will best help decision makers make more informed decisions. A Pareto analysis can address more than one factor of merit simultaneously, but separate plots must be created for each. In other words, the systems most important for preventing safety events may not be the same systems as those most important for preventing environmental problems.

3.0 Subdivide the activity or system for analysis

An activity or system may be divided at many different levels of resolution, as illustrated above. Generally speaking, Pareto analyses should try to characterize risk-related performance for an activity or system at the broadest level possible, based on the availability of applicable data. The procedure for subdividing an activity or system for Pareto analysis is typically iterative, beginning with a broad subdivision into major operations or subsystems. An example breakdown is shown below.

This strategy of beginning at the operation or subsystem level helps promote effective and efficient risk assessments by (1) ensuring that all key issues are considered, (2) encouraging analysts to avoid unnecessary detail, and (3) using a structure that helps avoid overlooking lower-level issues (if further subdivision of the activity or system is necessary).

Example of system subdivision

Vessel systems within the boundaries of the analysis

• Bridge control systems

o control system

• Electrical systems

o power system

o safety interlock system

• Fuel, water, and oil storage systems

o fuel tanks and piping

o oil tanks and piping

o water and ballast tanks and piping

• Propulsion systems

o diesel engine

o diesel engine cooling system

o diesel engine ignition system

o diesel engine lubrication system

o fuel system

o screw

o transmission and drive system

• Steering systems

o hydraulic system

o steering lubrication system

• Structural systems

o cable trays

o engine mounts

o pipe hangers

o pump mounts

 

4.0 Determine which elements of the activity or system lead to the problems of interest

Only elements of the activity or system that have produced the problem of interest should be included in the Pareto analysis. Omit others from the analysis.

5.0 Collect and organize relevant risk data for elements of the activity or system

Relevant risk-related data for elements of activities or systems are available from a number of sources. These include the following:

• Accident records

• Near-miss records

• Maintenance records

• Operations reports

• Survey records

This step generally involves two activities:

• Gathering the raw data about events of interest

• Tabulating the data in a convenient format for generating the Pareto charts, as shown in the following example

 

6.0 Plot the data on Pareto charts

Choose one factor of merit. Select one of the factors of merit listed previously.

Construct the framework of a chart. Define the grid for plotting contributions of the various elements of the activity or system. A dual vertical axis plot is generally used, with the left axis defining the range for actual values of the factor of merit (e.g., the range of actual accidents for various elements of the activity or system) and the right axis defining the cumulative contribution of the elements.

[pic]

Arrange the contributing elements along the horizontal axis. Begin on the left side of the horizontal axis by listing the element that contributes most to the selected factor of merit. Then, moving toward the right of the horizontal axis, list each of the other contributing elements successively in decreasing order of their contribution. You may choose to combine several less important elements into an "other" category to simplify your chart. Be sure you do not combine so many elements together that "other" becomes a dominant contributor.

Plot the data. For each element, draw a vertical bar that relates to the left axis of the chart and indicates the actual value of the factor of merit attributed to that element.

[pic]

Then, draw a point based on the right axis of the chart indicating the cumulative percentage that the element with all of the other elements to its left contributes to the total value of the factor of merit for the activity or system. In this example, there were three failures out of five total failures attributed to the electrical system for this factor of merit. Therefore, the first element contributed three out of five, or 60%, of the cumulative percentage of problems. The second element contributing to this factor of merit, propulsion system, added an additional two failures. Adding these additional two failures to the three from the element to its left (electrical system) produces five out of the five total failures, or 100% of the cumulative.

[pic]

Repeat the process for other important factors of merit. Repeat the previous steps for any other factors of merit that are pertinent and for which data have been collected. In this example, another chart could be generated to show the distribution of the number of failures of elements of the vessel's maneuvering system during transit.

The "important few" failures can easily be seen on this graph. For systems with a history of affecting the vessel's propulsion ability during transit, electrical system and engine system problems deserve the highest priority and should perhaps be subdivided.

Certainly, other types of chart formats (e.g., pie charts) can be equally effective for presenting Pareto analysis results. Use the formats with which management feels most comfortable.

7.0 Further subdivide the elements of the activity or system (if necessary or otherwise useful)

Further subdivision of activities or systems into operations or subsystems occurs only under the following conditions:

• Applicable data at an activity or system level are not available

• Decision makers need information at a more detailed level

Often, only a few activities or systems must be expanded.

If the above criteria apply to one or more activities, those activities may be further divided into operations. In a similar manner, operations may be divided into functions, functions into systems, etc.

At each level, the process of collecting, organizing, and plotting data is repeated. For operation, function, subsystem, and component charts, the cumulative percentages can be based on (1) the percentage of the overall factor of merit for the entire activity or system (as shown in the graphs on the next page) or (2) the percentage of the factor of merit attributed to the next higher level of the hierarchy (that is, the percentage a function contributes to an operation or a component contributes to a subsystem)

Example

[pic]

[pic]

8.0 Use the results in decision making

Assess the applicability of the results to your current situation. Study the data to determine whether any recent changes might invalidate the trends reflected in the risk assessment results.

Judge acceptability. Decide whether the overall value of the factor of merit for the activity or system meets an established goal or requirement.

Identify improvement opportunities. Identify elements of the activity or system that are the largest contributors to future risk-related problems. These are the "important few" elements with the largest percentage contributions to the pertinent risk-related factors of merit.

Make recommendations for improvements. Develop specific suggestions for improving future activity or system performance, including any of the following:

• Equipment modifications

• Procedural changes

• Administrative policy changes, such as planned maintenance tasks, operator training, etc.

Justify allocation of resources for improvements. Estimate how implementation of expensive or controversial recommendations for improvement will affect future risk-related performance. Compare the economic benefits of these improvements to the total life cycle costs of implementing each recommendation.

Monitor changing contributions over time. Periodically (e.g., monthly or quarterly), reevaluate activity or system performance to identify changes in the overall factors of merit as well as the key contributors to each factor of merit. This ongoing monitoring can provide the following benefits:

• Document that goals and requirements have been met and are being maintained or improved upon

• Provide quick recognition of negative trends in system performance so that root cause analyses may be launched to solve emerging problems

• Document the benefits that specific improvement recommendations are producing

• Identify instances where specific improvement recommendations are not producing the desired effects and need to be reevaluated

______________________________________________________________________________________

Checklist Analysis

Source: USCG Risk-based Decision-making (RBDM) Guidelines.

Checklist analysis is a systematic evaluation against pre-established criteria in the form of one or more checklists.

Brief summary of characteristics

• A systematic approach built on the historical knowledge included in checklist questions

• Used for high-level or detailed analysis, including root cause analysis

• Applicable to any activity or system, including equipment issues and human factors issues

• Generally performed by an individual trained to understand the checklist questions. Sometimes performed by a small group, not necessarily risk analysis experts

• Based mostly on interviews, documentation reviews, and field inspections

• Generates qualitative lists of conformance and nonconformance determinations, with recommendations for correcting nonconformances

• The quality of evaluation is determined primarily by the experience of people creating the checklists and the training of the checklist users

Most common uses

• Used most often to guide boarding teams through inspection of critical vessel systems

• Also used as a supplement to or integral part of another method, especially what-if analysis, to address specific requirements

• A special, graphical type of checklist called a Root Cause Map™ is particularly effective for root cause analysis.

Limitations of Checklist Analysis

Although checklist analysis is highly effective in identifying various system hazards, this technique has two key limitations:

Likely to miss some potential problems. The structure of checklist analysis relies exclusively on the knowledge built into the checklists to identify potential problems. If the checklist does not address a key issue, the analysis is likely to overlook potentially important weaknesses.

Traditionally only provides qualitative information. Most checklist reviews produce only qualitative results, with no quantitative estimates of risk-related characteristics. This simplistic approach offers great value for minimal investment, but it can answer more complicated risk-related questions only if some degree of quantification is added, possibly with a relative ranking/risk indexing approach.

Procedure for Checklist Analysis

The procedure for performing a checklist analysis consists of the following seven steps. Each step will be further explained on the following pages.

1.0 Define the activity or system of interest. Specify and clearly define the boundaries for which risk-related information is needed.

2.0 Define the problems of interest for the analysis. Specify the problems of interest that the analysis will address. These may include safety problems, environmental issues, economic impacts, etc.

3.0 Subdivide the activity or system for analysis. Section the subject into its major elements. These may include locations on the waterway, tasks, or subsystems. The analysis will begin at this level.

4.0 Gather or create relevant checklists for the problems of interest. Identify and collect lists of important questions or issues related to the type of potential problems within the scope of the analysis. If useful checklists are not available, consider developing your own checklists with the assistance of subject matter experts.

5.0 Respond to the checklist questions. Use a team of subject matter experts to respond to each of the checklist questions. Develop recommendations for improvement wherever the risk of potential problems seems uncomfortable or unnecessary.

6.0 Further subdivide the elements of the activity or system (if necessary or otherwise useful). Further subdivision of selected elements of the activity or system may be necessary if more detailed analysis of one or more elements is desired. Section those elements into successively finer levels of resolution until further subdivision will (1) provide no more valuable information or (2) exceed the organization's control or influence to make improvements. Generally, the goal is to minimize the level of resolution necessary for an analysis.

7.0 Use the results in decision making. Evaluate the recommendations from the analysis and implement those that will bring more benefits than costs over the life cycle of the activity or system.

 

1.0 Define the activity or system of interest

Intended functions. Because all risk assessments look at ways in which intended functions can fail, a clear definition of these intended functions is an important first step in any risk assessment. This step does not have to be formally documented in most checklist analyses.

Boundaries. Few activities or systems operate in isolation. Most interact with others. Boundaries may include areas where a vessel will transit or boundaries with support systems such as electric power and compressed air. By clearly defining the boundaries of the study, the analyst helps to avoid the following:

• Overlooking key elements of an activity or system at interfaces

• Penalizing an activity or system by associating other equipment with the subject of the study

2.0 Define the problems of interest for the analysis

Safety problems. The risk assessment team may be asked to look for ways in which improper performance of a marine activity or failures in a hardware system may result in personnel injury. These injuries may be caused by many mechanisms, including the following:

• Vessel collisions or groundings

• Person overboard

• Exposure to high temperatures (e.g., steam leaks)

• Fires or explosions

Environmental issues. The risk assessment team may be asked to look for ways in which the conduct of a particular activity or the failure of a system can adversely affect the environment. These environmental issues may be caused by many mechanisms, including the following:

• Discharge of material, intentionally or unintentionally, into the water

• Equipment failures, such as seal failures, that result in a material spill

• Overutilization of a marine area, resulting in a disruption of the ecosystem

Economic impacts. The analysis team may be asked to look for ways in which the improper conduct of a particular activity or the failure of a system can have undesirable economic impacts. These economic risks may be categorized in many ways, including the following:

• Business risks such as vessels detained at port, contractual penalties, or lost revenue

• Environmental restoration costs

• Replacement costs for damaged equipment

A particular analysis may focus only on events above a certain threshold of concern in one or more of these categories.

 

3.0 Subdivide the activity or system for analysis

An activity or system may be divided at many levels of resolution. Generally speaking, analysts should try to describe risk-related characteristics for an activity or system at the broadest level possible. The procedure for subdividing an activity or system for risk assessment is typically repetitive, beginning with a broad subdivision into major sections or tasks.

This strategy of beginning at the highest level helps promote effective and efficient risk assessment by (1) ensuring that all key attributes are considered in the risk assessment, (2) encouraging analysts to avoid unnecessary detail, and (3) using a structure that helps to avoid overlooking individual components or steps if further subdivision is necessary.

4.0 Gather or create relevant checklists

Following are the three major types of checklists that you will likely be able to use in your risk assessment:

Internal checklists. Many formal and informal checklists commonly exist internally. In some cases, Coast Guard or regulatory standards mandate the use of specific checklists at key points. Examples include boarding checklists, design checklists, fabrication or installation checklists, pre-startup checklists, etc. These checklists may be updated regularly to help build organizational knowledge and to prevent problems from recurring. Frequently, there are less formal checklists used within selected geographic, functional, or organizational groups. The following are some examples:

• Checklists of key equipment that must be inspected on foreign flagged vessels while they are in port

• Checklists of key equipment specification and configuration requirements for selected applications. These are often based on vendor-specific design standards

• Checklists of best practices for making systems more maintainable

• Checklists of best practices for making systems easier to operate. These would include human factors and ergonomic issues

•

Many of these checklists may be general purpose and applicable to a variety of situations; others will be for more specific applications.

Checklists should generally be created and maintained by a team of experts. This is especially true of checklists that will be broadly applied. This team approach builds the checklists from many years of experience and forces consensus on important issues rather than relying on one person's ideas about what is best or necessary.

External checklists. When internal checklists do not exist or additional ideas about potential issues must be considered, external checklists may be used. External checklists may come from a variety of sources, including the following:

• Requirements in codes, standards, and regulations

• Industry best practices and guidelines

• Application guidelines from vendors

• Checklists gathered from other companies or organizations with similar applications

Of course, the key issue with external checklists is to be certain that they are applicable to your specific situation. If not, they may overlook important issues or may drive you to implement unnecessary changes.

Customized checklists. For many risk-based decisions for which a checklist analysis is appropriate, no suitable previously developed checklist will be available. In these cases, a customized checklist must be developed.

Questions for customized checklists should be derived from suitable existing checklists as much as possible.

Where other checklists are not helpful, the analyst or the analysis team should discuss important issues and compose specific checklist questions to structure the risk assessment. Frequently, these questions ask whether particular safeguards are in place to protect against key weaknesses. The questions should then be sorted according to subject area and incorporated with other checklist questions obtained from other sources. If the checklist may be used for many applications in the future, you may want to use a more structured risk assessment tool, such as what-if analysis, to help build a reasonably complete checklist of important issues.

5.0 Respond to the checklist questions

Each checklist question must be answered by people who are knowledgeable about the subject of the risk assessment, including the design, operation, and maintenance of associated systems.

Answering checklist questions generally involves two decisions:

(1) Is the question applicable to this situation?

(2) If so, are there weaknesses related to this question? This is typically indicated by "no" answers to checklist questions.

When weaknesses are identified, the respondents generate recommendations for improvements to address those weaknesses.

6.0 Further subdivide the elements of the activity or system (if necessary or otherwise useful)

Further subdivision of activities or systems occurs only under the following conditions:

• Applicable data at the higher levels are not available

• Decision makers need information at a more detailed level

Often, only a few activities or systems must be subdivided.

If the above criteria apply to one or more subsystems, they may be further divided into components. In a similar manner, broad activities or tasks may be divided into individual steps. At each level, the process of performing the checklist analysis is repeated.

Checklist analyses of any or all of these subsystems might occur if they were important from a risk perspective.

 

7.0 Use the results in decision making

Judge acceptability. Decide whether the activity or system meets established requirements.

Identify improvement opportunities. Identify the elements of the activity or system most likely to contribute to future risk-related problems, based on identified deficiencies.

Evaluate recommendations for improvements. Evaluate the specific suggestions for improving the activity or system performance, including any of the following:

• Equipment modifications

• Procedural changes

• Administrative policy changes such as planned maintenance tasks, operator training, etc.

Justify allocation of resources for improvements. Estimate how implementation of expensive or controversial recommendations will affect future performance. Compare the risk-related benefits of these improvements to the total life-cycle costs of implementing each recommendation.

__________________________________________________________________________________________

Risk Management Glossary

1. COSTS. Direct and indirect costs to the United States Government, State, local, and tribal governments, international trade impacts, and the private sector.

2. EMERGENCY. A circumstance that requires immediate action to be taken.

3. HAZARD. Condition, event, or circumstance that could lead to or contribute to an unplanned or undesired event.

4. HAZARD IDENTIFICATION. Identification of a substance, activity, or condition as potentially posing a risk to human health or safety.

5. HIGH-CONSEQUENCE DECISION. Decision that either creates or could be reasonably estimated to result in a statistical increase or decrease in personal injuries and/or loss of life and health, a change in property values, loss of or damage to property, costs or savings, or other economic impacts valued at $100,000,000 or more per annum.

6. PRODUCT LIFE CYCLE. The entire sequence from precertification activities through those associated with removal from service.

7. MISHAP. Unplanned event, or series of events, that results in death, injury, occupational illness, or damage to or loss of equipment or property.

8. RISK. Expression of the impact of an undesired event in terms of event severity and event likelihood.

9. RISK ASSESSMENT. (a) Process of identifying hazards and quantifying or qualifying the degree of risk they pose for exposed individuals, populations, or resources; and/or (b) Document containing the explanation of how the assessment process is applied to individual activities or conditions.

10. RISK CHARACTERIZATION. Identification or evaluation of the two components of risk, i.e., undesired event severity and likelihood of occurrence.

11. RISK MANAGEMENT. Management activity ensuring that risk is identified and eliminated or controlled within established program risk parameters.

12. SAFETY RISK. Expression of the probability and impact of an undesired event in terms of hazard severity and hazard likelihood.

13. SUBSTITUTION RISK. Additional risk to human health or safety, to include property risk, from an action designed to reduce some other risk(s).

__________________________________________________________________________________________

SECTION IV C: GENERAL LIABILITY/PRODUCT SAFETY

US Consumer Product Safety Commission

The U.S. Consumer Product Safety Commission (CPSC), an independent federal regulatory agency that was created in 1972 by Congress in the Consumer Product Safety Act. In that law, Congress directed the Commission to "protect the public against unreasonable risks of injuries and deaths associated with consumer products."

The CPSC has jurisdiction over about 15,000 types of consumer products, from automatic-drip coffee makers to toys to lawn mowers. Some types of products, however, are covered by other federal agencies. For example, cars, trucks and motorcycles are covered by the Department of Transportation; foods, drugs and cosmetics are covered by the Food and Drug Administration; and alcohol, tobacco and firearms are within the jurisdiction of the Department of the Treasury.

CPSC works to reduce the risk of injuries and deaths from consumer products by:

• developing voluntary standards with industry

• Issuing and enforcing mandatory standards; banning consumer products if no feasible standard would adequately protect the public

• obtaining the recall of products or arranging for their repair

• conducting research on potential product hazards

• informing and educating consumers through the media, state and local governments, private organizations, and by responding to consumer inquiries.

_________________________________________________________________________________________

Products Liability Law: An Overview

Source: The Legal Information Institute (law.cornell.edu/lii.html)

Products liability refers to the liability of any or all parties along the chain of manufacture of any product for damage caused by that product. This includes the manufacturer of component parts (at the top of the chain), an assembling manufacturer, the wholesaler, and the retail store owner (at the bottom of the chain). Products containing inherent defects that cause harm to a consumer of the product, or someone to whom the product was loaned, given, etc., are the subjects of products liability suits. While products are generally thought of as tangible personal property, products liability has stretched that definition to include intangibles (gas), naturals (pets), real estate (house), and writings (navigational charts).

Products liability claims can be based on negligence, strict liability, or breach of warranty of fitness depending on the jurisdiction within which the claim is based. Many states have enacted comprehensive products liability statutes. These statutory provisions can be very diverse such that the United States Department of Commerce has promulgated a Model Uniform Products Liability Act (MUPLA) for voluntary use by the states. There is no federal products liability law.

In any jurisdiction one must prove that the product is defective. There are three types of product defects that incur liability in manufacturers and suppliers: design defects, manufacturing defects, and defects in marketing.  Design defects are inherent; they exist before the product is manufactured.  While the item might serve its purpose well, it can be unreasonably dangerous to use due to a design flaw.  On the other hand, manufacturing defects occur during the construction or production of the item.  Only a few out of many products of the same type are flawed in this case.  Defects in marketing deal with improper instructions and failures to warn consumers of latent dangers in the product.

Products Liability is generally considered a strict liability offense.  Strict liability wrongs do not depend on the degree of carefulness by the defendant.  Translated to products liability terms, a defendant is liable when it is shown that the product is defective.  It is irrelevant whether the manufacturer or supplier exercised great care; if there is a defect in the product that causes harm, he or she will be liable for it.

The law of products liability is found mainly in common law (state judge-made law) and in the Uniform Commercial Code.  Article 2 of the UCC deals with the sales of goods and it has been adopted by most states.  In it, the most important products liability sections are the implied and express warranties of merchantibility in the sales of goods §§ 2-314 and 2-315.  Products liability is derived mainly from Torts law.

_________________________________________________________________________________________

US Code Title 15 Chapter 50 —CONSUMER PRODUCT WARRANTIES

Definitions

For the purposes of this chapter:

(1) The term “consumer product” means any tangible personal property which is distributed in commerce and which is normally used for personal, family, or household purposes (including any such property intended to be attached to or installed in any real property without regard to whether it is so attached or installed).

(2) The term “Commission” means the Federal Trade Commission.

(3) The term “consumer” means a buyer (other than for purposes of resale) of any consumer product, any person to whom such product is transferred during the duration of an implied or written warranty (or service contract) applicable to the product, and any other person who is entitled by the terms of such warranty (or service contract) or under applicable State law to enforce against the warrantor (or service contractor) the obligations of the warranty (or service contract).

(4) The term “supplier” means any person engaged in the business of making a consumer product directly or indirectly available to consumers.

(5) The term “warrantor” means any supplier or other person who gives or offers to give a written warranty or who is or may be obligated under an implied warranty.

(6) The term “written warranty” means—

(A) any written affirmation of fact or written promise made in connection with the sale of a consumer product by a supplier to a buyer which relates to the nature of the material or workmanship and affirms or promises that such material or workmanship is defect free or will meet a specified level of performance over a specified period of time, or

(B) any undertaking in writing in connection with the sale by a supplier of a consumer product to refund, repair, replace, or take other remedial action with respect to such product in the event that such product fails to meet the specifications set forth in the undertaking, which written affirmation, promise, or undertaking becomes part of the basis of the bargain between a supplier and a buyer for purposes other than resale of such product.

(7) The term “implied warranty” means an implied warranty arising under State law (as modified by sections 2308 and 2304 (a) of this title) in connection with the sale by a supplier of a consumer product.

(8) The term “service contract” means a contract in writing to perform, over a fixed period of time or for a specified duration, services relating to the maintenance or repair (or both) of a consumer product.

(9) The term “reasonable and necessary maintenance” consists of those operations

(A) which the consumer reasonably can be expected to perform or have performed and

(B) which are necessary to keep any consumer product performing its intended function and operating at a reasonable level of performance.

(10) The term “remedy” means whichever of the following actions the warrantor elects:

(A) repair,

(B) replacement, or

(C) refund;

except that the warrantor may not elect refund unless (i) the warrantor is unable to provide replacement and repair is not commercially practicable or cannot be timely made, or (ii) the consumer is willing to accept such refund.

(11) The term “replacement” means furnishing a new consumer product which is identical or reasonably equivalent to the warranted consumer product.

(12) The term “refund” means refunding the actual purchase price (less reasonable depreciation based on actual use where permitted by rules of the Commission).

(13) The term “distributed in commerce” means sold in commerce, introduced or delivered for introduction into commerce, or held for sale or distribution after introduction into commerce.

(14) The term “commerce” means trade, traffic, commerce, or transportation—

(A) between a place in a State and any place outside thereof, or

(B) which affects trade, traffic, commerce, or transportation described in subparagraph (A).

(15) The term “State” means a State, the District of Columbia, the Commonwealth of Puerto Rico, the Virgin Islands, Guam, the Canal Zone, or American Samoa. The term “State law” includes a law of the United States applicable only to the District of Columbia or only to a territory or possession of the United States; and the term “Federal law” excludes any State law.

§ 2302. Rules governing contents of warranties

Release date: 2004-05-18

(a) Full and conspicuous disclosure of terms and conditions; additional requirements for contents

In order to improve the adequacy of information available to consumers, prevent deception, and improve competition in the marketing of consumer products, any warrantor warranting a consumer product to a consumer by means of a written warranty shall, to the extent required by rules of the Commission, fully and conspicuously disclose in simple and readily understood language the terms and conditions of such warranty.

Such rules may require inclusion in the written warranty of any of the following items among others:

(1) The clear identification of the names and addresses of the warrantors.

(2) The identity of the party or parties to whom the warranty is extended.

(3) The products or parts covered.

(4) A statement of what the warrantor will do in the event of a defect, malfunction, or failure to conform with such written warranty—at whose expense—and for what period of time.

(5) A statement of what the consumer must do and expenses he must bear.

(6) Exceptions and exclusions from the terms of the warranty.

(7) The step-by-step procedure which the consumer should take in order to obtain performance of any obligation under the warranty, including the identification of any person or class of persons authorized to perform the obligations set forth in the warranty.

(8) Information respecting the availability of any informal dispute settlement procedure offered by the warrantor and a recital, where the warranty so provides, that the purchaser may be required to resort to such procedure before pursuing any legal remedies in the courts.

(9) A brief, general description of the legal remedies available to the consumer.

(10) The time at which the warrantor will perform any obligations under the warranty.

(11) The period of time within which, after notice of a defect, malfunction, or failure to conform with the warranty, the warrantor will perform any obligations under the warranty.

(12) The characteristics or properties of the products, or parts thereof, that are not covered by the warranty.

(13) The elements of the warranty in words or phrases which would not mislead a reasonable, average consumer as to the nature or scope of the warranty.

(b) Availability of terms to consumer; manner and form for presentation and display of information; duration; extension of period for written warranty or service contract

(1)

(A) The Commission shall prescribe rules requiring that the terms of any written warranty on a consumer product be made available to the consumer (or prospective consumer) prior to the sale of the product to him.

(B) The Commission may prescribe rules for determining the manner and form in which information with respect to any written warranty of a consumer product shall be clearly and conspicuously presented or displayed so as not to mislead the reasonable, average consumer, when such information is contained in advertising, labeling, point-of-sale material, or other representations in writing.

(2) Nothing in this chapter (other than paragraph (3) of this subsection) shall be deemed to authorize the Commission to prescribe the duration of written warranties given or to require that a consumer product or any of its components be warranted.

(3) The Commission may prescribe rules for extending the period of time a written warranty or service contract is in effect to correspond with any period of time in excess of a reasonable period (not less than 10 days) during which the consumer is deprived of the use of such consumer product by reason of failure of the product to conform with the written warranty or by reason of the failure of the warrantor (or service contractor) to carry out such warranty (or service contract) within the period specified in the warranty (or service contract).

(c) Prohibition on conditions for written or implied warranty; waiver by Commission

No warrantor of a consumer product may condition his written or implied warranty of such product on the consumer’s using, in connection with such product, any article or service (other than article or service provided without charge under the terms of the warranty) which is identified by brand, trade, or corporate name; except that the prohibition of this subsection may be waived by the Commission if—

(1) the warrantor satisfies the Commission that the warranted product will function properly only if the article or service so identified is used in connection with the warranted product, and

(2) the Commission finds that such a waiver is in the public interest.

The Commission shall identify in the Federal Register, and permit public comment on, all applications for waiver of the prohibition of this subsection, and shall publish in the Federal Register its disposition of any such application, including the reasons therefore.

(d) Incorporation by reference of detailed substantive warranty provisions

The Commission may by rule devise detailed substantive warranty provisions which warrantors may incorporate by reference in their warranties.

(e) Applicability to consumer products costing more than $5

The provisions of this section apply only to warranties which pertain to consumer products actually costing the consumer more than $5.

§ 2303. Designation of written warranties

Release date: 2004-05-18

(a) Full (statement of duration) or limited warranty

Any warrantor warranting a consumer product by means of a written warranty shall clearly and conspicuously designate such warranty in the following manner, unless exempted from doing so by the Commission pursuant to subsection (c) of this section:

(1) If the written warranty meets the Federal minimum standards for warranty set forth in section 2304 of this title, then it shall be conspicuously designated a “full (statement of duration) warranty”.

(2) If the written warranty does not meet the Federal minimum standards for warranty set forth in section 2304 of this title, then it shall be conspicuously designated a “limited warranty”.

(b) Applicability of requirements, standards, etc., to representations or statements of customer satisfaction

This section and sections 2302 and 2304 of this title shall not apply to statements or representations which are similar to expressions of general policy concerning customer satisfaction and which are not subject to any specific limitations.

(c) Exemptions by Commission

In addition to exercising the authority pertaining to disclosure granted in section 2302 of this title, the Commission may by rule determine when a written warranty does not have to be designated either “full (statement of duration)” or “limited” in accordance with this section.

(d) Applicability to consumer products costing more than $10 and not designated as full warranties

The provisions of subsections (a) and (c) of this section apply only to warranties which pertain to consumer products actually costing the consumer more than $10 and which are not designated “full (statement of duration) warranties”.

§ 2304. Federal minimum standards for warranties

Release date: 2004-05-18

(a) Remedies under written warranty; duration of implied warranty; exclusion or limitation on consequential damages for breach of written or implied warranty; election of refund or replacement

In order for a warrantor warranting a consumer product by means of a written warranty to meet the Federal minimum standards for warranty—

(1) such warrantor must as a minimum remedy such consumer product within a reasonable time and without charge, in the case of a defect, malfunction, or failure to conform with such written warranty;

(2) notwithstanding section 2308 (b) of this title, such warrantor may not impose any limitation on the duration of any implied warranty on the product;

(3) such warrantor may not exclude or limit consequential damages for breach of any written or implied warranty on such product, unless such exclusion or limitation conspicuously appears on the face of the warranty; and

(4) if the product (or a component part thereof) contains a defect or malfunction after a reasonable number of attempts by the warrantor to remedy defects or malfunctions in such product, such warrantor must permit the consumer to elect either a refund for, or replacement without charge of, such product or part (as the case may be). The Commission may by rule specify for purposes of this paragraph, what constitutes a reasonable number of attempts to remedy particular kinds of defects or malfunctions under different circumstances. If the warrantor replaces a component part of a consumer product, such replacement shall include installing the part in the product without charge.

(b) Duties and conditions imposed on consumer by warrantor

(1) In fulfilling the duties under subsection (a) of this section respecting a written warranty, the warrantor shall not impose any duty other than notification upon any consumer as a condition of securing remedy of any consumer product which malfunctions, is defective, or does not conform to the written warranty, unless the warrantor has demonstrated in a rulemaking proceeding, or can demonstrate in an administrative or judicial enforcement proceeding (including private enforcement), or in an informal dispute settlement proceeding, that such a duty is reasonable.

(2) Notwithstanding paragraph (1), a warrantor may require, as a condition to replacement of, or refund for, any consumer product under subsection (a) of this section, that such consumer product shall be made available to the warrantor free and clear of liens and other encumbrances, except as otherwise provided by rule or order of the Commission in cases in which such a requirement would not be practicable.

(3) The Commission may, by rule define in detail the duties set forth in subsection (a) of this section and the applicability of such duties to warrantors of different categories of consumer products with “full (statement of duration)” warranties.

(4) The duties under subsection (a) of this section extend from the warrantor to each person who is a consumer with respect to the consumer product.

(c) Waiver of standards

The performance of the duties under subsection (a) of this section shall not be required of the warrantor if he can show that the defect, malfunction, or failure of any warranted consumer product to conform with a written warranty, was caused by damage (not resulting from defect or malfunction) while in the possession of the consumer, or unreasonable use (including failure to provide reasonable and necessary maintenance).

(d) Remedy without charge

For purposes of this section and of section 2302 (c) of this title, the term “without charge” means that the warrantor may not assess the consumer for any costs the warrantor or his representatives incur in connection with the required remedy of a warranted consumer product. An obligation under subsection (a)(1)(A) of this section to remedy without charge does not necessarily require the warrantor to compensate the consumer for incidental expenses; however, if any incidental expenses are incurred because the remedy is not made within a reasonable time or because the warrantor imposed an unreasonable duty upon the consumer as a condition of securing remedy, then the consumer shall be entitled to recover reasonable incidental expenses which are so incurred in any action against the warrantor.

(e) Incorporation of standards to products designated with full warranty for purposes of judicial actions

If a supplier designates a warranty applicable to a consumer product as a “full (statement of duration)” warranty, then the warranty on such product shall, for purposes of any action under section 2310 (d) of this title or under any State law, be deemed to incorporate at least the minimum requirements of this section and rules prescribed under this section.

§ 2305. Full and limited warranting of a consumer product

Release date: 2004-05-18

Nothing in this chapter shall prohibit the selling of a consumer product which has both full and limited warranties if such warranties are clearly and conspicuously differentiated.

§ 2306. Service contracts; rules for full, clear and conspicuous disclosure of terms and conditions; addition to or in lieu of written warranty

Release date: 2004-05-18

(a) The Commission may prescribe by rule the manner and form in which the terms and conditions of service contracts shall be fully, clearly, and conspicuously disclosed.

(b) Nothing in this chapter shall be construed to prevent a supplier or warrantor from entering into a service contract with the consumer in addition to or in lieu of a written warranty if such contract fully, clearly, and conspicuously discloses its terms and conditions in simple and readily understood language.

§ 2307. Designation of representatives by warrantor to perform duties under written or implied warranty

Release date: 2004-05-18

Nothing in this chapter shall be construed to prevent any warrantor from designating representatives to perform duties under the written or implied warranty: Provided, that such warrantor shall make reasonable arrangements for compensation of such designated representatives, but no such designation shall relieve the warrantor of his direct responsibilities to the consumer or make the representative a cowarrantor.

§ 2308. Implied warranties

Release date: 2004-05-18

(a) Restrictions on disclaimers or modifications

No supplier may disclaim or modify (except as provided in subsection (b) of this section) any implied warranty to a consumer with respect to such consumer product if

(1) such supplier makes any written warranty to the consumer with respect to such consumer Product, or

(2) at the time of sale, or within 90 days thereafter, such supplier enters into a service contract with the consumer which applies to such consumer product.

(b) Limitation on duration

For purposes of this chapter (other than section 2304 (a)(2) of this title), implied warranties may be limited in duration to the duration of a written warranty of reasonable duration, if such limitation is conscionable and is set forth in clear and unmistakable language and prominently displayed on the face of the warranty.

(c) Effectiveness of disclaimers, modifications, or limitations

A disclaimer, modification, or limitation made in violation of this section shall be ineffective for purposes of this chapter and State law.

§ 2309. Procedures applicable to promulgation of rules by Commission

Release date: 2004-05-18

(a) Oral presentation

Any rule prescribed under this chapter shall be prescribed in accordance with section 553 of title 5; except that the Commission shall give interested persons an opportunity for oral presentations of data, views, and arguments, in addition to written submissions. A transcript shall be kept of any oral presentation. Any such rule shall be subject to judicial review under section 57a (e) of this title in the same manner as rules prescribed under section 57a (a)(1)(B) of this title, except that section 57a (e)(3)(B) of this title shall not apply.

(b) Warranties and warranty practices involved in sale of used motor vehicles

The Commission shall initiate within one year after January 4, 1975, a rulemaking proceeding dealing with warranties and warranty practices in connection with the sale of used motor vehicles; and, to the extent necessary to supplement the protections offered the consumer by this chapter, shall prescribe rules dealing with such warranties and practices. In prescribing rules under this subsection, the Commission may exercise any authority it may have under this chapter, or other law, and in addition it may require disclosure that a used motor vehicle is sold without any warranty and specify the form and content of such disclosure.

§ 2310. Remedies in consumer disputes

Release date: 2004-05-18

(a) Informal dispute settlement procedures; establishment; rules setting forth minimum requirements; effect of compliance by warrantor; review of informal procedures or implementation by Commission; application to existing informal procedures

(1) Congress hereby declares it to be its policy to encourage warrantors to establish procedures whereby consumer disputes are fairly and expeditiously settled through informal dispute settlement mechanisms.

(2) The Commission shall prescribe rules setting forth minimum requirements for any informal dispute settlement procedure which is incorporated into the terms of a written warranty to which any provision of this chapter applies. Such rules shall provide for participation in such procedure by independent or governmental entities.

(3) One or more warrantors may establish an informal dispute settlement procedure which meets the requirements of the Commission’s rules under paragraph (2). If—

(A) a warrantor establishes such a procedure,

(B) such procedure, and its implementation, meets the requirements of such rules, and

(C) he incorporates in a written warranty a requirement that the consumer resort to such procedure before pursuing any legal remedy under this section respecting such warranty,

then

(i) the consumer may not commence a civil action (other than a class action) under subsection (d) of this section unless he initially resorts to such procedure; and

(ii) a class of consumers may not proceed in a class action under subsection (d) of this section except to the extent the court determines necessary to establish the representative capacity of the named plaintiffs, unless the named plaintiffs (upon notifying the defendant that they are named plaintiffs in a class action with respect to a warranty obligation) initially resort to such procedure. In the case of such a class action which is brought in a district court of the United States, the representative capacity of the named plaintiffs shall be established in the application of rule 23 of the Federal Rules of Civil Procedure. In any civil action arising out of a warranty obligation and relating to a matter considered in such a procedure, any decision in such procedure shall be admissible in evidence.

(4) The Commission on its own initiative may, or upon written complaint filed by any interested person shall, review the bona fide operation of any dispute settlement procedure resort to which is stated in a written warranty to be a prerequisite to pursuing a legal remedy under this section. If the Commission finds that such procedure or its implementation fails to comply with the requirements of the rules under paragraph (2), the Commission may take appropriate remedial action under any authority it may have under this chapter or any other provision of law.

(5) Until rules under paragraph (2) take effect, this subsection shall not affect the validity of any informal dispute settlement procedure respecting consumer warranties, but in any action under subsection (d) of this section, the court may invalidate any such procedure if it finds that such procedure is unfair.

(b) Prohibited acts

It shall be a violation of section 45 (a)(1) of this title for any person to fail to comply with any requirement imposed on such person by this chapter (or a rule thereunder) or to violate any prohibition contained in this chapter (or a rule thereunder).

(c) Injunction proceedings by Attorney General or Commission for deceptive warranty, noncompliance with requirements, or violating prohibitions; procedures; definitions

(1) The district courts of the United States shall have jurisdiction of any action brought by the Attorney General (in his capacity as such), or by the Commission by any of its attorneys designated by it for such purpose, to restrain

(A) any warrantor from making a deceptive warranty with respect to a consumer product, or

(B) any person from failing to comply with any requirement imposed on such person by or pursuant to this chapter or from violating any prohibition contained in this chapter. Upon proper showing that, weighing the equities and considering the Commission’s or Attorney General’s likelihood of ultimate success, such action would be in the public interest and after notice to the defendant, a temporary restraining order or preliminary injunction may be granted without bond. In the case of an action brought by the Commission, if a complaint under section 45 of this title is not filed within such period (not exceeding 10 days) as may be specified by the court after the issuance of the temporary restraining order or preliminary injunction, the order or injunction shall be dissolved by the court and be of no further force and effect. Any suit shall be brought in the district in which such person resides or transacts business. Whenever it appears to the court that the ends of justice require that other persons should be parties in the action, the court may cause them to be summoned whether or not they reside in the district in which the court is held, and to that end process may be served in any district.

(2) For the purposes of this subsection, the term “deceptive warranty” means

(A) a written warranty which

(i) contains an affirmation, promise, description, or representation which is either false or fraudulent, or which, in light of all of the circumstances, would mislead a reasonable individual exercising due care; or

(ii) fails to contain information which is necessary in light of all of the circumstances, to make the warranty not misleading to a reasonable individual exercising due care; or

(B) a written warranty created by the use of such terms as “guaranty” or “warranty”, if the terms and conditions of such warranty so limit its scope and application as to deceive a reasonable individual.

(d) Civil action by consumer for damages, etc.; jurisdiction; recovery of costs and expenses; cognizable claims

(1) Subject to subsections (a)(3) and (e) of this section, a consumer who is damaged by the failure of a supplier, warrantor, or service contractor to comply with any obligation under this chapter, or under a written warranty, implied warranty, or service contract, may bring suit for damages and other legal and equitable relief—

(A) in any court of competent jurisdiction in any State or the District of Columbia; or

(B) in an appropriate district court of the United States, subject to paragraph (3) of this subsection.

(2) If a consumer finally prevails in any action brought under paragraph (1) of this subsection, he may be allowed by the court to recover as part of the judgment a sum equal to the aggregate amount of cost and expenses (including attorneys’ fees based on actual time expended) determined by the court to have been reasonably incurred by the plaintiff for or in connection with the commencement and prosecution of such action, unless the court in its discretion shall determine that such an award of attorneys’ fees would be inappropriate.

(3) No claim shall be cognizable in a suit brought under paragraph (1)(B) of this subsection—

(A) if the amount in controversy of any individual claim is less than the sum or value of $25;

(B) if the amount in controversy is less than the sum or value of $50,000 (exclusive of interests and costs) computed on the basis of all claims to be determined in this suit; or

(C) if the action is brought as a class action, and the number of named plaintiffs is less than one hundred.

(e) Class actions; conditions; procedures applicable. No action (other than a class action or an action respecting a warranty to which subsection (a)(3) of this section applies) may be brought under subsection (d) of this section for failure to comply with any obligation under any written or implied warranty or service contract, and a class of consumers may not proceed in a class action under such subsection with respect to such a failure except to the extent the court determines necessary to establish the representative capacity of the named plaintiffs, unless the person obligated under the warranty or service contract is afforded a reasonable opportunity to cure such failure to comply. In the case of such a class action (other than a class action respecting a warranty to which subsection (a)(3) of this section applies) brought under subsection (d) of this section for breach of any written or implied warranty or service contract, such reasonable opportunity will be afforded by the named plaintiffs and they shall at that time notify the defendant that they are acting on behalf of the class. In the case of such a class action which is brought in a district court of the United States, the representative capacity of the named plaintiffs shall be established in the application of rule 23 of the Federal Rules of Civil Procedure.

(f) Warrantors subject to enforcement of remedies. For purposes of this section, only the warrantor actually making a written affirmation of fact, promise, or undertaking shall be deemed to have created a written warranty, and any rights arising thereunder may be enforced under this section only against such warrantor and no other person.

§ 2311. Applicability to other laws

Release date: 2004-05-18

(a) Federal Trade Commission Act and Federal Seed Act

(1) Nothing contained in this chapter shall be construed to repeal, invalidate, or supersede the Federal Trade Commission Act [15 U.S.C. 41 et seq.] or any statute defined therein as an Antitrust Act.

(2) Nothing in this chapter shall be construed to repeal, invalidate, or supersede the Federal Seed Act [7 U.S.C. 1551 et seq.] and nothing in this chapter shall apply to seed for planting.

(b) Rights, remedies, and liabilities

(1) Nothing in this chapter shall invalidate or restrict any right or remedy of any consumer under State law or any other Federal law.

(2) Nothing in this chapter (other than sections 2308 and 2304 (a)(2) and (4) of this title) shall

(A) affect the liability of, or impose liability on, any person for personal injury, or

(B) supersede any provision of State law regarding consequential damages for injury to the person or other injury.

(c) State warranty laws

(1) Except as provided in subsection (b) of this section and in paragraph (2) of this subsection, a State requirement—

(A) which relates to labeling or disclosure with respect to written warranties or performance thereunder;

(B) which is within the scope of an applicable requirement of sections 2302, 2303, and 2304 of this title (and rules implementing such sections), and

(C) which is not identical to a requirement of section 2302, 2303, or 2304 of this title (or a rule thereunder),

shall not be applicable to written warranties complying with such sections (or rules thereunder).

(2) If, upon application of an appropriate State agency, the Commission determines (pursuant to rules issued in accordance with section 2309 of this title) that any requirement of such State covering any transaction to which this chapter applies

(A) affords protection to consumers greater than the requirements of this chapter and

(B) does not unduly burden interstate commerce, then such State requirement shall be applicable (notwithstanding the provisions of paragraph (1) of this subsection) to the extent specified in such determination for so long as the State administers and enforces effectively any such greater requirement.

(d) Other Federal warranty laws

This chapter (other than section 2302 (c) of this title) shall be inapplicable to any written warranty the making or content of which is otherwise governed by Federal law. If only a portion of a written warranty is so governed by Federal law, the remaining portion shall be subject to this chapter.

§ 2312. Effective dates

Release date: 2004-05-18

(a) Effective date of chapter

Except as provided in subsection (b) of this section, this chapter shall take effect 6 months after January 4, 1975, but shall not apply to consumer products manufactured prior to such date.

(b) Effective date of section 2302 (a)

Section 2302 (a) of this title shall take effect 6 months after the final publication of rules respecting such section; except that the Commission, for good cause shown, may postpone the applicability of such sections until one year after such final publication in order to permit any designated classes of suppliers to bring their written warranties into compliance with rules promulgated pursuant to this chapter.

(c) Promulgation of rules

The Commission shall promulgate rules for initial implementation of this chapter as soon as possible after January 4, 1975, but in no event later than one year after such date.

_________________________________________________________________________________________

Seven Keys to Product Liability Risk Control

Source: Adapted from Product Liability Risk Control - Seven Keys to Success, by Kenneth E. Ryan, Professional Safety, Feb 2003.

Attention to seven performance areas can help business owners ensure product safety and minimize product liability loss potential. They are:

1. Management leadership and support. Allocate time and money. Make sure everyone understands it's good business to produce safe and reliable products. Promote "all-way" open communication among all internal and external customers. Establish accountability for achieving management product safety and liability objectives. Continually improve and update product safety plans and activities. Document improvements. Understand product liability legal concepts.

2. Safe design. According to the American Law Institute, "A product...is defective in design when the foreseeable risks of harm posed by the product could have been reduced or avoided by the adoption of a reasonable alternative design by the seller or other distributor, or a predecessor in the commercial chain of distribution, and the omission of the alternative design renders the product not reasonably safe...." To protect against a lawsuit based on alleged design defect, manufacturers should include the following activities in their design plan:

1. Review mandatory and voluntary, codes, standards and regulations

2. Anticipate reasonably foreseeable product use and misuse

3. Determine the physical or mental limitations of foreseeable users, particularly children;

4. Design to meet cultural/language differences for likely users

5. Design to make the product easy to service, maintain and repair

6. Make the product able to withstand environmental conditions in which a product may be used

7. Anticipation of the product's lifecycle;

8. Consider any special disposal or storage requirements

9. Make sure the product safely can be safely used with other products

10. Understand the impact of use with non-compatible chemicals

11. Consider advances in state-of-the-art technology

12. Conduct a risk assessment and design review;

13. Follow the hierarchy of controls to eliminate hazards of the product

14. Ensure adequate warnings, instructions and labels are included on the product and packaging.

3. Legal review and counsel. Consult with qualified legal counsel before a product is brought to market. Advertisements, sales presentations or other product literature that misrepresent the product can create an express warranty that although unintended, may create liability. Consider seeking legal review and counsel when:

1. preparing contracts, hold harmless agreements, warranties, guarantees and disclaimers

2. acquisitions or mergers are planned

3. reviewing advertising and sales literature

4. evaluating product labels and warnings for compliance with codes and regulations

5. reviewing records for adequacy in defending lawsuits

6. planning product recall strategy

4. Quality assurance and control. Focus on the manufacturing process and quality control to make sure products conform with design criteria and specifications. Tools, equipment, machinery, materials, people and the environment must all function properly throughout the production process to ensure product integrity and quality.

5. Product labels, packaging and warnings. Product labels and product packaging are considered part of the product or may be viewed as products themselves. Therefore, manufacturers or those who repackage, assemble, rebuild or sell under their own label must be familiar with applicable label and packaging codes, regulations and standards. Inadequate warnings on labels or instructions for use can lead to misuse. Remember, neither warning nor instruction is a substitute for proper product design.

6. Marketing and customer service. Any promise or representation of fact made about a product in advertising, on labels, during sales presentations or otherwise normally constitutes an express warranty. This holds true whether a “warranty” or “guarantee” is stated on the product of packaging, or it is stated by a sales clerk, service representative or persons that represent a company.

7. Product recall planning and implementation. Contingency plans are needed to deal with possible defective products that may harm the user or bystander in some way.

__________________________________________________________________________________________

SECTION IV D: FLEET SAFETY

2000 Statistics

Source: NTSA

This report presents the results of an analysis of motor vehicle crash costs in the United States in the year 2000. The total economic cost of motor vehicle crashes in 2000 was $230.6 billion. This represents the present value of lifetime costs for 41, 821 fatalities, 5.3 million non-fatal injuries, and 28 million damaged vehicles, in both police-reported and unreported crashes.

Lost market productivity accounted for $61 billion of this total, while property damage accounted for nearly as much - $59 billion.

Medical expenses totaled $32.6 billion and travel delay accounted for $25.6 billion. Each fatality resulted in an

average discounted lifetime cost of $977,000. Public revenues paid for roughly 9 percent of all motor vehicle crash costs, costing tax payers $21 billion in 2000, the equivalent of over $200 in added taxes for every household in the U.S. Alcohol involved crashes accounted for $51.1 billion or 22 percent of all economic costs, and 75 percent of these costs occurred in crashes where a driver or non-occupant had a BAC of .10 or greater.

In roughly 80 percent of these cases, alcohol was the cause of the crash. Crashes in which police indicate at least one driver was exceeding the legal speed limit or driving too fast for conditions cost $40.4 billion in 2000. Safety belt use prevented 11,900 fatalities, 325,000 serious injuries, and $50 billion in injury related costs in 2000, but the failure of a substantial portion of the driving population to buckle up caused 9,200 unnecessary fatalities, 143,000 serious injuries, and cost society $26 billion in easily preventable injury related costs.

_________________________________________________________________________________________

Why Does Your Organization Need A Traffic Safety Program?

Source: The Network of Employers for Traffic Safety (NETS).

You need a traffic safety program to save lives and to minimize the risk of life-altering injuries within your workforce. Motor vehicle crashes are the leading cause of workplace fatalities in the United States.

You need a traffic safety program for protection – to protect your human and financial resources and to protect against the risk of catastrophic losses, actual and legal. The liabilities, particularly in this country, associated with employees driving on company business or operating a fleet of company vehicles are potentially staggering. The development, implementation, enforcement, and monitoring of a strong traffic safety program is the first, best, and perhaps only defense against the potential company and personal liabilities associated with motor vehicle crashes involving employees driving on company business. Such a program is your first line of defense.

Your program should reflect a company culture that values safe driving behaviors. The program should work to keep the driver and those with whom he/she shares the road safe. And, if necessary, the program must work to change driver attitudes, behavior, and skills to build and sustain the “be safe” culture.

What are the Benefits to Organizations that Manage their Risk?

• Lower operating costs: If your organization has a fleet of vehicles, either owned or leased, managed risk can result in lower vehicle insurance premiums, smaller repair bills resulting from fewer crashes, fewer out-of-service vehicles or injured employees, less management time devoted to paperwork involving crashes, and lower vehicle fuel costs.

• Improved employee relations and higher morale: Organizations that demonstrate their care for employees often experience an increase in productivity and in staff retention.

• Enhanced corporate image: Organizations that develop a strong safety culture and are recognized for their commitment to safety are well respected in their communities.

To summarize, a workplace traffic safety program is important:

• To help you control the costs associated with motor vehicle crashes in the workplace

• To establish expectations regarding safe driving practices

• To reduce your risk of liability

• To identify loss prevention and control strategies that will benefit your organization and positively impact your bottom line

• To plan for the unexpected

• To document management’s commitment, responsibility, authority, and accountability for safe driver and vehicle operations

• To document and communicate traffic safety policies and procedures

• To satisfy local, state, and federal laws and regulations governing traffic safety in the workplace

There is a significant benefit in implementing a traffic safety program in any organization. If the benefits listed above are not convincing, an important discussion of the risk and potential liabilities associated with uncontrolled and unmonitored company driving privileges follows.

Exposure and Liability Analysis

Motor vehicle crashes and their ensuing costs may be the most accessible and most reducible costs associated with the workplace. Those responsible for employee health and well-being and Workers’ Compensation can positively impact a company’s bottom line in a remarkably direct and significant way, by calculating the total cost of crashes involving motor vehicles, and subsequently designing and implementing a traffic safety program targeted at reducing those unnecessary expenses.

In 2002, the lives of 42,817 people were lost as a result of traffic crashes. Motor vehicle crashes are the leading cause of death on the job, accounting for over 2,000 deaths in 2002, over 30% of all occupational fatalities. Crashes on and off the job have far-reaching financial and psychological effects on employees, their co-workers and families, and their employers.

There are direct, indirect, and intangible costs associated with motor vehicle crashes in the workplace. Of these, the threat of litigation and the legal and financial obligations that arise out of that litigation are potentially the most damaging to your organization. Compensatory and punitive damages, awarded by employee-sympathetic juries, based on tried and true legal principles, are typically significantly large awards. How can corporations protect themselves against such potentialities?

Risk managers reduce the threat of litigation by reducing risk. Reducing risk in turn minimizes potential and actual liabilities. Lower risk and reduce liabilities to minimize payouts and costs. Reducing the risk of motor vehicle crashes within your organization is the right thing to do. But employers also have a legal obligation to ensure that their drivers stay safe on the road. There are seven fundamental legal principles outlined in the Primer that corporate managers would do well to understand and communicate to all involved in driving on company business.

How Does an Employer Protect their Organization?

The development, implementation, enforcement, and monitoring of a strong traffic safety program is the first, best, and perhaps only defense against the potential company and personal liabilities associated with motor vehicle crashes. Such a program is your first line of defense against the potentially staggering costs that arise out of motor vehicle crashes involving employees. Such a program allows the company to be proactive in controlling crash risks.

At a minimum, the program designed for your organization should have the following common characteristics:

• It should reflect a company culture that values safe driving behaviors.

• It should work to keep the driver and those with whom he/she shares the road safe.

• It must work to change driver attitudes, behavior, and skills needed to build and sustain the “be safe” culture.

Benchmarking – Does Safety Pay?

To begin to understand the impact of motor vehicle crashes on your organization the Motor Vehicle Crash Cost Worksheet provided in the Primer can help you to calculate the cost of your crashes. You may want to use one recent crash as an example to work through this sheet to appreciate the magnitude and complexity of such losses. Once you master the worksheet for one crash, you can then apply it to all the crashes experienced in a chosen time frame (i.e., annually) within the organization to characterize your company motor vehicle crash loss profile.

If you know (1) the magnitude of your losses and (2) the actual or estimated cost of designing and implementing a traffic safety program as described in this Primer, you can calculate the return on investment (ROI) or the cost/benefit ratio (C/B) for such a program. Examples abound of the positive ROI and C/B realized by companies, small, medium, and large, who have implemented well-designed traffic safety programs for the benefit of their employees.

These facts and figures demonstrate that committing resources to reducing actual crash loss figures and protecting your organization from potentially catastrophic liability is well worth the investment! Yes, safety does pay.

With that in mind, the Primer focuses on each of the NETS 10-Steps that constitute a sound traffic safety program for employers. The Primer serves as an outline. It is expected that each employer will adapt and build-out these general principles to fit their own, specific circumstances and culture.

Traffic Safety Primer: A Guidebook for Employers

The Primer recently developed by the Network of Employers for Traffic Safety (NETS) provides public and private sector organizations with guidance in developing, establishing or improving traffic safety programs for their employees. The guidelines are intended as a basis for developing an organization-specific plan. The guidelines are relevant whether you are interested in a safety plan for fleet vehicle drivers, those who drive their personal vehicles on company business, and/or those who simply commute every day to and from their place of employment.

The primary components that are necessary to build the foundation for a successful traffic safety program are included in the Primer and are useful for any organization regardless of size of the organization, type of traffic encountered, number of vehicles involved, or whether employees drive company or personal vehicles for work.

Developing a proactive traffic safety program is one of the best ways to help control the significant costs associated with vehicle crashes in the workplace. The Primer can identify loss prevention and control strategies that will benefit your business and positively impact your bottom line.

Traffic Safety Program Development – A 10-Step Program

The NETS 10-Step program provides guidelines for what an employer can do to improve traffic safety performance and minimize the risk of motor vehicle crashes and their ensuing human and financial costs.

What are the specific components of a strong, defensible traffic safety program? The majority of traffic safety experts agree that implementing the 10-Step program outlined below is an excellent approach toward reducing and controlling all costs associated with motor vehicle crashes.

1. Senior Management Commitment

2. Written Policies and Procedures

3. Driver Agreements

4. MVR Checks

5. Crash Reporting and Investigation

6. Vehicle Selection, Maintenance and Inspection

7. Disciplinary Action System

8. Reward/Incentive Program

9. Driver Training/Communication

10. Regulatory Compliance

Such a program, if implemented, enforced and monitored effectively, provides your organization with substantial protection against employee fatalities, crippling injuries, and the potential liabilities and financial costs associated with litigating and/or settling potentially catastrophic crashes.

________________________________________________________________________________________

FLEET SAFETY MANAGEMENT GUIDELINES

Source: Adapted from the Federal Fleet Management Desk Reference

The Fleet Manager is responsible for the implementation and enforcement of a safety and health program. The program should be coordinated with safety and health staff, where available. Supervisors are responsible for ensuring that employees are trained in their safety and health responsibilities. Employees should advise the Fleet Manager of any suspected hazards which they cannot correct. In addition, each employee should be held responsible for working in such a manner as to prevent injury to self, others and for safeguarding property from damage.

Fleet Managers focus primarily on motor vehicle accident prevention and, if fleet maintenance activities are in-house, on maintenance shop safety.

According to the National Safety Council, a standard of safe-driving performance is no preventable accidents.  Most accidents are preventable.

Motor Vehicle Accident Prevention

In most fleets, vehicle accidents represent one of the largest areas of financial loss. Fleet Managers can work closely with activities such as the National Highway Traffic Safety Administration (NHTSA) and the National Safety Council to promote safe vehicle operation through the use of ongoing safety programs, instruction and displays featuring safety posters and accident awareness charts.

A vehicle safety inspection program should be established and vehicle operators should be provided training on safe driving techniques.  Each driver should be impressed with the important of good driving habits and the hazards of bad ones.  Good driver education programs expose each driver to useful driving information, establish a sense of traffic responsibility, develop favorable attitudes and most importantly, tech techniques for avoiding accidents.

Adequate planning to prevent accidents is essential to the efficient, economical and safe operation of the vehicles and support services. 

Injuries, illnesses, fires and other accidents are expensive from the standpoint of personal hardship, medical/compensatory costs and the costs of replacement/repair of damaged materials or equipment.  They may also result in costly delays in providing service. 

It is important to note that accident prevention requires an understanding of the interdependence between safety and these key areas of professional fleet management:

• Driver Education and Performance Monitoring

• Vehicle Age and Condition

• Scheduling, Routing and Loading Procedures

• Maintenance and Repair

• Accident Investigation and Corrective Action Management

In-House Maintenance Shop Safety

Shop safety programs can minimize job-related injuries and lost time, improve job efficiency/productivity/morale and save money. A job safety analysis, commonly referred to as a JSA, identifies the sequence of basic job steps, the potential hazards and the recommended action or procedures to eliminate the hazard and provides a systematic and logical analysis of all work steps and hazards which could lead to injury or death.

Improving Safety On the Road and In the Shop

Certain activities result in safety improvements both on the road and in the shop. These activities are enforcement of laws and regulations, traffic engineering, education, information and promotion publicity, incentive/award programs and accident investigation/analysis/reporting and appropriate disciplinary action.

Maintaining interest in motor vehicle safety may be accomplished through the use of:

• Management interest and example

• Safety meetings

• Awards for safety

• Safety contests

• Posters

• First aid training.

Top management has the ultimate responsibility for the safety performance of the fleet. This responsibility extends directly to the Fleet Manager and the supervisors, drivers and other employees.  To maximize, the safety performance of the fleet, everyone must believe that accountability for safety is as important as any other job responsibility.

Motor Pool Safety Programs

It is the Fleet Manager's responsibility to develop and implement programs to maintain vehicles in safe operating condition.

A vehicle should be assigned to use only after a determination that it is in safe operating condition and has been properly cleaned and inspected.

Operator Walkaround Inspection

Operators should be encouraged to check the vehicle's safety related equipment often and to ensure that necessary repairs are accomplished in a timely manner.  Consider making sure your operator's utilize this checklist:  

Weekly Passenger Motor Vehicle Walkaround Inspection

1. Check tire pressure and tire condition

2. Check brake fluid, power steering fluid, coolant, oil, transmission fluid, windshield washer fluid

3. Check headlights, high beam lights, parking lights, reverse lights, tail lights, brake lights

4. Check turn signals

5. Check instrument panel lights (oil, temperature, engine, brake lights)

6. Check horn, windshield wipers, windows, mirrors, seat belts, door locks, brakes and emergency brake

7. Check for leaks, drips and inspect hoses for condition

8. Check that emergency kit and tools are in trunk and operator's packet is in glove box.

Commercial vehicle inspections are governed by the requirements of Title 49 Transportation Chapter III - Federal Highway Administration, Department of Transportation Part 306.17 Periodic Inspection.

Occupant Protection - Safety Belts/Air Bags

It is recommended that all new passenger vehicles acquired be equipped with an automatic occupant protection system. Three-point safety belts are required at rear seat outboard positions. Use of seat belts all employees occupying the front seat of a motor vehicle on official business should be required.

Vehicle operators should not start the engine of a vehicle until all occupants have properly fastened the occupant safety belt. When it is economically feasible, air bags should be procured.

Fueling Safety

Fleet Managers should make sure that their drivers are aware that static electricity at gas pumps is a real hazard.

• Drivers should NEVER use cell phones when pumping gas.

• Drivers should NEVER get back into their vehicle while filling it with gas.

•

If drivers absolutely HAVE to get in the vehicle while the gas is pumping, when they get out, they should close the door TOUCHING THE METAL BEFORE PULLING THE NOZZLE OUT so the static from the driver's body will be discharged before the nozzle is removed.

Driver Training, Awareness and Performance

 

Vehicle life can be extended through a program which teaches drivers to improve their driving skills and to be aware of the driving differences for different types of vehicles (passenger, van, pickup, tractor/trailer, utility).

Improvements in driver training, awareness and performance can lower maintenance costs as well as the costs associated with accidents. To increase fleet safety, track employees' driving performance and report throughout all levels of the organization.

Driver Training

Driver training should provide instruction in the proper, safe and efficient operation of Government owned and leased vehicles. Training should include written examinations and hands-on exercises to ensure driver proficiency.   According to the National Safety Council, the most effective time for extensive, systematic training is right after the driver is hired but before the driver is assigned to a vehicle.  Besides initial training, refresher, remedial and ongoing training in an effort to expose drivers continuously to safety ideas and information and to stress that safety matters. Driver training should emphasize improvement in hazard recognition, vehicle handling, space management and speed management.

How does your driver training program measure up in training your drivers in these key areas?

• Scope, direct and indirect costs and safety performance measures currently in use in your organization

• Organization's fleet safety policies and rules.

• Appropriate Hazardous Materials training (the third most frequent OSHA citation is failure to train)

• Causes of Accidents to include the driver's physical, mental and emotional condition, the vehicle's mechanical condition, acts of pedestrians and driers of other vehicles, road surface, lighting and weather conditions

• Personal traits affecting driving to include the physical, mental and emotional well-being of the driver

• Specific defensive driving training for cars, vans, emergency vehicles, buses and medium to large trucks

• Accident preventability

• Two vehicle collision prevention - vehicles can collide from six positions and there are defensive measures applicable in each situation

• Backing accident prevention - the cumulative costs of accidents occurring while the driver is backing up can mount up; backing around corners or out of driveways is especially dangerous and should be avoided

• Stopping Distance - the importance of maintaining a safe distance

• Mechanical Defects - Drivers should be able to recognize mechanical problems

• Basic driving maneuvers

• Driving in traffic

• Boarding and deboarding procedures for vans and buses

• Handling freight

• Procedures in case of accident

• Operating procedures and requirements of the Federal Agency's current motor vehicle safety program.

Commercial Drivers License Training

Known as CDL, there are Commercial Drivers Licenses in the following categories: Air Brakes, Cargo Vehicles, Combination Vehicles, General, Hazardous Materials and Passengers.

State and Federal regulations govern the qualifications and standards for truck drivers.  All drivers must comply with Federal regulations and any State regulations that are stricter than Federal requirements.  Truck drivers must have a driver's license issued by the State in which they live and most employers require a clean driving record.  

Drivers of trucks designed to carry at least 26,000 pounds, including most tractor-trailers, as well as bigger straight trucks, must obtain a commercial driver's license (CDL) from the State in which they live. Federal regulations governing the CDL exempt certain groups, including farmers, emergency medical technicians, firefighters, some military drivers, and snow and ice removers.  In many States, a regular driver's license is sufficient for driving light trucks and vans.

All truck drivers who operate trucks transporting hazardous materials must obtain a CDL, regardless of truck size. Training for drivers who transport hazardous materials is required within 90 days of employment with recurrent training to be done semiannually. Drivers may also be trained as first responders in the event of a spill with separate training requirements.

To qualify for a commercial driver's license, applicants must pass a written test on rules and regulations and then demonstrate that they can operate a commercial truck safely.  A national databank permanently records all driving violations incurred by persons who hold commercial licenses.  A State will check these records and deny a commercial driver's license to a driver who already has a license suspended or revoked in another State. Licensed drivers must accompany trainees until the trainees get their own CDL.  Information on how to apply for a commercial driver's license may be obtained from State motor vehicle administrations.

Fleet Managers should assure that all drivers have correct and current licensing for the type of commercial vehicle they drive.

Special Emergency Vehicles Training

Additional training shall be provided to all operators of police vehicles, ambulances, fire trucks, crash rescue vehicles, motor cycles and all Federal vehicles used principally to convey groups of passengers.

Drivers of police vehicles, ambulances, fire trucks and crash rescue vehicles must also complete the National Highway Safety Administration's Emergency Vehicle Operator Course (EVOC).  An EVOC refresher course training must be accomplished very three years to retain a license for operating these emergency vehicles.

Fleet Managers should assure that all drivers of Federal emergency vehicles meet these licensing requirements.

 

Maintenance Shop Safety

  

Inadequate mechanic training, poor housekeeping, negligence and inadequate shop design are the primary causes of a poor safety record in the shop.

Shop Safety Committees

One of the most effective techniques to improve shop safety is to set up a Shop Safety Committee to emphasize the importance of shop safety, exchange effective safety improvement ideas and to solve problems.  Shop safety meetings are generally held monthly and safety inspections of the shop should be scheduled on a regular basis in order to catch problems before they become bad habits and accidents.

Shop safety inspections should inspect the worker, the workplace and the interaction between the worker and the workplace to identify unsafe work practices as well as unsafe work areas:

• Check the quality of the housekeeping in the shop

• If the housekeeping quality is poor, check workload to make sure employees have the time necessary to perform this job properly

• Provide employees with the right tools to perform the job properly

• Keep employee workloads at reasonable levels and rotate jobs between mechanics at the same grade level

• Tools should be properly maintained and repaired or disposed of when necessary

• The right tool for the job should be available as improvising with tools often leads to injury

• Keep tools clean; keep edged tools sharp; check wiring on electrical tools daily for cracked tool housings and grounding plugs that have the grounding blade removed; do not wrap cracked housings with electrical tape

• Inspect extension cords and work lights regularly; use only hazardous service work-light bulbs and make sure all extension cords are grounded

• Operation of electrical tools near standing water is never to be allowed

• Inspect air tools, hoses and couplings daily

• Inspect air compressor drive belts regularly

• Safety gear must be provided for employees and they must use it when required.

Note the employee, the situation and the action taken. Monitor corrective actions and discuss the status of the latest safety inspection at each Shop Safety Committee meeting.

Employees' Right to Know About Hazardous Materials

Fleet Managers must know the "right-to-know" regulations of the Occupational Safety and Health Administration (OSHA). 

Both health hazards (chemicals that may cause acute or chronic ill-health in exposed employees) and physical hazards (chemicals that are combustible liquids, compressed gases, oxidizers, pyrophorics, flammables, unstable materials or water-reactive materials) are two classes of hazardous materials about which shop personnel have a right to know. 

Inform all employees who handle hazardous materials about the potential risks involved with the substances.

Employees should know about the operations in their work area where hazardous materials are used or stored, the location of the lists of hazardous chemicals and Material Safety Data Sheets (MSDS) and safe use and storage of hazardous materials.  A hazard communication package should be prepared, should include an explanation of the organization's labeling system and the MSDSs supplied by the manufacturers and should be available to all employees. Safety information should be available in dressing rooms, near the time-clock, in the rest area and in the work area.

Fleet Managers should provide training to shop personnel in the methods and observations that can be used to detect the presence or release of a hazardous chemical in the work area and how to take measures to protect themselves from hazardous substances through the use of protective gear, safe work practices and emergency procedures.

The Fleet Manager's Responsibility

Fleet managers should enforce the use of protective gear, assure adequate ventilation and provide washing facilities. Fleet managers should also forbid the storage of hazardous substances in the work area, keep flammables separate from other substances in a storage area conforming to fire code, never re-use containers for the storage of other substances, make sure labels are not removed from containers, provide airtight containers to store oily rags and store small quantities of gasoline only in approved containers.

Safety Inspections of Vehicles

 

Each vehicle should be inspected at 12 months or 12,000 miles whichever comes first.  Perform safety inspections at the same time as scheduled reliability inspection in accordance with manufacturer's recommendations. Deficiencies should be corrected before returning the vehicle to operating status

Accident Reports

Accident reporting procedures and forms provide the information necessary to manage the accident, analyze its cause(s) and determine appropriate corrective and/or disciplinary action.

 

Company-Owned or Leased Vehicles

Company policy should provide for the reporting of motor vehicle accidents involving any company-owned or leased vehicles. In addition, there may be specific accident reporting procedures to be followed for company-owned or leased vehicles.  Fleet Managers should also have procedures in place to assure there is an accident packet in the glove box of all company-owned-or-leased vehicles.

Operator Responsibilities

In general, operators of company-owned or leased vehicles involved in an accident should:

• Check for injured persons

• Check for witnesses and get the name and address of anyone observing any portion of the accident.

• Notify his/her immediate supervisor

• Call the police and obtain and on-site local police report if such report is required by local law for the type of accident involved (Note: On-site police reports are not always required for minor accidents without personal injury). 

• When no on-site report is written, inform the local police of the accident immediately after the fact

• Get information from the other driver(s), if appropriate, to include name, address, phone, insurance carrier, policy number for all non-Federal vehicles involved

• Secure the vehicle and its contents if the vehicle is towed

• Ensure that the vehicle will be stored in a secure area

• Report the accident

In addition, operators or their supervisors may be required to:

• Obtain estimates of the costs of repairs to all non-Federal vehicles and property

• Obtain estimates for damages to all vehicles involved in the accident

• Obtain photos of the damage to all vehicles involved in the accident

• Complete required injury reports

 

Supervisors should review the on-duty driving record of the employee involved in the accident in terms of frequency and accident patterns to determine whether any corrective action should be taken.

Fleet Vehicles

In accordance with company policy, the operator of a fleet vehicle may be required to notify the following persons immediately, either in person, by telephone, or by fax, of any accident or fire in which the vehicle is involved:

• The vehicle maintenance center

• The employee's official supervisor

• State or local authorities, as required by law.

When local/state or federal police are at the scene of the incident or accident, copies of their report(s) should be provided to the fleet safety manager. Copies of Police Reports are of particular importance where third parties are involved; they greatly assist in recoveries and assignment of fault. 

When fire results from a motor vehicle accident, the total extent of damage from fire and collision shall be reported on the investigation report.

Accident Investigation

 

Accidents should be investigated by an independent accident investigator.

Statements of witnesses, police reports, photographs, interviews with witnesses to include drivers and passengers in all vehicles involved and by-standers, pedestrians or other motorists who witnessed any portion of the accident and physician's statements should be gathered and used by the independent accident investigator. 

These reports often play an important role in claims for compensation or in cases where litigation results.

A properly documented accident investigation may serve to support or refute such claims.

It should be possible to reconstruct an accident situation long after the occurrence because the details have been accurately recorded

Accident Responsibility and Claims

Claims by the Company

Whenever there is any indication that a party other than the company's operator of the vehicle is at fault and that party can be reasonably identified, the fleet manager should submit all original documents and data pertaining to the accident and its investigation to its legal staff unless company procedures require otherwise.  The legal staff will initiate the necessary action to effect recovery of the company's claim.

Claims Against the Company

When the company operator of the vehicle is at fault, the person responsible for investigating the accident should submit all original documents and data pertaining to the accident and its investigation to its legal staff unless company procedures require otherwise.

Whenever an company vehicle is involved in an accident resulting in damage to the property of, or injury to, a third party, and the third party asserts a claim against the company based on the alleged negligence of the vehicle operator (acting within the scope of his or her duties), it shall be the responsibility of the company to make every effort to settle the claim administratively to the extent that the it is able.

Accident Analysis

  

Fleet Managers should assure that there is an effective accident analysis programs in place.

Effective accident analysis programs provide:

• A system which assures accurate and timely reporting of all accidents and injuries

• Personnel to analyze accident reports to ascertain trends and areas in need of corrective action

• Requirements for responsible staff to institute appropriate corrective action to prevent future accidents

• Data to calculate the fleet's accident frequency rate (number of accidents in year multiplied by 1,000,000 divided by total fleet mileage)

• Data to identify preventable accidents

• Data to calculate accident costs.

Common Accident Factors in Accident Analysis

The National Safety Council has identified these accident factors which are usually selected for accident analysis:

• Date of accident

• Date reported

• Name of driver

• Age of driver

• Length of service of driver

• Hours on duty

• Driver's home terminal or usual work location

• Weather conditions

• Light conditions

• Road conditions

• Accident location

• Direction traveling

• Type of accident

• Vehicle type

• Vehicle number

• Time of day of accident

• Traffic violation

• Other vehicle type

• Vehicle speed versus posted speed limit

• Pedestrian(s) involved

• Property damage

• Vehicle or object struck

• Driver striking vehicle or object

• Responsibility for accident

• Failure by driver

• Cost of accident.

After analysis, the Fleet Manager knows the who, what, why, when , where of the accident - key information, if applied property, for future accident prevention.

__________________________________________________________________________________________

Fleet Safety at Abbott

Source: OSHA

The manufacturing setting has been a highly visible area for worker safety programs, but in 2000, more worker fatalities were caused by vehicle crashes in the United States than by any other incident type (see Exhibit 1).

A typical driver in the U.S. travels 12,000 to 15,000 miles annually, and has a one in 15 chance of being involved in a vehicle collision each year.2 Most fleet drivers travel 20,000 to 25,000 miles or more each year, and thus have a greater exposure to crash risks.

In addition to the frequency, fleet vehicle crashes create the most costly worker injury claims, averaging over $21,000 per incident.3 Besides property damage, crashes result in lost productivity and/or lost revenue from missed sales calls and potential third-party liability claims from an at-fault crash. Since most companies self-insure fleet vehicles and drivers, the company bears the burden of these costs directly.

Given the frequency and severity of fleet vehicle crashes, and the high costs associated with these crashes, it is important for any organization that operates a fleet to take a proactive approach to fleet safety.

For many years, the safety program at Abbott focused on the manufacturing and development areas of the organization. In 1998, the company’s Pharmaceutical Products Division (PPD) began to place additional focus on fleet vehicle safety. At that time Abbott employed 18,000 employees, of which 25 percent were sales and service representatives. Among the divisions, PPD had the largest domestic sales force, about 4,000 employees. This safety effort began with an analysis of past safety incidents in the division. Studies showed that 80 percent of employee fatalities and most of the severe employee injuries result from vehicle crashes. The company’s benchmarking efforts revealed that its crash rate on a corporate level was about average for the pharmaceutical industry.

Joe, a corporate manager in PPD, has been given the task of improving fleet safety in the division. Joe wanted to decide immediately:

▪ Who should be targeted by a fleet safety program?

▪ How can they be influenced to drive safer?

In order to determine whom to target, Joe was interested in identifying some leading and trailing indicators that might support his recommendations.

After examining the incident data available, Joe decided initially to target new hires. The data supported that new hires are statistically at greater risk of a crash than tenured employees with the greatest likelihood of a crash occurring within the first 18 months on the job. Also, about 60 percent of the sales representatives are involved in a crash during their first five years on the job.

Joe hypothesized that there is an increased risk because the new hires are becoming accustomed to many new elements including a new job, territory, customers, products, policies and vehicle. Also, he believed that the additional risk may result from a new hire’s eagerness to perform well, and thus they over-schedule and rush, both of which may lead to crashes.

Joe developed a one-hour new hire training program that covered the basics of driver safety that was incorporated into the standard orientation program and was taught by an internal staff member.

The program was easily implemented in the new hire orientation program and immediately showed some reduction in incident rates. However, the amount of reduction was minimal, and it quickly leveled off. Joe was then pondering what he should do next.

Exhibit 1 - Worker Fatalities by Incident Type in Year 2000

 

Motor vehicle accidents 31.0%

Other transportation incidents 12.5%

Assaults & violent acts 15.7%

Contact with objects & equipment 17.0%

Falls 12.4%

Exposure to harmful substances or environments 8.1%

Fires and explosions 3.0%

 

In 1998, Abbott determined that there were three key areas with the potential for significant improvements in reducing their fleet safety incident rates: new hires, mid-level managers and high-risk drivers.

After the initial trial program of one hour of classroom instruction as part of new hire orientation failed to achieve the desired gains in safety, Joe’s safety organization implemented an expanded program. To further improve the driving habits of the new hires, the Pharmaceutical Products Division (PPD) partnered with Advanced Driver Training Services, Inc. (ADTS), a company that has specialized in fleet safety training since 1983. The new program consisted of a half-day of classroom instruction and a half-day of behind-the-wheel training (see Exhibit 2 for a brief description of the program).

Since the full roll-out in 1999, the new hire crash rate has dropped significantly (see Exhibit 3). Over the three-year period from 1999 through 2001, over 2,000 new sales representatives were trained. During the year following their participation in training, the group's crash rate was approximately 50 percent lower than the rate for tenured drivers who did not attend the training. The fact that the crash rate historically had been higher for new hires than tenured drivers made these results even more significant. Incorporating the training as part of the existing new hire orientation helped contain some of the costs, plus the employees received the training before they received a company vehicle.

The second area targeted was mid-level managers. Mid-level managers tended to have tremendous influence over their direct reports’ behaviors in all aspects of the job, including driving. These managers were required to participate in the same training as their direct reports, but in addition were taught how to observe and document employees’ driving skills. Since PPD sales managers were already conducting regular ride-along sessions to observe sales representatives’ selling skills, the driver training program taught them how to conduct a safety ride-along at the same time using a driving skills checklist. Managers were then required to submit the checklist to the driver and to the PPD safety department where the results were tracked, summarized, and provided to sales management. Two safety ride-along sessions with each sales representative were required annually, and the managers were encouraged to include the results as part of the annual performance reviews.

The final group targeted was the high-risk drivers. The analyses showed that approximately 80 percent of the vehicle crashes were caused by 20 percent of the drivers. Joe realized that the ability to identify those drivers and provide targeted training and intervention could have a significant impact on the fleet crash rate.

The identification of high-risk drivers involved developing a quantitative risk profile for each driver by assigning points for each crash or moving violation. Risk categories were created that corresponded to different point total thresholds. Then a program of safety training and intervention was designed for each category.

High-risk drivers were identified by assigning points for each driving incident (crash or moving violation) incurred in the previous 36 months. The points associated with each incident reflect its severity as well as Abbott’s risk tolerance and safety philosophy (see Exhibit 4). A high risk driver was defined as an individual who had obtained 6 or more points within a 36-month period of time as identified through a Motor Vehicle Record review or equivalent process.

Different levels of intervention were defined for the various degrees of high-risk drivers (see Exhibit 5). For the worst high-risk drivers, an ADTS instructor will accompany the driver during the course of a normal business day, observing the driver’s skills and behaviors, identifying problems areas and recommending improvements. Exhibit 6 provides a description of this program. For the lesser offenders, managers could determine the best form of intervention, choosing from options such as driver safety CD-ROMs, videotapes and manuals.

With the expanded program, the division had seen a reduction of nearly 50 percent in third-party liability expenses on a cost per employee basis (see Exhibit 7). Obviously the expenses associated with this kind of program would always be a factor, but Joe thought that it was important to keep the classes to a manageable size to promote interaction in the classroom segment and to allow each driver adequate time to practice new skills during the behind-the-wheel segment. Also, he thought all programs needed to be tailored to the most significant topics, for example, analysis revealed that backing up and rear-end collisions were the two leading causes of crashes. Thus, extra emphasis was placed on these two driving scenarios during the training.

To supplement the training, the safety organization also utilized existing channels within the company such as a newsletter, e-mail, or Intranet to distribute practical, educational reminders about safety to all drivers. They also incorporated driver safety into meetings that fleet drivers were already scheduled to attend, using videotapes or brief seminars to cover targeted topics, and provided programs on topical issues such as changes in cell phone legislation and seasonal issues such as winter driving tips. As of 2003, Abbott required all fleet drivers company-wide to participate in some form of driver safety training every three years, and also dictated that seatbelt use was mandatory in company vehicles at all times.

Exhibit 2 – One-Day Driver Skill Enhancement Program

The ADTS One-Day Driver Skill Enhancement Program is a combination classroom and behind the wheel training. The purpose of this program is not to teach people how to drive; the program is designed to make drivers better. Important information that is vital to safe driving is covered during the classroom portion of the program. Topics include proper scanning techniques, knowing your escape routes, types of collisions and how to avoid them, driving while impaired, passenger restrains and driver attitude and accountability.

The program is designed with the idea that driving is part proper driving attitude and part good driving skills. In the classroom, drivers learn how to stay focused on the task of driving when they are behind the wheel. The driving exercises are intended to improve the driver’s abilities and skills. Lessons include techniques to prevent common crashes such as backing and sideswipe collisions, emergency maneuvers to help avoid collisions while maintaining control of the vehicle, and proper methods to react to the mistakes made by other drivers.

The program includes fours hours of classroom instruction and three hours of behind the wheel instruction.

Exhibit 3 – Effectiveness of Behind-the-wheel training

[pic]

Exhibit 4 – Point system for incidents and violations

2 points:

One chargeable accident, Speeding less than 24 mph over speed limit, Seatbelt violation, Failure to stop, Red/yellow light violation, Failure to yield, Improper lane change, Improper turn (including u-turn), Improper passing, Disobedience to traffic device, Failure to dim headlights, One-way street violation, Blocking intersection, Windshield obstruction, Expired operator license, General speed rule violation, Backing violation, and Other violations equivalent to this category.

4 points:

Two chargeable accidents, Speeding 25-35 mph over speed limit, Inattentive driving, Speeding in a school zone, Passing school bus, Emergency vehicle violation, Striking pedestrian, Speeding in a construction zone, Child not restrained in appropriate child safety seat, Negligent driving, and Other violations equivalent to this category.

6 points:

Three chargeable accidents, Speeding greater than 35 mph over speed limit, Reckless driving*, Fleeing/eluding police*, Hit and run*, Driving vehicle under suspension*, Vehicular manslaughter*, Negligent homicide*, Driving without a valid license*, Possession of open alcohol in vehicle*, Driving under the influence*, Driving while intoxicated*, Felony action while operating motor vehicle*, and Other violations equivalent to this category.

*Serious driving infraction that may result in disciplinary action up to and including termination.

Exhibit 5 – Intervention schedule

2 points

Administrative Intervention only, correspondence from District Manager with copy to Regional Manager

4 points

Administrative Intervention: correspondence from District Manager with copy to Regional Manager and face-to-face meeting with District and/or Regional Manager

Training Intervention: Behind-the-Wheel training if not received within previous 36 months, otherwise a videotape and/or workbook with test, a CD-ROM with test, or an on-line program with test.

6 points

Administrative Intervention: correspondence from District Manager with copy to Regional Manager and face-to-face meeting with District and/or Regional Manager, also high-risk driver evaluation sheet placed in employee file

Training Intervention: either Behind-the-Wheel training or One-to-One Behind-the-Wheel session

>6 points

Administrative Intervention: correspondence from District Manager with copy to Regional Manager and face-to-face meeting with District and/or Regional Manager, also One-to-One behind-the-wheel driver evaluation sheet placed in employee file

Training Intervention: One-to-One Behind-the-Wheel session

Exhibit 6 – One-to-One driver training program

The ADTS One-to-One driver training program is designed for drivers who exhibit a need for more intense, personalized training. Drivers with repeat violations or a history of accidents are ideal candidates for this program.

The training is conducted during the course of a normal business day – keeping the driver on the road and productive. As the driver proceeds with his normal business, the instructor makes observations to detect areas that need improvement. While the driver is out of the car on a sales or service call, the instructor makes notes of his or her observations for later discussion. Throughout the day, the instructor provides practical tips and advice whenever possible. At the end of the day, the instructor and driver review the key areas needing improvement and the ways that the driver can begin to address those areas immediately. At completion, the instructor provides a formal report to the driver’s manager detailing the key findings and recommendations for improvement.

Exhibit 7 – Third-party liability expense on a cost-per-employee basis

[pic]

 

Teaching Notes

Many of the characteristics that may make someone a good sales representative may also make them a bad driver, e.g., aggressive, high level of multi-tasking, etc.

Data showed that new hires were a particularly good target group, but to truly affect behavior, an extensive training program of both classroom and driving time was required.

Also, mid-level managers were shown to be a good group to target primarily because as a safety manager, you need to have management commitment to encourage the desired behaviors. Management can influence behavior changes through performance reviews and can also alter behaviors by leading by example. Also, a management commitment is required to provide the financial resources needed for the program.

Key Issues:

▪ To be able to effectively manage a program and improve safety, measurements must include both leading and trailing indicators, and leading indicators should correlate with trailing ones. In this case, trailing indicators would be based on all the statistics collected by the division after an incident. The Motor Vehicle Record information would support leading indicators to identify the high-risk drivers.

▪ People are inherently biased when it comes to evaluating risks, and safety managers correctly communicating the risks are important in altering employee behavior and engaging senior management commitment. Surveys of people and their perceptions of their driving skills generally report that 70 percent of people think that they are above average drivers. People consistently overestimated their skill and underestimate their risk of an accident; education and training is required to overcome these biases. It is often the case that one may be a good driver but that they simply have a few "bad habits".

 

[pic]

1This case is based on information provided by Abbott in 2003. This case was prepared as part of an Alliance between Georgetown University’s Center for Business and Public Policy, OSHA, and Abbott. Participation in an Alliance does not constitute an endorsement of any specific party or any party’s products or services. This case was prepared as the basis for class discussion in the "Business Value of Safety."

2National Highway Traffic Safety Administration, Traffic Safety Facts Report, 2001.

3Safety + Health, Oct. 2001: 12.

4Bureau of Labor Statistics, 2000 Census of Fatal Occupational Injuries, 2001.

__________________________________________________________________________________________

SECTION IV E: FIRE AND LIFE SAFETY

Fire Protection Program

Source: DOE

An acceptable fire protection program includes those fire protection policies, requirements, technical criteria, analyses, administrative procedures, systems and hardware, apparatus and equipment, plans, and personnel that comprehensively ensure that DOE objectives relating to fire safety are achieved. Such a program should be characterized by a level of fire protection sufficient to fulfill the requirements for the best protected class of industrial risks ("Highly Protected Risk" or "Improved Risk") and should have protection to provide "defense-in-depth." This means that fire safety should be an integral part of all activities and that facilities should be designed with both active and passive fire protection features such that reliance will not be placed on only one means to ensure an acceptable level of fire safety. This is also characterized by the demonstration of a continuing, sincere interest on the part of management and employees in minimizing losses from fire and related hazards and the implementation of preventive features necessary to ensure the satisfaction of objectives related to fire safety.

To achieve this level of fire protection, site operations and facilities should meet a minimum level of fire protection as further defined below.

An acceptable fire protection program should meet the minimum requirements established by the National Fire Protection Association (NFPA) and other referenced fire safety criteria (or exceed them when necessary to meet fire safety objectives), unless explicit relief has been granted by DOE.

Basic elements of an acceptable program include:

1. A policy statement that incorporates the requirements of this Order, related DOE directives, and other applicable Federal, state and local fire protection requirements. The statement should affirm management's commitment to support a level of fire protection and fire suppression capability sufficient to minimize losses from fire and related hazards consistent with the best class of protected property in private industry.

2. Comprehensive, written fire protection criteria that reflect additional site-specific aspects of the fire protection program, including: the organization, training and responsibilities of the fire protection staff; administrative aspects of the fire protection program; and requirements for the design, installation, operability , inspection, maintenance and testing of fire protection systems.

3. Written fire safety procedures governing the use and storage of combustible, flammable, radioactive, and hazardous materials so as to minimize the risk from fire. Such procedures should also exist for fire protection system impairments and for activities such as smoking, hot work, safe operation of process equipment, and other fire prevention measures which contribute to the decrease in fire risk.

4. A system to ensure that the requirements of the DOE fire protection program are documented and incorporated in the plans and specifications for all new facilities and for significant modifications of existing facilities. This includes a documented review by a qualified fire protection engineer of plans, specifications, procedures, and acceptance tests.

5. Fire hazards analyses (FHA) for all nuclear facilities, significant new facilities and facilities that represent unique or significant fire safety risks. The FHA should be developed using a graded approach. The conclusions of the FHA should be incorporated in the Safety Analysis Report (SAR) Accident Analysis and should be integrated into design basis and beyond design basis accident conditions.

6. Access to a qualified and trained fire protection staff, including a fire protection engineer(s), technicians and fire-fighting personnel to implement the requirements of this Order.

7. A "baseline" needs assessment that establishes the minimum required capabilities of site fire-fighting forces. This includes minimum staffing, apparatus, facilities, equipment, training, fire pre-plans, off-site assistance requirements, and procedures. Information from this assessment should be incorporated into the site Emergency Plan.

8. Written pre-fire strategies, plans, and standard operating procedures to enhance the effectiveness of site fire-fighting forces, where provided. Such procedures include those governing the use of fire-fighting water or other neutron-moderating materials to suppress fire within or adjacent to moderation controlled areas. Restrictions on the use of water should be fully justified on the basis of criticality safety.

9. A comprehensive, documented fire protection self-assessment program, which includes all aspects (program and facility) of the fire protection program. Assessments should be performed on a regular basis at a frequency established by DOE.

10. A program to identify, prioritize and monitor the status of fire protection-related appraisal findings/recommendations until final resolution is achieved. When final resolution will be significantly delayed, appropriate interim compensatory measures should be implemented to minimize the fire risk.

11. A process for reviewing and recommending approval of fire safety "equivalencies" and "exemptions" to the DOE AHJ for fire safety.

12. Access to a fully equipped, staffed and trained emergency response force that is capable of effectively responding to a fire and other emergencies in a timely manner.

_______________________________________________________________________________________

Fire Safety

Source: Texas Workers’ Compensation Commission

A fire safety plan is an essential part of any workplace safety program. In fact, the Occupational Safety and Health Administration (OSHA) mandates it for industry under 29 Code of Federal Regulations (CFR), Part 1910, Subparts E, L and Q. These standards require that a written plan be prepared and communicated to all employees. OSHA standards can be readily accessed at .

Remember that the OSHA standards are the MINIMUM requirements for protection. If you relied on these in a written test you would receive a grade of D. Standards published by the National Fire Protection Association (NFPA) are much more detailed. Best business practice is to exceed minimum requirements as much as possible in order to ensure maximum protection of life and property.

A good fire safety plan has three main elements. The first is prevention. The old saying ‘An ounce of prevention is worth a pound of cure’ is very true in this case. A fire that doesn’t happen means savings in both property and, most importantly, possible human suffering. Evaluating the workplace for fire hazards and taking steps to reduce or eliminate those hazards benefits everyone in the long run. One immediate and positive effect for a business with a good fire safety plan is control of insurance premiums.

The second element of the plan is evacuation. Fires can spread with incredible speed. The ability for all occupants of any structure to quickly leave the danger zone is the best means of ensuring their safety in case a fire does break out. The third element is fire fighting. This is the final element because, although individuals can fight very small fires, the limited capacity of portable fire extinguishers means that emphasis must always be placed on alerting and evacuating the workforce as the first priority in any fire emergency. It requires a substantial investment in equipment and training time for a private company to create an effective fire brigade and this is usually done only within large organizations. Most employers have to rely on the local fire department to tackle any serious fire.

Fire Prevention

The OSHA standard for fire prevention plans is found under part 1910.38 (b). The NFPA standard number is 1. These two standards require a written fire prevention plan. The plan must contain a list of the major workplace fire hazards together with proper handling and storage procedures for them. It must contain a list of potential ignition sources and control procedures for them. Also, the plan must identify the fire protection equipment to control these hazards. Include the job titles of employees who are responsible for maintaining fire detection and protection equipment, as well as those who are responsible for control of fuel source hazards. In practical terms, the employer begins by conducting an initial evaluation of the workplace to determine the hazards. This is usually done in the planning stage of any new construction and is based on the building and fire codes of the state and locality. In the case of industries that handle flammable substances there will frequently be additional Federal standards that must be met. The expertise of architects and process design engineers is utilized in this instance. If an existing structure is being leased or purchased, such an evaluation may not always be within the ability of many employers. It is a good idea to call upon the resources of the organization’s insurance carrier and request risk management services prior to starting business operations. If the business expands, or processes are modified, it will be necessary to re-evaluate the possible hazards and update the prevention plan as changes take place.

When a company adopts a fire protection plan, it is necessary to explain the plan to each employee upon initial assignment of job duties. The employee must receive all information needed for their safety. The employer must keep the written plan on the premises and available to employees for review. When any change in the plan occurs, notify employees prior to the change or at least prior to the beginning of the next shift after a change takes place. Schedule annual refresher training in the plan as well as a number of five-minute safety talks throughout the year. Design these talks for the specific needs of work areas. Businesses with fewer than ten employees may communicate the plan orally to their staff but it must be maintained in written form to comply with the standard.

Proper safe storage of flammable or combustible liquids is covered in part 1910.106. This standard outlines the types of permitted containers and their capacities for all classes of these liquids. Flammables storage cabinets are very useful for businesses that use small to moderate amounts of solvents or flammable paints. Boldly label containers of substances that are fire hazards. Choose the hazard label system that is best suited to your operation. Employers can choose between three warning label systems, the NFPA diamond, the National Paint and Coatings Association’s Hazardous Materials Information System (HMIS), or the American National Standards Institute’s (ANSI) system. Carefully examine storage of combustible solids, like paper supplies. Never store them in electrical service rooms.

Housekeeping is an important part of the plan. The standard states that the employer must control accumulation of flammable or combustible wastes so they do not contribute to a fire emergency. This is not necessarily limited to waste from manufacturing processes. It also includes office, shipping or mailroom paper and pasteboard waste. Remove combustible waste from the workplace or store the waste in containers such as safety cans. Empty these containers on a daily basis. The housekeeping procedures must be included in the written plan. Conduct periodic inspections of hazard areas. These inspections should be based on a written form that lists each hazard, provides a means of recording and fixing problems, and is required to be signed by the inspector. Make a sign-off form that verifies completion of any repairs or corrections that are needed and maintain a file of completed forms.

Sources of ignition include electric wiring and equipment. Power cords are often a source of problems if they become damaged. If a plug is found to be missing its grounding prong or the cord is worn or cut, tag it immediately and remove it from service. Do not wrap cut or worn areas with tape because the internal insulation between the current and ground wires might be damaged and a short could occur. Never overload electrical outlets by using multiplex plugs to connect more than two appliances or tools. Do not use extension cords in place of permanent wiring. Do not staple extension or appliance cords to walls or to doorframes, route them through openings in walls, or wrap them around metal furniture. Periodically inspect fixed electrical equipment and controls for wear or lack of lubrication that could lead to overheating. Clean accumulations of grease and dust on air filter elements or fans in electric-powered machinery on a regular schedule. One more possible ignition source is static electricity. When flammable or combustible liquids are transferred from one container to another, use bonding wires to connect both containers and a grounding lead.

Cutting, welding, and grinding operations must be controlled as well. Fire protection standards for these operations are found in part 1910.252 (a). The basic precautions for welding and cutting are based on the premise that the object to be cut or welded cannot be moved. In these cases remove all fire hazards from the immediate area. If they cannot be moved, place fireproof guards to confine the heat, sparks, and slag. Trained firewatchers must be in place for operations in areas where other than a minor fire might develop. Develop a system of hot work permits to control all facets of these operations. Contractors performing hot work in the facility are subject to the same hot work rules as regular employees.

Designate smoking and non-smoking areas for each workplace and provide metal containers to hold cigarette butts in the smoking area. Clearly mark any fire hazard areas with signage forbidding any kind of smoking or open flame, even if the entire structure is already a no-smoking zone. Although it is not required, include a system of rules as part of the plan. Records and enforcement of infractions, such as smoking in forbidden areas or blocking exits, should be in written form with a graduated, fair system of penalties assessed for repeated violations. As part of the prevention plan, maintain records of infractions.

Create a written maintenance plan for fire suppression systems, as well as for systems installed on heat-producing equipment to prevent accidental ignition of combustibles.

Evacuation

Employers must prepare a written emergency action plan and procedures for reporting fires must be written into the plan. Emergency escape procedures and routes must be a part of the action plan. Post floor plans of these routes in all rooms and work areas of the business. Show main and alternate routes on these plans whenever possible and define them by different colors. Some requirements in the OSHA standard 1910.37 include minimum width of the exit routes, access to exits, occupant load egress capacity, design of exit doors and walking surfaces. Clear marking of exits, as well as doors that are not exits, is mandated. The size of exit signs and sources of illumination for them must conform to this standard. Nothing must be allowed to obscure the view of any signage or exit doors. The NFPA’s Life Safety Code 101-2000 contains extensive standards for exit routes from every type of public structure. This publication serves as the basis for many municipal codes in the United States and can be purchased from NFPA. They may be contacted at . Compliance with the exit route provisions in 101-2000 makes you compliant with OSHA’s exit route requirements. OSHA requires an alarm system to alert employees to a fire emergency. Standards for these systems may be found in part 1910.165. Audible alarms must be distinctive and must be loud enough to be perceived above the ambient noise level in the workplace. If any employees have vision or hearing impairments, alarms must be designed to alert them. Otherwise a variety of alarms is acceptable. Test alarm systems every two months.

Teach each employee the action plan so that they know what actions they must take in each type of emergency. The written plan must contain the job titles of persons who can be contacted by the employee for further explanation of duties under the plan. Teach all employees the correct sequence of actions in a fire emergency. When a fire is discovered, the first thing to do is sound the alarm. The second action is to call the fire department or company fire brigade if there is time to do so. The employee should identify her/himself, the location and type of fire. The third thing to do, and only after completing the first two, is to try to fight a small fire. It must be emphasized that the employee should do this only if they have been trained in the use of the extinguisher and if the situation allows the following three conditions; the employee has their back to the exit route, another person is present to help out, and the room is not full of smoke.

In case of an emergency some employees may be required to perform shutdown of critical operations or systems prior to evacuating the premises. Include these duties in the written plan with the job titles of these people. If any employees are assigned rescue or medical duties, such duties must be in writing. Appoint fire wardens and train them to aid in evacuations. The recommended ratio of employees to wardens is 20 to 1. In multi- story buildings, assign a warden to each floor at a minimum. For businesses that schedule work by shifts, wardens have to be present on all shifts. Wardens and employees should be aware of and ready to assist any fellow employees who may be mobility impaired and might require assistance in an evacuation. The designated shutdown employees and wardens must be trained prior to implementation of the action plan.

Set up a safe area or refuge where all employees are to gather after the evacuation. It is important that the area be sufficiently far from the structure to be secure from possible further hazards that may occur after the evacuation and to allow emergency response personnel and vehicles free access. Develop a procedure to account for all persons who were in the structure prior to the evacuation. This should include any visitors, customers, delivery, or contractor personnel who might be on the premises. This accounting is normally an assignment for supervisors and/or fire wardens.

Schedule fire escape drills at the startup of business operations and at least twice a year thereafter. Drills are important for checking the effectiveness of the escape plan and improving it. Even more important, if duties and necessary actions are effectively conveyed to people, they will revert to their training in times of stress. This will combat panic. Panic is a major cause of injury and death in fire emergencies. As a key part of the training, make each employee simulate, in a safe manner, conditions of limited visibility on their route of egress. Some examples of this are to have employees memorize the number of footsteps and direction changes needed to reach safety or (for those who are able) practice moving to the exits in a position near the floor. For buildings where multiple businesses are located, all of the tenant companies should coordinate their evacuation plans and conduct joint drills.

Fire Fighting

Federal, state, and local codes may require portable fire extinguishers to be available in an enclosed workplace. The OSHA standard for these is part 1910.157. Some exemptions to the standard are also found here. The NFPA standard is number 10. Employers are required to provide, mount, and identify fire extinguishers so that they are readily available to employees. These extinguishers must be approved types and be selected on the basis of the types of fires that are expected to occur in the workplace. It is best to purchase multi-rated extinguishers for general protection. The most widely produced type of extinguisher is the dry chemical type rated for class A, B, and C fires.

• Class A fires are those caused by burning of ordinary combustibles such as wood, paper, cloth or plastics.

• Class B fires are those involving flammable or combustible liquids.

• Class C fires are fires in energized electrical equipment.

• Class D fires are those of combustible metals such as magnesium.

The initial evaluation of fire hazards will reveal the need for any specialized extinguishers. The employer is required to maintain the extinguishers in a state of readiness in their designated places at all times.

• Extinguishers for class B fires must be located so that they are no more than 50 feet from the hazard area.

• Those for class A and C fires can be no more than 75 feet of travel distance from any employee.

Do not mount extinguishers in any location that requires a portable device such as a ladder to access them. All extinguishers must be visually inspected on a monthly basis. They must undergo a maintenance inspection annually and records of the inspection dates must be retained for one year. Rechargeable dry chemical extinguishers must be emptied and examined internally every six years and hydrostatically tested every twelve years. Carbon dioxide and nitrogen extinguishers and pressure bottles must be hydrostatically tested every five years. When extinguishers are removed for maintenance, they must be replaced while maintenance is in progress. If the employer does hydrostatic testing, all items under standard 1910.158 (f) apply. When an employer provides portable extinguishers for use by employees, training must be given in the use of the extinguishers and information provided on the hazards of fire fighting. Training in these hazards is of the utmost importance. Once again, give this training upon initial assignment of job duties and on an annual basis thereafter.

If a workplace only contains hazards for class A fires, the employer may choose to install a standpipe and hose system instead of portable fire extinguishers. That system will have to conform to standard 1910.158. The standpipes and hoses must be protected from damage so that they will be available in an emergency. Cabinets or hose covers must be used to protect the hoses from weather, dirt, and possible damage. Access to the hoses must be unobstructed. Inspect all hoses on an annual basis and discard them when they deteriorate. Hose is considered deteriorated when it can no longer carry water at the required flow rate and pressure.

Automatic fire control systems include sprinkler systems, dry chemical systems, systems that dispense gaseous agents and those that dispense foam or large amounts of water. Each has a standard assigned to it from parts 1910.159 to 1910.163.

Sprinkler systems that are required by OSHA in certain types of workplaces fall under standard 1910.159. Under this standard the following items apply. The system must provide complete coverage for the areas in which it is installed. The employer must maintain the system properly and perform a main drain flow test every year. Every two years the inspector’s valve must be opened to assure the system operates correctly. Upon the completion of a new system, acceptance tests must be performed and documented. Water supply for the system must provide the designed flow for a minimum of 30 minutes. The employer may provide auxiliary hose connections to input more water for fire fighting use provided that the water source supplies the designed demand for the system. Protection for the system shall be provided against freezing and exterior corrosion. The sprinklers shall be protected against mechanical damage. The system must have the ability to be totally drained. A water flow alarm must be included on any system of more than 20 sprinkler heads. When materials are stored in sprinkler- protected areas, a minimum clearance of 18 inches must be left between the sprinklers and the material below them.

Fixed extinguishing systems other than sprinkler systems that may, by means of their operation, expose employees to injury, death, or adverse health consequences from the extinguishing agent are covered under parts 1910.160 to 1910.163. Install a distinctive alarm to alert employees prior to the system discharging so that they may safely leave the area. Post hazard warnings at entrances to and inside areas where concentrations of the extinguishing agent may be hazardous to life and health. Provide safeguards to warn employees against entry into areas where the atmosphere remains hazardous after a discharge. Inspect the system annually. Check pressure and contents of refillable containers every six months. Non-refillable containers must be weighed every six months. All inspection and maintenance dates must be recorded on the containers. Maintenance and inspection personnel must be trained and annually reviewed on their training. In addition to the automatic release mechanism, one manual release must be included in the system. When systems are recharged after use, it must be with an identical agent to that previously used in the system. Systems using gaseous agents have a set of required times for extinguishing concentrations of the gases. All gases other than Halon must reach the extinguishing level within 30 seconds after start of the discharge.

Fire brigades are not required under OSHA standards. Employers must decide whether organizing and properly equipping a fire brigade is needed and is within the ability of the organization. If it is decided to create a fire brigade, part 1910.156 will regulate it. Create a written policy that outlines the organizational structure and size of the brigade, as well as the type and frequency of training it receives and its duties in the workplace. Make sure that the members of the brigade are physically capable of performing the duties assigned to them. Conduct training at least annually. Content of the training must be equivalent to that conducted by recognized fire training schools in the various states. A large part of the standard is concerned with approved protective clothing and equipment for brigade members who are required to perform fire fighting inside structures.

Summary

Budget enough time and resources in your business plan to create and maintain a fire safety program that exceeds government standards. Establish a good working relationship with your local fire marshal’s office and request their help when necessary. Invite employee input via safety committees, suggestion boxes or other means. Consider programs to reward good safety program participation by employees at all levels. Rotate necessary training and inspections throughout the year rather than waiting to the end of the required period to conduct a large amount in a short time. This will prevent unexpected business demands from forcing postponements beyond the annual deadline dates.

__________________________________________________________________________________________

Fire Safety Manual

Source: Adapted from CDC Fire Safety Manual

Introduction

Fire prevention measures propose to reduce the incidence of fires by eliminating opportunities for ignition of flammable materials.

Flammable and Combustible Materials

A. Substitution

Flammable liquids sometimes may be substituted by relatively safe materials in order to reduce the risk of fires. Any substituted material should be stable and nontoxic and should either be nonflammable or have a high flashpoint.

B. Storage

Flammable and combustible liquids require careful handling at all times. The proper storage of flammable liquids within a work area is very important in order to protect personnel from fire and other safety and health hazards.

1) Cabinets. Not more than 120 gallons of Class I, Class II, and Class IIIA liquids may be stored in a storage cabinet. Of this total, not more than 60 gallons may be Class I and II liquids. Not more than three such cabinets (120 gallons each) may be located in a single fire area except in an industrial area.

Table 1. Maximum allowable capacity of containers and portable tanks

|  |Flammable Liquids |Combustible Liquids |

|Container |1A |1B |1C |II |III |

|Glass or approved plastic1 |1 pt2 |1 qt2 |1 gal |1 gal |1 gal |

|Metal (Other than DOT drums) |1 gal |5 gal |5 gal |5 gal |5 gal |

|Safety Cans |2 gal |5 gal |5 gal |5 gal |5 gal |

|Metal drums (DOT specifications) |60 gal |60 gal |60 gal|60 gal|60 gal|

|Approved portable tanks |660 gal |660 gal |660 |660 |660 |

| | | |gal |gal |gal |

|(1) Nearest metric size is also acceptable for the glass and plastic |

|(2) One gallon or nearest metric equivalent size may be used if metal and labeled with their contents. |

2) Containers.   The capacity of flammable and combustible liquid containers will be in accordance with Table 1.

 

3) Storage Inside Buildings. Where approved storage cabinets or rooms are not provided, inside storage will comply with the following basic conditions:

a. The storage of any flammable or combustible liquid shall not physically obstruct a means of egress from the building or area.

 

b. Containers of flammable or combustible liquids will remain tightly sealed except when transferred, poured or applied. Remove only that portion of liquid in the storage container required to accomplish a particular job.

c. If a flammable and combustible liquid storage building is used, it will be a one-story building devoted principally to the handling and storing of flammable or combustible liquids. The building will have 2-hour fire-rated exterior walls having no opening within 10 feet of such storage.

d. Flammable paints, oils, and varnishes in 1 or 5 gallon containers, used for building maintenance purposes, may be stored temporarily in closed containers outside approved storage cabinets or room if kept at the job site for less than 10 calendar days.

C. Ventilation

Every inside storage room will be provided with a continuous mechanical exhaust ventilation system. To prevent the accumulation of vapors, the location of both the makeup and exhaust air openings will be arranged to provide, as far as practical, air movement directly to the exterior of the building and if ducts are used, they will not be used for any other purpose.

D. Elimination of Ignition Sources

All nonessential ignition sources must be eliminated where flammable liquids are used or stored. The following is a list of some of the more common potential ignition sources:

• Open flames, such as cutting and welding torches, furnaces, matches, and heaters-these sources should be kept away from flammable liquids operations. Cutting or welding on flammable liquids equipment should not be performed unless the equipment has been properly emptied and purged with a neutral gas such as nitrogen.

• Chemical sources of ignition such as d.c. motors, switched, and circuit breakers-these sources should be eliminated where flammable liquids are handled or stored. Only approved explosion-proof devices should be used in these areas.

• Mechanical sparks-these sparks can be produced as a result of friction. Only nonsparking tools should be used in areas where flammable liquids are stored or handled.

• Static sparks-these sparks can be generated as a result of electron transfer between two contacting surfaces. The electrons can discharge in a small volume, raising the temperature to above the ignition temperature. Every effort should be made to eliminate the possibility of static sparks. Also proper bonding and grounding procedures must be followed when flammable liquids are transferred or transported.

E. Removal of Incompatibles

Materials that can contribute to a flammable liquid fire should not be stored with flammable liquids. Examples are oxidizers and organic peroxides, which, on decomposition, can generate large amounts of oxygen.

F. Flammable Gases

Generally, flammable gases pose the same type of fire hazards as flammable liquids and their vapors. Many of the safeguards for flammable liquids also apply to flammable gases, other properties such as toxicity, reactivity, and corrosivity also must be taken into account. Also, a gas that is flammable could produce toxic combustion products.

Fire Extinguishers

A portable fire extinguisher is a "first aid" device and is very effective when used while the fire is small. The use of fire extinguisher that matches the class of fire, by a person who is well trained, can save both lives and property. Portable fire extinguishers must be installed in workplaces regardless of other firefighting measures. The successful performance of a fire extinguisher in a fire situation largely depends on its proper selection, inspection, maintenance, and distribution.

A. Classification of Fires and Selection of Extinguishers

Fires are classified into four general categories depending on the type of material or fuel involved. The type of fire determines the type of extinguisher that should be used to extinguish it.

1) Class A fires involve materials such as wood, paper, and cloth which produce glowing embers or char.

2) Class B fires involve flammable gases, liquids, and greases, including gasoline and most hydrocarbon liquids which must be vaporized for combustion to occur.

3) Class C fires involve fires in live electrical equipment or in materials near electrically powered equipment.

4) Class D fires involve combustible metals, such as magnesium, zirconium, potassium, and sodium.

Extinguishers will be selected according to the potential fire hazard, the construction and occupancy of facilities, hazard to be protected, and other factors pertinent to the situation.

B. Location and Marking of Extinguishers

Extinguishers will be conspicuously located and readily accessible for immediate use in the event of fire. They will be located along normal paths of travel and egress. Wall recesses and/or flush-mounted cabinets will be used as extinguisher locations whenever possible.

Extinguishers will be clearly visible. In locations where visual obstruction cannot be completely avoided, directional arrows will be provided to indicate the location of extinguishers and the arrows will be marked with the extinguisher classification.

If extinguishers intended for different classes of fire are located together, they will be conspicuously marked to ensure that the proper class extinguisher selection is made at the time of a fire. Extinguisher classification markings will be located on the front of the shell above or below the extinguisher nameplate. Markings will be of a size and form to be legible from a distance of 3 feet.

C. Condition

Portable extinguishers will be maintained in a fully charged and operable condition. They will be kept in their designated locations at all times when not being used. When extinguishers are removed for maintenance or testing, a fully charged and operable replacement unit will be provided.

D. Mounting and Distribution of Extinguishers

Extinguishers will be installed on hangers, brackets, in cabinets, or on shelves. Extinguishers having a gross weight not exceeding 40 pounds will be so installed that the top of the extinguisher is not more than 3-1/2 feet above the floor.

Extinguishers mounted in cabinets or wall recesses or set on shelves will be placed so that the extinguisher operating instructions face outward. The location of such extinguishers will be made conspicuous by marking the cabinet or wall recess in a contrasting color which will distinguish it from the normal decor.

Extinguishers must be distributed in such a way that the amount of time needed to travel to their location and back to the fire does not allow the fire to get out of control. OSHA requires that the travel distance for Class A and Class D extinguishers not exceed 75 feet. The maximum travel distance for Class B extinguishers is 50 feet because flammable liquid fires can get out of control faster that Class A fires. There is no maximum travel distance specified for Class C extinguishers, but they must be distributed on the basis of appropriate patterns for Class A and B hazards.

E. Inspection and Maintenance

Once an extinguisher is selected, purchased, and installed, it is the responsibility of the CDC Office of Health and Safety to oversee the inspection, maintenance, and testing of fire extinguishers to ensure that they are in proper working condition and have not been tampered with or physically damaged.

Fire Safety Inspections/Housekeeping

First line supervisors and Safety Committees are responsible for conducting work site surveys at least annually. These surveys should include observations of worksite safety and housekeeping issues and should specifically address proper storage of chemicals and supplies, unobstructed access to fire extinguishers, and emergency evacuation routes. Also, they should determine if an emergency evacuation plan is present in work areas and that personnel are familiar with the plan.

Emergency Egress

Every exit will be clearly visible, or the route to it conspicuously identified in such a manner that every occupant of the building will readily know the direction of escape from any point. At no time will exits be blocked.

Any doorway or passageway which is not an exit or access to an exit but which may be mistaken for an exit, will be identified by a sign reading "Not An Exit" or a sign indicating it actual use (i.e., "Storeroom"). Exits and accesses to exits will be marked by a readily visible sign. Each exit sign (other than internally illuminated signs) will be illuminated by a reliable light source providing not less than 5 foot-candles on the illuminated surface.

Facilities Design Review

Facilities will be designed in a manner consistent with health and safety regulations and standards of good design. The Engineering Services Office, together with OHS, will ensure that there is appropriate health and safety review of facility concepts, designs, and plans. A formal design review process is currently in place for all new construction efforts. ]

Occupant Emergency Plan for Persons with Disabilities

The first line supervisor is assigned the responsibility to assist Persons with Disabilities under their supervision. An alternate assistant will be chosen by the supervisor. The role of the two assistants is to report to their assigned person, and to either assist in evacuation or assure that the PWD is removed from danger.

• Supervisors, alternates, and the person with a disability will be trained by OHS on available escape routes and methods.

• A list of persons with disabilities is kept in the Office of Health and Safety. This list is updated by the Emergency coordinators, emergency monitors, OHS, the Office of Personnel Management, and the PWD Committee.

• Visitors who have disabilities will be assisted in a manner similar to that of CDC employees. The Host of the person with disabilities will assist in their evacuation.

•

Emergencies involving Fire

A. Fire Alarms

In the event of a fire emergency, a fire alarm will sound for the building.

B. Evacuation Routes and Plans

Each facility shall have an emergency evacuation plan. All emergency exits shall conform to NFPA standards.

Should evacuation be necessary, go to the nearest exit or stairway and proceed to an area of refuge outside the building. Most stairways are fire resistant and present barriers to smoke if the doors are kept closed.

Do not use elevators. Should the fire involve the control panel of the elevator or the electrical system of the building, power in the building may be cut and you could be trapped between floors. Also, the elevator shaft can become a flue, lending itself to the passage and accumulation of hot gases and smoke generated by the fire.

C. Emergency Coordinators

Emergency Coordinators will be responsible for verifying personnel have evacuated from their assigned areas.

Fire Emergency Procedures

If you discover a fire:

1. Activate the nearest fire alarm.

2. Notify the fire department by dialing 9-911. Give your location, the nature of the fire, and your name.

3. Notify your Emergency Coordinator and other occupants.

1. Clifton Road, Control Room, X2887.

2. Chamblee, Guard Station, X4345.

3. Lawrenceville, Guard Station, X5900.

4. Other Metro Facilities: Call Metro emergency number 9-911.

4. Notify the Office of Health and Safety, X3112.

Fight the fire ONLY if:

1. The fire department has been notified of the fire, AND

2. The fire is small and confined to its area of origin, AND

3. You have a way out and can fight the fire with your back to the exit, AND

4. You have the proper extinguisher, in good working order, AND know how to use it.

5. If your are not sure of your ability or the fire extinguisher's capacity to contain the fire, leave the area.

If you hear a fire alarm:

1. Evacuate the area. Close windows, turn off gas jets, and close doors as you leave.

2. Leave the building and move away from exits and out of the way of emergency operations.

3. Assemble in a designated area.

4. Report to the monitor so he/she can determine that all personnel have evacuated your area.

5. Remain outside until competent authority (Physical Security, Office of Health and Safety, or your supervisor) states that it is safe to re-enter.

Evacuation Routes

1. Learn at least two escape routes, and emergency exits from your area.

2. Never use an elevator as part of your escape route.

3. Learn to activate a fire alarm.

4. Learn to recognize alarm sounds.

5. Take an active part in fire evacuation drills.

_________________________________________________________________________________________

SECTION IV F: HEALTH AND WELLNESS

Integrated Health Promotion/Wellness and Substance Abuse Prevention in the Workplace

Source: Department of Health and Human Services

Background Information

Substance abuse prevention programs are concerned with reducing the risk of individual use and abuse of alcohol and other drugs. The Institute of Medicine's definition of prevention, applied to the workplace, provides the following three types:

• Universal Preventive Interventions - focuses on the entire work force and families;

• Selective Preventive Interventions - provides interventions for members of the work force or their families who are in a high risk category for substance abuse;

• Indicated Preventive Interventions - high-risk workers or their family members having signs or symptoms of substance abuse problems.

By integrating substance abuse prevention within health and wellness programs in the workplace, employers can reach the broadest possible audience of employees and their families while reducing the negative impact of the stigma often associated with substance abuse.

Why Employers Should Include Substance Abuse Prevention In Health Promotion

• Most heavy drinkers (77%) and illicit drug users (70%) are working adults;

• Alcohol and drug use/abuse among employees is strongly associated with accidents, absenteeism, turnover, and work performance problems;

• The workplace is where large numbers of parents can be reached with messages about keeping children alcohol and drug-free positively impacting on work force productivity and reduced employee stress;

• Substance abuse prevention messages can be successfully integrated into standard health promotion and wellness programs such as stress management without effecting the goals of the health promotion program;

• Workplace based substance abuse prevention programs can reduce such costs as workers' compensation claims, litigation, injury, and health insurance, among others.

Integrated Health Promotion/ Wellness and Substance Abuse Prevention Programs

Workplace based health promotion programs promote and support employee and their family health and wellness through awareness, education, and skill building activities and environmental/behavioral change.

These programs have been shown to have a positive return on investment (ROI). Employers have an increased interest in encouraging and supporting healthy lifestyle choices, as they become more aware of the interrelationship of employee health and productivity. Employer costs for these programs can rapidly be offset with fewer work-related injuries, improved attendance, less turnover, and increased morale. As employees and their families work towards optimum health in these programs, their sense of loyalty to and the satisfaction with the workplace increases.

Health promotion programs can prevent substance abuse by: (1) moving people toward more healthful lifestyles and/or, (2) providing them with motivation, skills and knowledge directly applicable to substance abuse prevention. These approaches focus on primary and secondary prevention (not detection and treatment). Several researchers have documented impact on health attitudes/practices and measures of substance abuse.

Health promotion programs can include a number of strategies and activities. Some of the most popular activities include: health risk assessments/appraisals, brown bag seminars or training classes on specific topics, newsletters, health fairs, incentive programs, work/life programs, exercise facilities. Environmental and policy-level strategies include substance free workplace gatherings, drug-free workplace policies, smoke-free environment, and upper level management participation. Health promotion topics presented in the workplace include stress management, nutrition/weight management, time management, smoking cessation, cardiac wellness, women's health, and substance use and abuse. Research has shown that integrating substance abuse prevention messages into basic health promotion topics is more effective than presenting substance abuse as a stand-alone topic. Often, programs offer incentives to increase participation. These incentives may include reduced health care premiums, bonuses, time off, health club members, trips, etc.

Different occupations and diverse audiences can require modifications in topics and strategies. What works well in one workplace may not be suitable for all workplaces. Programs need to be culturally and linguistically appropriate and the gender and age of the audience should be taken into consideration. Programs may be offered either within or outside the facility.

Program Accessibility and Confidentiality

Programs should be selected and designed to meet employee and employer needs. To reach the broadest possible audience at the times most convenient to the employer, their employees and families, a variety of strategies should be considered. Workplaces vary in the types of approaches which can be accommodated. For example, long-term classroom-based training may be too time consuming for some workplaces. Alternative strategies include: interactive computer/web-based training, videos and print materials, distance learning techniques, and technological applications. These techniques may be especially suited for physically challenged employees, shift workers, and employees particularly concerned about the stigma attached to particular health topics. They also broaden the ability of the program to reach employees' families. Programs must be offered in a manner in which employees and their families feel their confidentiality is protected, for example when implementing health risk appraisals.

Removing the Stigma of Mental Illness and Substance Abuse

Many employees do not want to be associated with anything related to substance abuse or mental health topics. At health fairs, frequently the booth on substance abuse prevention is not visited at all unless there is a substantial incentive (prize, giveaways, etc.). Employees and family members who find themselves in a substance abuse related crisis might have been able to avoid it if only they had been more comfortable to early on obtain information or assistance.

Health promotion and wellness programs are effective vehicles to disseminate knowledge and reduce the risk and/or impact of substance abuse and related problems such as HIV/AIDS, sexually transmitted diseases, depression and other mental illnesses, and violence and victimization that affect employees and their families. Providing employees and family members with applicable information is a way to attend to problems now and prevent future problems.

Employees may not be comfortable attending a program entitled "Substance Abuse and You" or "Dealing With Depression," fearing they have "self-identified" just by their presence. However, when much of that same information is billed as "How to Talk to Your Kids About Drugs," "Recognizing and Reducing the Signs of Stress," or "Facing Traumatic Events," there is considerably higher participation.

How Are Health and Wellness Programs Provided?

Health and wellness programs can be delivered in a number of ways. Employers can choose to offer the program through their own organization (frequently, through their Human Resources Department) or through their union(s). As an alternative, many employers contract for these services through their health care provider, Employee Assistance Program provider, or independent human resource or health promotion program provider. Many small businesses form consortiums that purchase these services at reduced costs. The comprehensiveness and intensity of the program can vary depending on whether the program is internal to the organization or external and the needs and resources of the workplace. Employers or unions contracting for these services should work closely with the service provider to ensure that programs match the needs of their employees/members and their families.

Evaluation

A number of different evaluation tools are available - from the most simple to the most sophisticated; short-term to long-term. The extensiveness of the evaluation depends on the questions you are trying to answer. The basic areas of evaluation include:

• Participation information (who attended, how many, etc.)

• Employee opinion of the program's usefulness

• Management opinion of the program

• Effectiveness of the program on targeted outcome (e.g., weight loss, smoking cessation, stress relief, reduced substance misuse, etc.)

• Cost (e.g., cost avoidance, cost effectiveness, return on investment, etc.)

• Policy/environmental implications

Program evaluation is important to understand the impact of the program on the workplace, the employee, and their family and to strategically plan for future implementation of such programs.

Key References

Abrams, D. B., Elder, J. P., Carleton, R. A., Lasater, T. M., & Artz, L. M. (1986). Social learning principles for organizational health promotion: An integrated approach. In Cataldo, M. F. & Coates, T. J. (Eds.), Health and industry: A behavioral medicine perspective. New York: John Wiley & Sons.

Alleyne, B. C., Stuart, P., & Copes, R. (1991). Alcohol and other drug use in occupational facilities. Journal of Occupational Medicine, 3, 496-500.

Bacharach, S., Bamberger, P., & Sonnenstuhl, W. (1994). Member assistance programs in the workplace. Ithaca: ILR Press.

Bennett, J. B. & Lehman, W. E. (1997). Employee views of organizational wellness and the EAP: Influence on substance use, drinking climates, and policy attitudes. Employee Assistance Quarterly, 13 (1), 55-71.

Bennett, J.B. & Lehman, W.E.K. (1998), Workplace drinking climate, stress, and problem indicators: Assessing the influence of teamwork (group cohesion). Journal of Studies on Alcohol, 59 (5), 608-818.

Blank, D.L. and Fenton, J.W., (1989). Early employment testing for marijuana: demo-graphic and employees retention patterns, in Drugs in the Workplace: Research and Evaluation Data, Gust, S.W. and Walsh, J.M., Eds., NIDA Research Monograph No. 91, National Institute on Drug Abuse, Rockville, MD.

Bray, R.M., Fairbank, J.A. and Marsden, M.E. (1999). Stress and substance use among military women and men. Amer. J. Drug Alcohol Abuse 25: 239-256,

Cook, R.F., Back, A. & Trudeau, J. (1996). Substance abuse prevention in the workplace: Recent findings and an expanded conceptual model. The Journal of Primary Prevention, 16(3), 319-339

Cook, R.F., Back, A.S. & Trudeau, J. (In press). Substance abuse prevention in the Workplace: The health promotion approach. In Bennett, J. & Lehman, W. (Eds.), Beyond Drug Testing: Preventing Drug Abuse in the Workplace. Washington, DC: APA Books.

Cook, R.F. & Schlenger, W. (In press). Prevention of substance abuse in the workplace: Review of research on the delivery of services. Accepted for publication, Journal of Primary Prevention.

Cornell/Smithers (1992). Report on workplace substance abuse policy. Ithaca, NY: Smithers Institute, Cornell University.

Drug Strategies (1996) Investing in the workplace: How business and labor address substance abuse. Washington: Drug Strategies.

Erfurt, J. C., Foote, A., & Heirich, M. A. (1992). Integrating employee assistance and wellness: Current and future core technologies of a megabrush program. Journal of Employee Assistance Research, 1(1), 1-31.

Glasgow, R. E., Sorensen, G., Giffen, C., Shipley, R. H., Corbett, K., & Lynn, W. (1996). Promoting worksite smoking control policies and actions: The Community Intervention Trial for Smoking Cessation (COMMIT) experience. Preventive Medicine, 25, 186-194.

Goetzel, R.Z., Juday, T.R. & Ozminkowski, R.J. (1999) What's the ROI?--A systematic review of return on investment (ROI) studies of corporate health and productivity management initiatives. AWHP's Worksite Health.

Heaney, C. & Goetzel, R. (1997). A review of health-related outcomes of multi-component worksite health promotion programs. American Journal of Health Promotion, 11 (4), 290-307.

Heirich, M., Sieck, C.J. (2000) Worksite cardiovascular wellness programs as route to substance abuse prevention. Journal of Occupational and Environmental Medicine, 42, 47-56.

Heirich MA, Foote A, Erfurt JC, Konopka B. (1993) Worksite physical fitness programs: comparing the impact of different program designs on cardiovascular risk. J Occup Med, 35:510-517.

Hersch, R.K., Cook, R.F., Deitz, D.K. & Trudeau, J. V. (2000) Methodological issues in workplace substance abuse prevention research. Journal of Behavioral Health Services & Resesarch, 27 (2), 144-151.

Hoffman, J. P., Larrison, C., & Sanderson, A. (1997). An analysis of Worker Drug Use and Workplace Policies and programs. Rockville, MD: SAMHSA, Office of Applied Studies.

Kishuk, N., Peters, C., Towers, A., Sylvester, M., Bourgault, C., & Richard, L. (1994). Formative and effectiveness evaluation of a worksite program promoting healthy alcohol consumption. American Journal of Health Promotion, 8 (5), 353-362.

Kline, M. & Snow, D. (1994). Effects of a worksite coping skills intervention on the stress, social support and health outcomes of working mothers. Journal of Primary Prevention, 15 (2), 105-121.

Lazarus, R. S. & Folkman, S. (1984). Stress, appraisal, and coping. New York: Springer.

Mangione, T., Howland, J., Amick, B., Cote, J., Lee, M., Bell, N., & Levine, S. (In press). Employee drinking practices and work performance. Journal of Alcohol Studies.

Mangione, T.W., Howland, J., Amick, B., Cote, J., Lee, M., Bell, N., & Levine, S. (1999) Employee drinking practices and work performance. Journal of Studies on Alcohol, 60,261-270.

Matano, R.A., Futa, K.T., Wanat, S.F., Mussman, L.M. & Leung, C.W. The employee stress and alcohol project: The development of a computer-based alcohol abuse prevention program for employees. The Journal of Behavioral Health Services & Research, 27 (2), 152-165.

O'Donnell, M. P. & Harris, J. S. (1994). Health Promotion in the Workplace. Alban, NY: Delmore Publishers.

Rice, D. P., Kelman, S., Miller, L. S., & Dunmeyer, S. (1990). The economic costs of alcohol and drug abuse and mental illness: 1985. San Francisco: University of California, Institute for Health and Aging.

Roman, P. & Blum, T. (1996). Alcohol: A review of the impact of worksite interventions on health and behavioral outcomes. American Journal of Health Promotion, 11 (2), 136-149.

Roman, P. M. (1990). The salience of alcohol problems in the work setting: Introduction and overview. In Roman, P. M. Alcohol problem intervention in the workplace: Employee assistance programs and strategic alternatives (pp. 1-16). New York: Quorum books.

Shain, M., Suurvali, H., & Boutilier, M. (1986). Healthier workers: Health promotion and employee assistance programs. Lexington, MA: Lexington Books, D.C. Heath.

Shehadeh, V. & Shain, M. (1990) Influences on wellness in the workplace: A multivariate approach. Toronto: Addiction Research Foundation.

Snow, D. (1996). A workplace intervention to address work and family stressors: Effects on coping and alcohol use. Paper presented at Conference on Research on Alcohol problems in the Worksite: Moving toward Prevention Research. Washington, DC, April.

Snow, D. & Kline, M. (1995). Preventive interventions in the workplace to reduce negative psychiatric consequences of work and family stress. In Mazure, C. M. (Ed.) Does stress cause psychiatric illness? Washington, DC: American Psychiatric Press, pp. 220-270.

Sofian, N. S., McAfee, T., Doctor, J., & Carson, D. (1994). Tobacco control and cessation. In O'Donnell, M. P. and Harris, J. S. (Eds.), Health Promotion in the Workplace, 343-366. Albany, NY: Delmar Publishers, Inc.

Sonnensthul, W. (1996). Working sober: The transformation of an occupational drinking culture. Ithaca, NY: Cornell University Press.

Sorensen, G., Lando, H. & Pechacek, T. (1993) Promoting smoking cessation in the workplace: Results of a randomized controlled intervention study. Journal of Medicine, 35,121-126.

Trice, H. M. & Roman, P. M. (1972). Spirits and Demons at Work. Ithaca, NY: ILR Press.

Trudeau, J.V., Dietz, D.K., & Cook, R.F. (in press). Utilization and cost of behavioral health services: Employee characteristics and workplace health promotion. Submitted to: Journal of Behavioral Health Services & Research.

Walsh, D.C., Rudd, R., Biener, L., & Mangione, T. (1993). Researching and preventing alcohol problems at work: Toward an integrative model. American Journal of Health Promotion 7(4), 289-295.

__________________________________________________________________________________________

Summary of Recommendations For a Drug-Free Workforce

Source: U.S. Drug Enforcement Agency (DEA)

In order to achieve a drug-and-alcohol-free workforce, you must take a comprehensive approach. The approach should include:

A Written Policy

Prepare and circulate a written statement for acknowledgement by all employees that illegal drug use will not be tolerated and that job performance deterioration resulting from abuse of legal drugs, including alcohol, will result in adverse personnel actions. The statement should explain that drug and alcohol abuse creates both economic and social consequences that are unacceptable to your community.

An Employee Assistance Program

Establish an Employee Assistance Program (EAP) that provides counseling and referral programs, to be operated either by your own staff or by a contractor. The program should be operated in a confidential manner.

Employee Awareness and Education

Provide a drug orientation program to advise all employees of your organization’s policies and the drug-and-alcohol-related economic, health and legal liabilities that brought about the policy. Ongoing educational efforts to inform employees about the negative consequences of drug and alcohol abuse are also essential in changing their attitudes about the problem. This can be accomplished with meetings, brown bag lunches, and educational handouts.

Training

Offer supervisors substance abuse training so those closest to the problem can be coached on the signs, symptoms, behavior changes, performance problems and intervention concepts attendant to drug and alcohol abuse. Supervisor

Drug and Alcohol Testing

Consider a drug and/or alcohol testing program to detect and deter drug and/or alcohol use or abuse. If testing is adopted, it should conform to proper procedures.

Sanctions

Determine the consequences for those who violate the policy. Will employees be terminated or offered rehabilitation? If the latter, will it be offered on a one-time basis only? Who will be responsible for the cost of the program, you or the employee? Differentiate among penalties for various policy violations. For example, most employers terminate employees who are involved in drug trafficking in the workplace, even though the employee is a drug user who would otherwise be a candidate for treatment.

Appeals Process

Include an appeals process in the program, and clearly define it in the policy. Employees who disagree with positive drug test results should be allowed an opportunity to request a second test at their own expense. The second test should be conducted on the original urine sample or the second half of the original sample that was split for the specific purpose of a second test. A new urine sample should never be taken, since some drugs pass through the system quite rapidly and may be present one day and absent the next.

Evaluation

Monitor cost effectiveness and success of the program.

________________________________________________________________________________________

Workplace Health Promotion/Wellness

Source: U.S. Department of Health and Human Services

Worksite health promotion refers to the systematic approach endorsed by an organization designed to enhance the health of the company and its most important asset: its employees. In order to reach the greatest health improvement and cost containment potential, programs may include initiatives based in the worksite as well as in the employee's community, clinic, and home. These efforts may take the shape of awareness education, behavior and lifestyle change, and the creation of supportive environments. The ultimate goal of worksite health promotion is to create a culture that values and meets both individual and organizational needs for health improvement. (1)

The Centers for Disease Control and Prevention estimate that over half of all premature deaths in adults in the United States are from lifestyle-related causes. Less than one-fifth of premature deaths are from problems that are treatable through traditional medical care. (2)

It is predicted that health care costs will rise from 14% of the GNP in 1994 to 18% in the year 2000. Employers are instituting disease prevention/health promotion programs in order to hold down these costs. The most popular type of health promotion program is hypertension screening, followed by newsletters on nutrition; programs focusing on healthy lifestyles, smoking cessation, weight loss, and cancer screening; health club discounts/onsite health club; and prenatal screening. (2) A number of wellness programs are also beginning to add substance abuse prevention strategies.

Wellness at Work

In 1987, 65% of U.S. worksites with 50 or more employees had at least one health promotion activity. Today, most large corporations have complete wellness centers, and many small- to mid-size firms offer some type of wellness program. (3)

Employers are becoming more involved in promoting the health of their workers. In 1996, 89% of employers had some type of health initiative, up from 64% in 1992. The most common health promotion initiatives were: smoke-free Workplace (80%), education/training (78%), health risk assessment (76%), and special programs (71%). (4)

A study of 8,334 employees who participated in Procter & Gamble's health promotion program had significantly lower health care costs (29% lower total and 36% lower lifestyle-related costs) when compared with nonparticipants in the third year of the program. Similarly, in the third year of the program, participants had significantly lower inpatient costs, fewer hospital admissions, and fewer hospital days of care compared with nonparticipants. There were no differences noted in the first two years of the program. (5)

Stress

It has been shown that 60-90% of all visits to health professionals are for some sort of stress-related disorder. Employers invest in stress reduction programs in order to minimize these costs. Programs that have been shown to give the highest rate of return for the employer include: stress reduction, smoking cessation, and nutrition. (2)

Successful Wellness Programs

Individual health promotion programs work only in already healthy organizations. Such programs place all responsibility for health enhancement and risk reduction with the individual, independent of the health norms within the organization. This strategy is not designed for maximum success. In contrast, organizational health promotion programs focus primarily on improving the corporate culture and on enhancing the environment in which people work.

Differences in the effectiveness of wellness programs can be attributed to the degree to which the corporate culture supports a comprehensive productivity/wellness plan. (6) (7)

 

MEDSTAT and the American Productivity and Quality Center identified the following effective strategies:

• Health promotion and productivity programs are aligned with business strategies

• A leader or champion is present for the program

• Team members are enthusiastic about developing and championing the health and productivity program

• Senior management buy into the program, with appropriate resources allocated

• Business operations managers are key members of the team

• Wellness and health promotion staff members are heavily involved, supporting a healthy company culture

• Research and outcomes projects are set up to demonstrate the link between productivity and health

• A corporate consensus exists that improving the quality of work life will improve productivity and cost savings will result. (8)

Employee Use of Wellness Programs

Utilization of wellness programs has been estimated at 20-40% of employees. (3) Successful incentives to influence participation in worksite wellness programs include: (a) throwing parties; (b) increasing insurance coverage; (c) cash bonuses; and (d) days off for meeting weight and/or exercise goals. (8)

Cost Impact of Participation

Johnson and Johnson estimated savings of at least $1.9 million through decreased medical costs, reduced sick leave, and increased productivity. (8)

A retrospective study of 1,325 city employees insured by the City of Mesa, Arizona, revealed a significantly greater decrease in health care costs of employees who participated in a mobile worksite health promotion program, as opposed to employees not participating. Health care costs decreased 16%, resulting in a $3.6 savings for every dollar spent on health promotion services. (9)

The return on investment enjoyed by five large companies as a result of their health promotion activities ranged from $2.05 to $6.15. (10)

References

1. Association for Worksite Health Promotion (), October 1998.

2. Finkel, M.L. (1996). Health care, a basic guide: Cost management, 3rd ed. Brookfield, WI: International Foundation of Employee Benefit Plans.

3. Gemignani, J. (1998). Best practices that boost productivity. Business and Health March: 37-42.

4. Caldwell, B. (1998). Managed care firms slow to implement wellness initiative: Some try to measure cost effectiveness. Employee Benefit Plan Review May:44-46.

5. Goetzel R.Z.; Jacobson, B.H.; Aldana, S.G.; Vardell, K.; and Yee, L. (1998). Health care costs of worksite health promotion participants and non-participants. Journal of Occupational Environment Medicine 40(4):341-346.

6. Bellingham, R. (1990). Debunking the myth of individual health promotion. Occupational Medicine 5(4):665-675.

7. Conrad, K.M.; Riedel, J.E.; and Gibbs, J.O. (1990). Effect of worksite health promotion programs on employee absenteeism: A comparative analysis. American Association of Occupational Health Nurses Journal (AAOHNJ) 38:573-580.

8. DeMoranville, C.W.; Schoenbachler, D.D.; and Przytulski, J. (1998). Wellness at Work: Marketing Health Services, Summer.

9. Aldana, S.G.; Jacobson, B.H.; Harris, C.J.; Kelley, P.; and Stone, W.J. (1993). Influence of a mobile worksite health promotion program on health care costs. American Journal of Preventive Medicine 9(6):378-383.

10. Pelletier, K.R. (1996). A review and analysis of the health and cost-effective outcome studies of comprehensive health promotion and disease prevention programs at the worksite: 1993-1995 update. American Journal of Health Promotion 10(5):380-388.

(11/98)

__________________________________________________________________________________________

Employee Assistance Programs: Fact Sheet

Source: U.S. Department of Health and Human Services

Definition

An employee assistance program (EAP) is a worksite-based program designed to assist in the identification and resolution of productivity problems associated with employees impaired by personal concerns, including, but not limited to, health, marital, family, financial, alcohol, drug, legal, emotional, stress, or other personal concerns that may adversely affect employee job performance.  (1)

An effective EAP should include:

• Expert consultation for employees and managers;

• Training in helping to resolve behavioral, health, or job performance problems;

• Confidential, appropriate, and timely problem assessment services;

• Referrals for diagnosis, treatment, and other assistance;

• Establishment of referral links between the worksite and community services;

Follow-up services;

• Education and information designed to prevent alcohol and other drug problems;

• Consultation about environmental change that could prevent or minimize employee problems; and

• Coordinated statements concerning alcohol and other drug use and related sanctions.  (2)

National Association

The EAP Association (EAPA), founded in 1971, is the largest, oldest, and most respected professional association for  persons in the employee assistance program field. EAPA represents more than 7,000 individuals and organizations around the globe with an interest in employee assistance.  (1)

Descriptive Facts

• 33% of all nonpublic work sites have assistance programs, serving more than 55% of all employees in U.S. work sites with 50 or more employees in 1993.   (3)

• In 1991, a national survey indicated that 45% of full-time employees had access to an EAP provided by their employer.   (2)

• Worksite size is related to the prevalence of EAP programs; 21% of the smallest firms (50-99 employees) have an EAP, and 76% of the largest firms (1,000+ employees) have an EAP.   (2)

• The prevalence of EAPs is highest in communications, utilities, and transportation, at about 52%, whereas mining, construction, and service industries have the lowest prevalence, at about 25%. The higher rate among the former may be due to Federal regulations for drug testing and education.  (2)

• There are two kinds of EAPs.  An internal EAP is an in-house service, staffed by company employees. An external EAP is a specialty service provider hired by the employer.  Internal EAPs tend to be more costly than external EAPs, but are sometimes preferred by employers because services can be more precisely tailored to the employers' needs.  (2)

• A survey of Workplace drug abuse programs found that about 47% were internal and 40% were externally contracted services.  (4)

• The median annual EAP cost per eligible employee, which varied by region of the country, was $21.83 for internal programs and $18.09 for external programs in a select sample study.  (5)

• Marijuana and cocaine were the drugs most often reported as utilized by EAP clients.  (4)

• A 1994 report described anecdotal evidence of the savings from EAPs: a $7,750 saving per employee at Warner Corporation because of lower recruitment and training costs, lower workers' compensation costs, and fewer on-the-job accidents;

• a 75% reduction in inpatient substance abuse treatment costs after EAP implementation at Gillette Company; a reduction in on-the-job accidents and lost time as a result of such accidents at Tropicana; and a reduction in absenteeism and workers' compensation insurance costs at Sawyer Gas Company and at Oregon Steel Mills.  (6)

• Cost-effectiveness data on EAPs generally indicate a savings to investment ratio ranging from 1.5:1 to 15:1. A study of the McDonnell Douglas EAP estimated savings of $5.1 million, due to fewer days missed from work, lower turnover, and lower medical claims of employees, spouses, and dependents.  (2)

• It was found that drug abuse cases make up an estimated 10% of all EAP cases, with cocaine being the most prevalent substance of abuse, followed by marijuana. In contrast, alcohol cases make up about 20% of the reporting EAPs' caseloads.  (7)

• The EAP drug abuse caseload is greater in companies that are stable in the size of their labor force; are economically stable or profitable; are unionized; have a drug screening policy and program; believe they have a major problem with drug abuse; refer drug cases to the EAP; and publicize the EAP, encouraging self-referrals for substance abuse problems.  (7)

• Improvement of supervisor training is positively associated with the proportion of drug abuse cases in the EAP caseload, and it is negatively associated with the number of EAP staff.  (7)

References

1. Employee Assistance Professionals Association (). October 1998.

2. Blum, T.C.; and Roman, P.M. (1995).  Cost-effectiveness and preventive implications of Employee Assistance Programs. Substance Abuse and Mental Health Services Administration; Publication RP0907.

3. Steele, P.D. (1995).  Worker assistance programs and labor process: Emergence and development of the Employee Assistance Model. The Journal of Drug Issues 25(2):423-450.

4. Backer, T. (1991). Drug abuse services and EAPs: Preliminary report on a national study. National Institute on Drug Abuse, Abuse, Drug Abuse Services Research Series No. 1: Background Papers on Drug Abuse Financing and Services Research.  Rockville, MD: National Institute on Drug Abuse, 227-244.

5. Hartwell, T.D.; Steele, P.; French, M.T.; Porter, F.J.; Rodman, N.F.; and Zarkin, G.A. (1996). Aiding troubled employees: The prevalence, cost, and characteristics of Employee Assistance Programs in the United States. American Journal of Public Health 86( 6):804-808.

6. Marsh and McLennan Companies. (1994).  The economics of Drug-Free Workplace programs, N.P.

7. Roman, P.M. (1991).   The use of EAPs in dealing with drug abuse in the Workplace. National Institute on Drug Abuse, Abuse, Drug Abuse Services Research Series No. 1: Background Papers on Drug Abuse Financing and Services Research.  Rockville, MD: National Institute on Drug Abuse, 271-286.

(3/99)

__________________________________________________________________________________________

Employee Assistance Programs: Fact Sheet

Source: National Institute of Alcohol Abuse and Alcoholism

The Workplace and Alcohol Problem Prevention

Paul M. Roman, Ph.D., and Terry C. Blum, Ph.D.

Paul M. Roman, Ph.D., is a distinguished research professor of sociology and director of the Center for Research on Behavioral Health and Human Services Delivery, University of Georgia, Athens, Georgia.

Terry C. Blum, Ph.D., is dean and Tedd Munchak Professor at the DuPree College of Management, Georgia Institute of Technology, Atlanta, Georgia.

Workplace programs to prevent and reduce alcohol-related problems among employees have considerable potential. For example, because employees spend a lot of time at work, coworkers and supervisors may have the opportunity to notice a developing alcohol problem. In addition, employers can use their influence to motivate employees to get help for an alcohol problem. Many employers offer employee assistance programs (EAPs) as well as educational programs to reduce employees' alcohol problems. However, several risk factors for alcohol problems exist in the workplace domain. Further research is needed to develop strategies to reduce these risk factors.

As a domain for alcohol-problem prevention, the workplace holds great promise. In the United States and, increasingly, around the world, the majority of adults who are at risk for alcohol problems are employed. As described here, employers have several well-defined means at their disposal for intervening with problem drinking. Those methods serve not only the interests of the employer but also those of the employees and their dependents. Furthermore, the potential for a preventive impact is worldwide. Western styles of workplace organization and employment relationships have spread to influence global practices, setting the stage for the diffusion of workplace interventions and for addressing emerging economies' increasing alcohol problems (Masi 2000; Roman in press).

Despite these possibilities, the development of prevention programs in U.S. workplaces has slowed considerably in recent years and, in fact, may be in need of revitalization (Roman and Baker 2001; Roman in press). The decline in workplace attention to alcohol problems illustrates the need for creating and maintaining an infrastructure for sustaining alcohol interventions in settings not typically associated with the delivery of health care.

This article will first review the opportunities workplaces provide for preventing alcohol problems-people spend a large amount of time at the workplace and employers may use their leverage to motivate an employee to seek help for an alcohol problem. The article also will discuss the use of employee assistance programs (EAPs) and complementary programs to reduce employee alcohol problems and then examine risk factors for alcohol problems that exist in the work environment.

TRACING THE DEVELOPMENT OF WORKPLACE PROGRAMS

The significant presence of alcohol problems in the workforce was most recently documented in a 1997 national survey, indicating that about 7.6 percent of full-time employees are heavy drinkers (i.e., they consumed five or more drinks per occasion on 5 or more days in the month prior to being surveyed) (Zhang et al. 1999). According to that study, about one-third of the heavy drinkers also used illegal drugs.

Workplaces have introduced programs to prevent and treat alcohol and other drug (AOD) abuse among employees, especially over the past 25 years. The goal of many of these programs has been "human resource conservation"; that is, the programs strive to ensure that employees maintain their careers and productivity (Roman and Blum 1999). Although the programs vary considerably in their structure, they may include health promotion, education, and referral to AOD abuse treatment when needed. Most of these programs focus on early identification of a problem or helping those already affected by a problem (i.e., secondary prevention) rather than targeting the general population (i.e., primary prevention). Three separate studies show that the majority of American employers offer EAPs, which potentially may provide services to help eliminate drinking in the workplace (Zhang et al. 1999; Hartwell et al. 1996; Blum and Roman 1995). Despite the widespread use of such programs, however, no data from a representative sample of EAPs are available to support the usefulness of these programs.

OPPORTUNITIES FOR WORKPLACE PREVENTION

The workplace provides several potent opportunities for implementing AOD abuse prevention strategies, including:

• The majority of adults are employed, making the workplace an ideal setting to reach a large population.

• Full-time employees spend a significant proportion of their time at work, increasing the possibility of exposure to preventive messages or programs offered through the workplace. The likelihood that evidence of problem drinking will become visible to those who might have a role in intervention also is increased.

• Work plays an important role in most people's lives. Because many adults' roles in the family and community are dependent on maintaining the income, status, and prestige that accompanies employment, the relationship between the employer and the employee contains a degree of "leverage." The employer has the right to expect an adequate level of job performance. If alcohol abuse breaches the rules of the employer-employee agreement or is associated with substandard job performance, the employer may withdraw pay or privileges associated with the job, thus motivating the employee with alcohol problems to change his or her behavior.

PRIMARY AND SECONDARY PREVENTION IN THE WORKPLACE

Workplace programs include both primary and secondary prevention. Primary prevention aims to keep alcohol problems from developing, and secondary prevention seeks to reduce existing problems. Researchers have voiced concerns that workplace programs overemphasize secondary prevention (Ames and Janes 1992). Primary prevention often is more cost-effective than secondary prevention; however, the workplace is not conducive to strategies aimed at preventing alcohol use. Most employees are adults and therefore are legally allowed to consume alcohol. Employers rarely are in a position to prevent their employees from initiating drinking as an off-the-job lifestyle practice, nor do they desire to do so.

At the same time, employers want their employees to perform their jobs well and not disrupt or endanger coworkers' activities. Smooth work transactions with customers and other members of the public also are important in many organizations, including the service sector.

Alcohol problems in the workplace are identified by these two, or sometimes three, events:

1. The linkage of a drinking pattern with job performance problems, such as a pattern of poor-quality work, poor quantity of work, attendance problems, or problems related to interaction with clients or customers.

2. Employees' decisions that their drinking behaviors are causing problems for themselves and they desire assistance, leading to a self-referral to a source of assistance in the workplace.

3. In some settings, a coworker's identification of an apparent alcohol problem is used to refer an employee for workplace-based assistance. This is the primary approach used in Member Assistance Programs, which have developed in some labor union settings (Bacharach et al. 1996).

EAPS: ADDRESSING EMPLOYEES' ALCOHOL PROBLEMS

EAPs are the most common intervention used in the workplace to address alcohol problems. EAPs have distinctive features that set them apart from prevention strategies used in other settings. Their goal is to prevent loss of employment and to assure that employed people continue their careers and productivity without interruption. EAPs can thus prevent both employer and the employee from suffering the costly consequences of the employee's job loss.

EAP Referral Routes and the EAP Process

Self-Referrals.

Early in the development of the EAP model, researchers proposed that such programs would ideally operate by primarily attracting self-referrals rather than "coerced" referrals (Wrich 1973). Given that denial and resistance are common barriers to alcohol treatment, this was an unusual idea. Wrich (1973) claimed that significant rates of self-referral would increase the program's credibility by demonstrating "consumer confidence." In contrast, a program centered on supervisory referrals, which may or may not involve coercive pressure to use EAP services, implies a "correctional" image for the EAP.

On the surface, this ideal appears to have been achieved. Nearly all reports generated about EAP usage indicate a predominance of self-referrals. In those relatively rare instances where EAP referral processes have been examined in depth, the vast majority of cases are classified upon entry as "self-referrals" (Blum et al. 1995).

However, these self-referrals may actually reflect cases in which employees were prompted by others to seek EAP assistance (described as "informal referrals" below). One study (Blum et al. 1995) found that only 18 percent of male and 22 percent of female referrals to EAPs with alcohol problems were "genuine" self-referrals- that is, those people reported it was their personal decision that drove them to seek help (Blum et al. 1995).

Most of these employees reported few job problems. Through confidential questionnaires, they reported that the following three features of service access were essential in their decisions to seek help: (1) a professionally competent source of assistance was available for a range of personal difficulties, including alcohol problems; (2) service was provided by the employer; and (3) employees could use the service with assurance of confidentiality and without penalty to any aspect of their job status.

Informal Referrals.

Another route to consulting EAPs is through informal referrals. In such cases, the referral is prompted by considerable social interaction and discussion, often involving an employee's supervisor. Most of the referral processes are informal-about 80 percent of alcohol-problem referrals (self-referrals are included in this group)-and 20 percent are formal supervisory referrals (Blum et al. 1995). Although EAPs were originally designed as mechanisms for formal supervisory referral of problem employees, these figures show that they were quickly transformed into sources of help that people reached without going through explicitly formal channels.

For reasons that are largely self-evident, both supervisors and subordinates prefer these informal procedures. The disadvantage of the informal referral is that there is no official record of the employee being referred to the EAP or of any related job performance problems.

Formal Referrals.

When external intervention is required, formal referrals are used. Such cases are prompted by a supervisor detecting a decline in job performance that cannot be explained by the conditions of work. Supervisors are urged to consult with EAP staff before taking action to assure that they are conforming to workplace policy. Procedures call for the supervisor to constructively confront employees if they deny their performance problems or are not willing to take corrective action. In such a confrontation, the supervisor presents evidence of the employee's performance problems and points out that disciplinary measures will ensue if the problems are not corrected. A referral to the EAP is offered as a means for problem correction.

Should the employee elect to use the company program, the EAP coordinator conducts an assessment or arranges for a diagnosis of the employee's problem. The coordinator or diagnostic agent then offers advice as to how the problem might be handled. Counseling or treatment at a community agency follows, with arrangements usually made by the EAP coordinator to assure the best match between quality of care and financial coverage available through the workplace.

It is important to emphasize that the use of treatment or counseling is a decision made by the employee and not a mandate from the employer. The employee is responsible for payment for services that the company's health plan does not cover.

The EAP's Role in Followup and Relapse Prevention

After using EAP services and receiving counseling and treatment, the employee should ideally go through a period when his or her symptoms are in remission. However, relapse during the post-treatment period is very common for those with AOD problems. These relapses may account for what many regard as the disappointing overall success rates of alcohol-problem treatment and may have little or nothing to do with the quality of EAP services provided.

Relapse prevention encompasses a different range of interventions. Researchers often disregard it as a form of alcohol-abuse prevention. In many respects, the recovering person is set on a pathway of starting over, and it seems reasonable to conceptualize the prevention of relapse as primary prevention of the alcohol problem. Treatment programs vary greatly in the extent to which such services are provided after treatment ends. EAPs and workplaces can play important roles in relapse prevention, however. Opportunities for relapse prevention lie in the nature of work and access to employees who are attempting to maintain recovery. Unlike the community setting, where followup requires finding clients and/or motivating them to return to the treatment setting for aftercare counseling, the workplace has built-in opportunities to reach these persons and provide counseling and support necessary to sustain recovery. And it is also easier for the recovering employee to seek assistance, as needed, to assure recovery gains. Such an opportunity might not apply in the instance of an employee who had recovered from an alcohol problem prior to employment and did not desire to reveal this fact to a new employer.

Many EAPs include followup and relapse prevention to help employees maintain recovery. Only one research study, however, has systematically investigated the impact of such services. In that study, Foote and Erfurt (1991) examined the effects of posttreatment followup contact among a group of 164 EAP clients treated for alcohol problems over a period of 1 year. The tendency to relapse was significantly lower in the followup group, compared with a group of 161 similar clients who did not receive followup contact, indicating the efficacy of followup for relapse prevention.

EAP Effectiveness and Maximizing EAP Use

A review (Blum and Roman 1995) of a wide range of published and unpublished evaluation research concludes that EAPs produce far more in savings than they require in costs. A series of evaluation studies indicated that the programs succeeded in returning substantial proportions of employees with alcohol problems to effective performance (Asma et al. 1980; Edwards et al. 1973; Eggum et al. 1980; Flynn et al. 1993; Gam et al. 1983; McAllister 1993; Spickard and Tucker 1984; Walsh et al. 1991, 1992). Most of the research supporting this conclusion has methodological limitations, however. None of the studies involved rigorous comparisons with settings where no EAP services were available. In addition, by examining clinical or performance outcomes among employees who have received treatment or counseling via EAP case management (which often includes followup), it is not possible to separate the effects of EAP services from other aspects of the referral-and-treatment process.

How can EAP utilization be maximized? Three published studies (Googins and Kurtz 1981; Hoffman and Roman 1984; Colan and Schneider 1992), differing in design and methods, reached the common conclusion that supervisory training significantly increased positive attitudes toward EAPs, increased the perceived likelihood of utilizing the service, and actually produced greater service utilization. The impact of training deteriorated over time, as would be expected, indicating the need for ongoing and repeated "boosters" to sustain attention to the service.

COMPLEMENTS TO EAPs

Because off-the-job drinking can affect worker performance and health but not necessarily reflect an alcohol problem that would result in an EAP referral, some employers offer programs to complement an existing EAP. Such programs are designed to educate employees about the potential effects of drinking and to encourage employees to seek help from an EAP when needed.

Epidemiological data cited earlier (Zhang et al. 1999) indicate that many employed people drink heavily or engage in binge drinking when they are away from work, leading to a variety of adverse consequences and problems (Calahan and Room 1974). Employers have valid reasons for motivating these employees to change their drinking patterns, as this type of problem drinking likely will have an impact on the workplace, although not necessarily in ways that are visible or even measurable.

Several recent studies have addressed the effects of hangovers on work performance. Hangovers affect cognitive and motor functions, creating risks of bad judgment, interpersonal conflict, and injuries (Moore 1998). Using observational and questionnaire data in an on-site study, Ames and colleagues (1997) concluded that hangovers are a significant contributor to job performance problems, yet discussions of alcohol's impact on the workplace rarely recognize the costs of hangovers. Combining survey and observational techniques at multiple corporate sites, Mangione and colleagues (1999) reached similar conclusions about the hidden and subtle impact of hangovers on work performance.

As Moore (1998) pointed out, hangovers are clearly alcohol-related problems in the workplace but are extremely difficult to address through specific interventions because people define hangover differently. Mangione and colleagues (1999) suggested that employee education and corporate policy materials should include information about the potentially adverse effects of off-the-job drinking on workplace behavior and job performance.

Alcohol Education Programs

The principal means for addressing an employee's off-the-job drinking is through alcohol education programs conducted at the worksite. These programs usually are associated with an EAP, a health promotion program, or both. The goal of these education programs often is to encourage behavioral change or use of the associated services (i.e., self-referral to an EAP).

Several studies have examined the impact of alcohol education. In an early study, McLatchie and colleagues (1981), using 90- and 30-minute training sessions with supervisors and with employees, respectively, found significant changes in alcohol attitudes immediately following the sessions. Brochu and Souliere (1988) examined the impact of a "life skills re-education program" on changing new employees' attitudes toward AODs. Although the study found significant effects of the program based on data collected immediately and after 1 month, followup at 36 months indicated no sustained effects.

A similar study by Kishchuk and colleagues (1994) tested a program designed to make employees' drinking behaviors healthier and more socially responsible. Followup data collected 1 month later revealed modest impacts on attitudes and behavior. A placebo treatment providing nutrition education delivered to a comparison group also produced modest but significant changes in drinking, leading to the suggestion that the experience of training rather than its content may have notable importance. Another study evaluated a comprehensive approach to altering people's drinking behavior as well as workplace culture in the 3M Company (Stoltzfus and Benson 1994). This program included a 10-hour supervisory training section, a 2.5-hour section for employees to discuss policies and their behavior, and a peer helper section. The pilot program was conducted at a Midwestern site matched with a comparison plant. Results showed that participants had lower alcohol consumption, lower incidence of work performance negatively affected by AOD use, and improved prevention skills.

In a similar study, Cook and colleagues (1996a) field-tested the Working People Program with 108 employees. The four- session training program significantly affected self-reported alcohol consumption and motivated employees to reduce consumption and the problem consequences of drinking. In another study of 371 employees randomly assigned to experimental and control groups, Cook and colleagues (1996b) evaluated the effects of three classroom sessions that used videos and booklets about AOD issues. Results from this study also indicated a significant increase in the motivation to reduce alcohol use among the group receiving the training.

The studies described here generally reported beneficial effects of workplace-based education on drinking behavior. This research has certain limitations, however. None of the studies replicates earlier findings; that is, each study stands alone. Further, the effects of the training usually were measured immediately or shortly after the sessions ended. In the one study with a longer followup period, the positive effects deteriorated completely (Brochu and Souliere 1988). Overall, three suggestions come from this research. First, alcohol education appears to be a useful investment, showing significant effects in all reported studies. Second, the data suggest that these effects need boosters if they are to be sustained, a finding common to most educational interventions. Third, it is clear that more research is needed to specify the training content required to improve efficacy and the durability of effects.

Health Promotion Programs

In addition to alcohol education programs, employers also may offer health promotion programs, which may motivate employees to alter their drinking behaviors. When health problems such as weight, high blood pressure, or gastric problems are identified in a health risk survey administered at the worksite, the administering health worker may suggest a reduction in drinking as a means of alleviating the primary symptom. Alternatively, employees undertaking exercise programs or other health-oriented activities might change their drinking behavior because drinking may not be consistent with their new healthy regimen.

Research on the impact of workplace health promotion programs on employee drinking is sparse. Shain and colleagues (1986) collected short-term evaluative data in several Canadian settings indicating that health promotion and wellness programs can significantly reduce employee drinking. In particular, the authors state that heavy drinkers are characterized by a series of unhealthy behaviors that can be addressed through a wellness program. Further, Shain and colleagues (1986) observe that healthy lifestyles and alcohol abuse are incompatible. They contend that the nesting of alcohol issues within larger health concerns is a highly effective means of motivating behavioral change toward less risky drinking and a healthier lifestyle in general.

Peer Intervention

As deviant drinking patterns become more chronic and pervasive in an employed person's life, his or her job performance will eventually be affected. Coworkers may notice job performance problems before such problems become evident to supervisors.

Employee alcohol education programs may prepare peers to suggest assistance to one another, but this has not been documented. More specifically, the techniques of peer intervention programs may be useful for addressing early problem behaviors, as has been documented among unionized workers (Bacharach et al. 1996). Peer intervention is not applicable in all settings, only where it is possible to tap into what Bacharach and his colleagues call "communal voluntarism," or a committed desire of workers to look out for each other's well-being.

Peer-assistance programs have been implemented among professional groups such as physicians, dentists, psychologists, attorneys, and airline pilots. Little is known about the operation of these interventions among professionals because they are conducted with high levels of confidentiality. Research has been conducted, however, on union-based Member Assistance Programs (Bacharach et al. 1994; Bamberger and Sonnenstuhl 1995). These programs are reported to be highly effective, although the extent to which they may provide early identification of alcohol problem behaviors has not been documented.

The programs described in this section primarily address the effects of off-the-job drinking and are designed to educate and aid employees. Participation in such programs is almost always voluntary. A considerably different employer attitude is found toward on-the-job drinking, which in most settings has been prohibited for many decades. Because drinking on the job can jeopardize the safety of the employee, the workplace, and the public, workplace alcohol policies are designed to set clear limits on alcohol use and establish consequences for employees who do not observe these limits.

WORKPLACE POLICIES REGARDING DRINKING ON THE JOB AND ALCOHOL TESTING

As part of workplaces' "rules of conduct" or "fitness for duty" regulations, supervisors are often empowered to discipline or remove an employee from the job on the suspicion of drinking. However, if an employee is suspected of drinking based on evidence such as odor of alcohol or appearance of intoxication, the employee may object, which could lead to litigation. When alcohol use is suspected, alcohol testing can be used to establish whether the employee was in fact drinking. Specific techniques include both breath testing and blood testing.

Macdonald (1997) asserts that alcohol testing is important in the workplace because drinking is distinctively linked to performance impairment, particularly when compared with other drugs. Alcohol testing is currently mandated for the transportation industry through Federal regulations. Alcohol testing is most commonly used in other workplace settings when cause is established, particularly in response to on-the-job accidents. In such cases, alcohol testing is critical in establishing possible culpability, especially if injuries have occurred. When alcohol tests are positive, case dispositions may vary according to company policy, ranging from dismissal to the offering of counseling or treatment under the auspices of an EAP. These actions appear to have substantial employee support. In a multisite survey of 6,540 employees, 81 percent were in favor of alcohol testing following a workplace accident, and 49 percent indicated support for random alcohol testing in the workplace (Howland et al. 1996).

RISK FACTORS IN THE WORK ENVIRONMENT

Compared with EAPs, prevention efforts focused on reducing risk factors in the work environment may offer the greatest potential payoff. This approach is the most problematic in terms of implementation, however. One possible avenue would be to identify and alter work environments that have "toxic" connections to alcohol problems. Employers would be reluctant, however, to participate in efforts that might highlight their liability in creating high-risk environments.

Despite the potential problems in implementing interventions to reduce risk factors in the workplace, research has examined several work-related factors that may contribute to alcohol use and related problems among employees. These risk factors are described below.

Stress

Many studies have found significant but relatively small associations between stress in the workplace and elevated levels of alcohol consumption. For example, in one early study using survey data, Fennell and colleagues (1981) reported that employees' reasons for drinking were found to be associated with stress-inducing job characteristics, but the correlations were relatively weak. In a national survey of employed persons, Martin and Roman (1996) found that lower job satisfaction and higher job stress both were risks for increased drinking. Lehman and colleagues (1995) reported significant associations between employee AOD use and lower job satisfaction, less faith in management, and lower involvement with and commitment to the job. Parker and Farmer (1990) reported significant associations between drinking and job burnout. Greenberg and Grunberg (1995) found negative associations between employee drinking behavior and reported job autonomy and job satisfaction.

Although this research may suggest certain preventive interventions, such as reducing work-related stress and increasing job satisfaction, it is unclear how to implement such changes. For example, although some workers may apparently drink less if their job satisfaction is enhanced, there are multiple sources of job satisfaction, some related to the job and others to a combination of a person's background and his or her job characteristics. In addition, the direction of the relationships between stress or job dissatisfaction and drinking is unknown. For example, drinking and other drug use could contribute to the reports of work stress found in these studies. That is, employees experiencing the ongoing detrimental effects of off-the-job drinking may have greater difficulty in coping with "normal" workplace pressures.

Thus, to date, research has not yielded enough compelling evidence to guide the creation of workplace programs targeting work-related stress and job dissatisfaction with the goal of reducing alcohol problems. More research is necessary to specify the stress-drinking linkage and to identify the characteristics of workers most likely to be at risk for stress-related drinking. Such research also needs to examine the costs and benefits to employers of implementing changes that would influence worker stress, job satisfaction, and drinking.

Alienation

Whereas work stress may be temporary, worker alienation is a considerably more pervasive and problematic risk factor among employed persons. Alienation relates to the employee's broader sense of identity and control and has considerable implications for overall mental well-being. Seeman and colleagues (Seeman and Anderson 1983; Seeman et al. 1988) reported strong associations between alienation from work and employees' drinking behavior, although others (Blum 1984; Parker and Farmer 1990) have challenged the methodology of their work. Lehman and colleagues (1995) also found an association between employee AOD use and estrangement or alienation from the job. In another study that focused on interpersonal conflict in the workplace, Rospenda and colleagues (2000) reported that "generalized workplace abuse" from supervisors or work peers was positively associated with increased drinking.

Although the above studies reported statistically significant findings, the reported relationships between workplace alienation and employee drinking are not powerful. As in the case of work stress, the direction of the relationship must be considered. For instance, problem drinkers have been shown to have impaired social relationships, which may contribute to alienation in the workplace.

Several emergent managerial strategies may directly address employee alienation and, in turn, influence the drinking that may be associated with alienation. These strategies are encompassed under the broad rubric of "participative management." This approach, which calls for the involvement of employees in planning and decision making about their work, is not predicated on reducing employee alienation but on enhancing their involvement, interest, and productivity. Reducing worker alienation may be an unanticipated side-effect.

Participative management should not be viewed generically, for its implementation can vary greatly. One study (Barker 1993) found evidence to strongly suggest that under some conditions, participative management may create or escalate the very types of stress that have been linked with increased employee drinking in other research.

Cultures and Subcultures

Worksites' cultures and subcultures may have differential effects on encouraging or discouraging drinking and substance abuse. Cosper (1979) introduced the concepts that occupations have widely variant drinking norms associated with their cultures and that workers are differentially socialized into drinking according to their occupational choices. These concepts are augmented by the notion that heavy-drinking occupations attract job seekers who are prone to these behaviors, which is suggested, for example, by survey results that show high rates of heavy drinking among bartenders and restaurant workers as compared with other employed persons (Hoffman et al. 1997).

Clearly these drinking norms are differentially introduced into the occupational mixes found in workplaces. Ames and Delaney (1992) studied a large manufacturing plant in which on-the-job drinking and other drug use were unexpectedly prevalent. They viewed these behaviors as partly reflecting an organizational culture that had emerged around AOD and that encouraged and tolerated their presence.

Other examples of workplace drinking exist as well. Mangione and colleagues (1999) reported a large-scale survey of drinking in a sample of corporations and identified microcultures that encourage damaging and costly on-the-job drinking and tolerance of hangovers.

Sonnenstuhl (1996) described a pathological drinking culture that developed over nearly a century and that encouraged heavy and dangerous on- and off-the-job drinking among miners in New York City known as Sandhogs. However, Sonnenstuhl's work is unique in that he documented the introduction of a "sobriety culture" among the Sandhogs through the emergence and on-the-job presence of coworkers who were recovering from alcoholism. The sobriety culture apparently tempered the excesses of the heavy drinking culture and created behavioral alternatives for those who did not want to drink heavily.

In a study that is uniquely valuable in substantiating the importance of organizational culture in preventing alcohol problems among employees, Ames and colleagues (2000) compared two work settings with distinctly different managerial cultures. One setting had a traditional hierarchical U.S. management design and the other was based on a Japanese management model transplanted to the United States. Although overall alcohol consumption rates in both populations were similar, the traditional management design was associated with more permissive norms regarding drinking before or during work shifts (including breaks) and higher workplace drinking rates. By contrast, the transplant management design was associated with greater enforcement of alcohol policies, which, in turn, predicted more conservative drinking norms and lower alcohol availability at work. Qualitative research clearly indicated that the transplant design facilitated the social control of alcohol problems whereas the traditional design appeared to undermine such control.

Beattie and colleagues (1992) developed and partially validated an instrument they titled "Your Workplace" (YWP), which can be used in job sites to measure the extent to which the workplace culture encourages drinking. Subsequent analysis of YWP found a strong and positive correlation between tolerance and encouragement of drinking by the workplace culture and clients' levels of alcohol involvement (Rice et al. 1997).

Developing interventions that address problematic workplace cultures is challenging. Some researchers suggest that employees should face increasingly severe punishment for repeated on-the-job AOD use as a consequence of workplace rule violations. Mangione and colleagues (1999) speculate that health promotion and wellness programming may curb risky drinking practices.

CONCLUSION

There is minimal current or recent research on the utility of EAPs and other mechanisms for addressing employed persons' alcohol problems, as can be established from searching the National Institutes of Health database on funded research. Consequently, the research bases that have supported particular interventions in the past are dated and their application in today's workplace may be challenged. This apparent lack of demand for such research may suggest that attention to workplace AOD abuse through these mechanisms may be declining (Roman in press).

There may be parallels in successfully addressing alcohol problems in the workplace and in primary and specialty medical care settings. The workplace domain and the medical care domain have the following in common: a great deal of preventive potential, the challenge of strongly competing goals within the domain, and problems of access for conducting research that meets scientific standards. Research over the past decade suggests that relatively modest investments in infrastructure can produce significant results in terms of physicians' attention to alcohol problems (Fleming et al. 2000, 2002). An unspecified amount of such intervention and treatment occurs under the auspices of private physicians, but its quality remains unknown without intrusive monitoring. The significant extent of AOD abuse treatment and psychiatric care in nonspecialty hospitals has been documented, but this research did not include evidence about the nature or quality of care (Kiesler and Simpkins 1993).

Several additional specific parallels between primary medical care and workplace-based interventions highlight problems relating to AOD abuse research and practice. First, primary care settings and workplaces are both diverse and thus are not conducive to simple data collection methods. Second, the structure and content of intervention and treatment that occur in primary medical care and in workplace settings are highly variable. Third, the extent of such intervention is voluntary for both primary care physicians and employers. Fourth, in most primary medical care settings and in most workplaces, attention to alcohol problems is not a high priority goal. Fifth, as in the workplace, alcohol problems often become evident in the course of primary medical care, and the potential for intervention is great, especially given the extent to which this high-risk population seeks primary medical care as compared with specialty care. Finally, as in the workplace, there is very little research on the efficacy of the service delivery that occurs in these settings.

Beyond these issues, several other barriers exist that make it difficult to implement prevention programming directed at workplace AOD abuse. Employers' resistance to workplace prevention stem from the following issues:

• Perceptions that data may uncover their liability for exacerbating AOD use and abuse

• Concern that alcohol specialists do not understand the workplace and would introduce interventions that are impractical and costly

• Lack of direct connections between alcohol problem interventions and workplace goals, with the connotation that reducing alcohol problems benefits the individual and the public good rather than the employer

• Problematic research access as a result of the sheer amount of time required to collect data from employees in active workplaces and the disruptions that research can cause (Roman and Baker 2001).

Thus there can be little doubt of the need for additional research focused on the workplace and alcohol issues. Data are needed to link the findings of studies that identify factors in the workplace related to problem drinking with interventions that are acceptable to employers. Data are also needed on the efficacy of specific workplace practices that have been adopted and that are targeted at alcohol-related issues. Finally, data are needed on how to sustain the workplace's attention to employee alcohol issues in light of the competition of other goals and the intervention barriers unique to the workplace setting.

REFERENCES

AMES, G.M., and DELANEY, W. Minimization of workplace alcohol problems: The supervisor’s role. Alcoholism: Clinical and Experimental Research 16:180–190, 1992.

AMES, G.M., and JANES, C.A. A cultural approach to conceptualizing alcohol and the workplace. Alcohol Health & Research World 16:112–119, 1992.

AMES, G.M.; GRUBE, J.W.; and MOORE, R.S. Relationship of drinking and hangovers to workplace problems: An empirical study. Journal of Studies on Alcohol 58:37–47, 1997.

AMES, G.M.; GRUBE, J.W.; and MOORE, R.S. Social control and workplace drinking norms: A comparison of two organizational cultures. Journal of Studies on Alcohol, 61(2):203–219, 2000.

ASMA, F.E.; HILKER, R.R.J.; SHEVLIN, J.J.; and GOLDEN, R.G. Twenty-five years of rehabilitation of employees. Journal of Occupational Environmental Medicine 22:241–244, 1980.

BACHARACH, S.B.; BAMBERGER, P.A.; and SONNENSTUHL, W.J. Member Assistance Programs in the workplace: The role of labor in the prevention and treatment of substance abuse. ILR Bulletin, No. 69. Ithaca, NY: ILR Press, 1994.

BACHARACH, S.B.; BAMBERGER, P.A.; and SONNENSTUHL, W.J. Labor-based peer assistance in the workplace. Industrial Relations 35:261–275, 1996.

BAMBERGER, P.A., and SONNENSTUHL, W.J. Peer referral networks and utilization of a union-based EAP. Journal of Drug Issues 25:291–312, 1995.

BARKER, J.R. Tightening the iron cage: Concertive control in self-managing teams. Administrative Science Quarterly 38:408–437, 1993.

BEATTIE, M.C.; LONGBAUGH, R.; and FAVA, J. Assessment of alcohol-related workplace activities: Development and testing of “Your Workplace.” Journal of Studies on Alcohol 53:469–475, 1992.

BLUM, T. Problem drinking or problem thinking? Patterns of abuse in sociological research. Journal of Drug Issues 14(1):61–77, 1984.

BLUM, T.C., and ROMAN, P.M. Cost-Effectiveness and Preventive Implications of Employee Assistance Programs. Rockville, MD: Substance Abuse and Mental Health Services Administration; Publication RP0907, 1995.

BLUM, T.C.; ROMAN, P.M.; and HARWOOD, E.M. Employed women with alcohol problems who seek help from Employee Assistance Programs. Description and comparisons. Recent Developments in Alcoholism 12:125–156, 1995.

BROCHU, S., and SOULIERE, M. Long-term evaluation of a life skills approach for alcohol and drug abuse prevention. Journal of Drug Education 18: 311–331, 1988.

CALAHAN D., and ROOM, R. Problem Drinking Among American Men. New Brunswick, NJ: Rutgers Center of Alcohol Studies Publication Division, 1974.

COLAN, N.B., and SCHNEIDER, R. The effectiveness of supervisor training: One-year followup. Journal of Employee Assistance Research 1:83–95, 1992.

COOK, R.; BACK, A.; and TRUDEAU, J. Substance abuse prevention in the workplace: Recent findings and an expanded conceptual model. Journal of Primary Prevention 16:319–339, 1996a.

COOK, R.F.; BACK, A.S.; and TRUDEAU, J. Preventing alcohol use problems among blue-collar workers: A field test of the Working People Program. Substance Use and Misuse 31:255–275, 1996b.

COSPER, R. Drinking as conformity: A critique of sociological literature on occupational differences in drinking. Journal of Studies on Alcohol 40:868–891, 1979.

EDWARDS, D.; IORIO, V.; BERRY, N.H.; and GUNDERSON, E.K.E. Prediction of success for alcoholics in the Navy: A first look. Journal of Clinical Psychology 29(1):86–89, 1973.

EGGUM, P.R.; KELLER, P.J.; and BURTON, W.M. Nurse/health counseling model for a successful alcoholism assistance program. Journal of Occupational Environmental Medicine 22:545–548, 1980.

FENNELL, M.L.; RODIN, M.B.; and KANTOR, G.K. Problems in the work setting, drinking, and reasons for drinking. Social Forces 60(1):114–132 1981.

FLEMING, M.F.; MUNDT, M.P.; FRENCH, M.T.; et al. Benefit-cost analysis of brief physician advice with problem drinkers in primary care settings. Medical Care 38(1):7–18, 2000.

FLEMING, M.F.; MUNDT, M.P.; FRENCH, M.T.; et al. Brief physician advice for problem drinkers: Long-term efficacy and benefit-cost analysis. Alcoholism: Clinical and Experimental Research 26(1): 36–43, 2002.

FLYNN, C.F.; STURGES, M.S.; SWARSEN, R.J.; and KOHN, G.M. Alcoholism and treatment in airline aviators: One company’s results. Aviation, Space, and Environmental Medicine 64: 314–318, 1993.

FOOTE, A., and ERFURT, J.C. Effects of EAP follow-up on prevention of relapse among substance abuse clients. Journal of Studies on Alcohol 52:241– 248, 1991.

GAM, J.; SAUSER, W.I. JR.; EVANS, K.L.; and LAIR, C.V. The evaluation of an Employee Assistance Program. Journal of Employment Counseling 99– 106, 1983.

GOOGINS, B., and KURTZ, N.R. Discriminating participating and nonparticipating supervisors in occupational alcoholism programs. Journal of Drug Issues 11:199–216, 1981.

GREENBERG, E.S., and GRUNBERG, L. Work alienation and problem alcohol behavior. Journal of Health and Social Behavior 36(1):83–102, 1995.

HARTWELL, T.; STEELE, P.; FRENCH, M.T.; et al. Aiding troubled employees: The prevalence, cost and characteristics of Employee Assistance Programs in the United States. American Journal of Public Health 86: 804–808, 1996.

HOFFMAN, E., and ROMAN, P.M. Effects of supervisory style and experientially based frames of reference on organizational alcoholism programs. Journal of Studies on Alcohol 45:260–267, 1984.

HOFFMAN J.P.; LARISON, C.; and SANDERSON, A. An Analysis of Worker Drug Use and Workplace Policies and Programs. Rockville, MD: Substance Abuse and Mental Health Services Administration, 1997.

HOWLAND, J.; MANGIONE, T.W.; LEE, M.; et al. Employee attitudes toward work-site alcohol testing. Journal of Occupational Environmental Medicine 38:1041–1046, 1996.

KIESLER, C., and SIMPKINS, C. The Unnoticed Majority in Psychiatric Inpatient Care. New York: Plenum, 1993.

KISHCHUCK, N.; PETERS, C.; TOWERS, A.M.; et al. Formative and effectiveness evaluation of a worksite program promoting healthy alcohol consumption. American Journal of Health Promotion 8:353–362, 1994.

LEHMAN, W.E.; FARABEE, D.; HOLCOM, M.; and SIMPSON, D.D. Prediction of substance abuse in the workplace: Unique contributions of personal background and work environment variables. Journal of Drug Issues 25:253–274, 1995.

MACDONALD, S. Workplace alcohol and other drug testing: A review of the scientific evidence. Drug and Alcohol Review 16:251–259, 1997.

MCALLISTER, P.O. An evaluation of counseling for employer-referred problem drinkers. Health Bulletin 51:285–294, 1993.

MCLATCHIE, B.H.; GREY, P.M.; JOHNS, Y.; and LOMP, G.E. A component analysis of an alcohol and drug program: Employee education. Journal of Occupational Environmental Medicine 23:477–480, 1981.

MANGIONE, T.W.; HOWLAND, J.; AMICK, B.; et al. Employee drinking practices and workplace performance. Journal of Studies on Alcohol 60:261–270, 1999.

MARTIN, J.K., and ROMAN, P. Job satisfaction and drinking among employed persons. Work and Occupations 23:115–142, 1996.

MASI, D.A., ed. International Employee Assistance Anthology, 2nd edition. Washington, DC: Dallen, Inc., 2000.

MOORE, R.S. The hangover: An ambiguous concept in workplace alcohol policy. Contemporary Drug Problems 25:49–63, 1998.

PARKER, D.A, and FARMER, G.C. Employed adults at risk for diminished self-control over alcohol use: The alienated, the burned out, and the unchallenged. In: Roman, P.M., ed., Alcohol Problem Intervention in the Workplace: Employee Assistance Programs and Strategic Alternatives. New York, NY: Quorum Books, 1990. pp 27–43.

RICE, C.; LONGABAUGH, R.; and STOUT, R.L. Comparison sample validation of “Your Workplace”: An instrument to measure perceived alcohol support and consequences from the work environment. Addictive Behaviors: An International Journal 22: 711–722, 1997.

ROMAN, P.M Missing work: The decline in infrastructure and support for workplace alcohol intervention in the United States, with implications for developments in other nations. In: Miller, W.R., and Weisner, C.M., eds. Changing Substance Abuse Through Health and Social Systems. New York: Plenum, in press.

ROMAN, P.M., and BAKER, S.C. The decline of workplace support for substance abuse programming. Paper presented at the annual meetings of the American Sociological Association, Anaheim, CA 2001.

ROMAN, P.M., and BLUM, T.C. Internalization and externalization as frames for understanding workplace deviance. In: Simpson, I.H., and Simpson, R.L., eds. Research in the Sociology of Work: Deviance in the Workplace, Vol. 8, Greenwich, CT: JAI Press, 1999. pp. 139–164.

ROSPENDA, K.M.; RICHMAN, J.A.; WISLAR, J.S.; and FLAHERTY, J.A. Chronicity of sexual harassment and generalized work-place abuse: Effect on drinking outcomes. Addiction 95(12):1805–1820, 2000.

SEEMAN, M., and ANDERSON, C.S. Alienation and alcohol: The role of work, mastery, and community in drinking behavior. American Sociological Review 48(1):60–77, 1983.

SEEMAN, M.; SEEMAN, A.Z.; and BUDROS, A. Powerlessness, work, and community: A longitudinal study of alienation and alcohol use. Journal of Health and Social Behavior 29(3):185–198, 1988.

SHAIN, M.; SUURVALI, H.; and BOUTILIER, M. Health Promotion and Employee Assistance Programs. Lexington, MA: Lexington Books, 1986.

SONNENSTUHL, W.J. Working Sober: The Transformation of an Occupational Drinking Culture. Ithaca, NY: Cornell University Press, 1996.

SPICKARD, W.A., and TUCKER, P.J. An approach to alcoholism in a university medical center complex. Journal of the American Medical Association 252:1894–1897, 1984.

STOLTZFUS, J.A., and BENSON, P.L. 3M alcohol and other drug prevention program: Description and evaluation. Journal of Primary Prevention 15:147–159, 1994.

WALSH, D.C.; HINGSON, R.W.; MERRIGAN, D.M.; et al. A randomized trial of treatment options for alcohol-abusing workers. New England Journal of Medicine 325:775–782, 1991.

WALSH, D.C.; HINGSON, R.W.; MERRIGAN, D.M.; et al. A randomized trial of alternative treatments for problem-drinking employees: Study design, major findings, and lessons for worksite research. Journal of Employee Assistance Research 1:112–147, 1992.

WRICH, J.M. The Employee Assistance Program. Center City, MN: The Hazleden Foundation, 1973.

ZHANG, Z.; HUANG, L.; and BRITTINGHAM, A.M. Worker Drug Use and Workplace Policies and Programs: Results from the 1994 and 1997 NHSDA. Washington, DC: Substance Abuse and Mental Health Services Administration, 1999.

__________________________________________________________________________________________

QUALIFICATIONS OF OHDS PERSONNEL

Source: Missouri Department of Labor and Industrial Relations

Once you have decided which safety and health services you want to provide through your OHDS, you need to decide who will provide the services.  There are several factors to consider:

• Your OHDS must be organized so that the personnel providing the services are not working alone when State law requires that they be supervised by a registered nurse or physician. 

• The occupational health professionals you use must have specialized, up-to-date training or experience in the methods of occupational health care.

• You must choose whether to hire OHDS personnel as your own employees or whether to contract outside your company for their services.

OCCUPATIONAL HEALTH PROFESSIONALS

Occupational health professionals are medical doctors (MD), doctors of osteopathy (DO), and registered nurses (RN).  They hold a license to practice their professions, and they are entitled to practice independently under this license.

Occupational Medicine Specialists

Occupational medicine specialists are medical doctors (MD) or doctors of osteopathy (DO) who have additional training or experience in the treatment of work-related illnesses and injuries.  This training or experience can be acquired in different ways:

• A number of universities offer residency programs that enable MDs and DOs to become board certified in occupational medicine through the American Board of Preventive Medicine.

• Professionals graduating from schools of medicine or osteopathy before January 1, 1984, may qualify for board certification by the "alternative pathway." This involves a combination of education and practical experience in the field of occupational medicine.

• Shorter programs, called mini-residencies, offer academic training in occupational medicine.

• MDs and DOs can obtain advanced education in occupational medicine by taking continuing education courses. 

• There are MDs and DOs working in occupational medicine who have gained advanced knowledge through experience working in the field for extended periods.

Occupational Health Nurses

Occupational health nurses are registered nurses (RN) who have received specialized training in occupational health.  Like physicians with specialties in occupational medicine, occupational health nurses may gain this training through formal college programs, continuing education, or experience working in the field.  A registered nursing license allows nurses to perform many health evaluation and care functions independently. 

Nurse Practitioners

Nurse Practitioners are registered nurses who have completed formal advanced training in physical assessment and the management of minor, stable illnesses and injuries.  In most States, they are licensed or certified for advanced practice by State licensing boards.  Nurse Practitioners perform many health evaluation and care activities independently.  They perform physical exams; diagnose health problems using laboratory tests, x-rays, or other tests; and treat employees who are ill or injured.  In most States, Nurse Practitioners can prescribe medications.  Additionally, Nurse Practitioners perform many other activities using written protocols developed collaboratively with a physician.  Nurse practitioners can take additional training and specialize in the treatment of occupational illnesses and injuries. 

SUPPORT PERSONNEL

Support personnel can provide more limited services.  They have received specific training and usually are certified or licensed by the educational institution where they received the training.  Sometimes licensing or certification is granted by the State.  The scope of practice for support personnel requires that they work under the supervision of licensed health professionals except when delivering first aid.  Licensed vocational nurses (LVNs), licensed practical nurses (LPNs), emergency response personnel (sometimes called emergency medical technicians, or EMTs), and first aid personnel are in this category.

Licensed Vocational and Licensed Practical Nurses

LVNs and LPNs are licensed by State agencies to perform certain health care activities.  These include taking blood pressures and applying dressings.  These persons must practice under the supervision of a physician or a registered nurse.

First Aid and Emergency Response Personnel

"First aiders" perform the function of first response.  They provide temporary treatment until care of the ill or injured person can be transferred to someone with more advanced training.  This includes performing treatments such as splinting and applying ice or pressure dressings, and also transporting the ill or injured.  A person does not need a background of formal health care education to be trained in first aid and cardiopulmonary resuscitation (CPR).  A certification in first aid usually is granted by training providers such as the American Red Cross after the student completes a standard curriculum and demonstrates competence.  When employers assign first aid responsibilities to their employees, proper training, certification, and regular updating of the instruction are important: even first aid techniques can be harmful when done incorrectly.

CPR sometimes is included in first aid courses, but a separate class may have to be taken.  CPR is the act of providing temporary, life-sustaining artificial circulation and respiration when these functions have stopped.  It is performed before and during the stricken person's transfer to a medical facility.  As with first aid, persons completing CPR training are certified by the organization offering the training.  CPR performed incorrectly can injure the person receiving it.  When employers use employees as "first aiders" and expect them to perform CPR, the employees must be thoroughly trained, and this training must be updated at least annually.

Warning: It is possible for persons rendering first aid or CPR to be exposed to the viruses that cause hepatitis B and AIDS.  This is because the "first aider" can come in contact with body fluids, such as blood, that might contain these viruses.  Because of this potential for exposure, all employees with employer-designated first aid or CPR duties are covered by the full scope of OSHA's Bloodborne Pathogens standard, 29 CFR 1910.1030.  The standard requires that an employer train these employees in how to protect themselves from potentially infectious body fluids.  It also requires that the employer provide personal protective equipment, offer the hepatitis B vaccine, provide medical follow-up of any occupational exposure, and meet other requirements.

Emergency response personnel, sometimes called emergency medical technicians (EMTs), have received advanced training in first aid, CPR, and other life support techniques.  With certain restrictions, they can perform sophisticated emergency procedures and transport ill and/or injured people.

Like other employees with first aid responsibilities, EMTs are covered by the full scope of OSHA's Bloodborne Pathogens standard (but see footnote below).

The OHDS should retain records of the original training, licenses, update courses, and certification of all employees participating in the delivery of occupational health services, including first aid, CPR, and/or emergency response activities.  For all training related to the Bloodborne Pathogens standard, the standard requires that records be kept for 3 years, and that the records contain training dates, the content or a summary of the training, names and qualifications of trainers, and names and job titles of trainees.

FOOTNOTE

1OSHA allows employers to offer hepatitis B vaccinations to certain employees after they have given first aid rather than requiring pre-exposure vaccinations.  This exception to the Bloodborne Pathogens standard applies to employees who render first aid only as a collateral duty, responding solely to injuries resulting from workplace incidents.  These employees must be offered the full immunization series as soon as possible, but in no event later than 24 hours after rendering assistance in any situation involving the presence of blood or other potentially infectious materials.  If an exposure incident as defined in the standard has taken place, other post-exposure follow-up procedures must begin immediately.  This exception to the hepatitis B vaccination requirement does not apply to employees who provide first aid on a regular basis, for example, at a first aid station, clinic, or dispensary.  Nor does the exception apply to health care, emergency response, or public safety personnel expected to render first aid in the course of their work.  Information on this policy is contained in OSHA News Release USDL 92-436, July 6, 1992, available from OSHA's Office of Information, telephone (202) 219-8151.

__________________________________________________________________________________________

ESTABLISHING THE RIGHT MEDICAL PROGRAM FOR YOUR WORKSITE: THE OCCUPATIONAL HEALTH DELIVERY SYSTEM

Source: Missouri Department of Labor and Industrial Relations

Are you remembering the "health" in your occupational safety and health program?  The Occupational Safety and Health Act of 1970 aims "...to assure so far as possible every working man and woman in the Nation safe and healthful working conditions...."  Toward this end, OSHA's Safety and Health Program Management Guidelines strongly urge the identification and control of health hazards and the implementation of a medical program.

A medical program is another name for the systems that employers put in place to ensure occupational health expertise within the overall safety and health program.  Having a medical program does not necessarily mean that you must go out and hire a doctor to work at your company.  There are many ways for you to find and use occupational health expertise.  This chapter will help you decide what will work best for your business.

We call the medical program the occupational health delivery system, or OHDS.  This term will help you remember that a comprehensive program is more than an after-the-fact response to work-related injuries and illnesses.  It also includes the activities that uncover the safety and health hazards in your business and that help you formulate a plan for prevention or control.  It is a management system in the same way the actions you take to promote safety are a management system.

You may find it more difficult to establish the goals and objectives for your OHDS than for the other parts of your safety and health program.  The harm it prevents may not appear obvious at first.  For example, an employee who is experiencing hand pain and who gradually is developing a cumulative trauma disorder (CTD) may seem to have a less serious problem than the employee who has a severe cut or broken bone from an accident.  But OSHA's experience is that work-related health problems are no less serious in terms of human suffering and costs than the more obvious injuries.

An effective OHDS will help reduce all types of safety and health hazards and the resulting injuries and illnesses.  The positive results from such a program will be measurable by a drop in lost workdays and workers' compensation costs.  You also can expect this program to help increase worker productivity and morale.

WHO SHOULD MANAGE THE OHDS?

You will find that the OHDS works best when managed by occupational health professionals (OHPs).  A physician or a registered nurse with specialized training, experience, and knowledge in occupational health works with you but not necessarily as your employee.  This arrangement works best because safety professionals, industrial hygienists, occupational medicine physicians, and occupational health nurses all have their own areas of specialized knowledge.  You cannot expect to get all the information and service your safety and health program needs from only one type of specialist.  If you tried, you might overlook or misidentify a dangerous hazard in your business.

WHAT SERVICES DO YOU NEED FROM YOUR OHDS?

There is no such thing as a standard OHDS.  There is no substitute for examining your business' special characteristics and developing an OHDS that is right for you.  These special characteristics include:

• The actual processes in which your employees are engaged;

• The type of materials handled by your employees;

• The type of facilities where your employees are working;

• The number of employees at each site under consideration;

• The characteristics of your work force, such as age, gender, ethnic group and educational level; and

• The location of each operation and its distance from health care facilities.

As you look at the characteristics of your employees and workplace, you should be asking yourself questions such as:

• Are there hazards in the process, materials or facilities that make it likely that employees will get sick, hurt or will suffer abnormal health effects their work?

• Are there so few employees that onsite occupational health resources are less practical than off-site contract services?  Are there so many employees that time and money will be saved by installing onsite resources?

• Are there special characteristics of the workers that make them more vulnerable to illness or injury or less likely to understand the safety and health hazards of the worksite?

You should be aware that, under the Americans with Disabilities Act (ADA), employers may require employees to submit to medical examination only when justified by business necessity.  It is OSHA's judgment that a health and safety concern qualities as a business necessity.  The results of any medical examination are subject to certain disclosure and record retention requirements (see Part 1910.20 of Title 29, Code of Federal Regulations), but also are subject to confidentiality requirements of the ADA.  The ADA's employment-related provisions are enforced primarily by the U.S. Equal Employment Opportunity Commission.

• Is there anything about the workplace that makes it important to have occupational health assistance nearer or more rapidly obtainable?

Answering these questions will put you in a better position to decide which OHDS services you need.  The services are listed below. 

THE RANGE OF OHDS FUNCTIONS

There are three basic types of OHDS activities:

1. Prevention of hazards that cause illnesses and injuries,

2. Early recognition and treatment of work-related illness and injury, and

3. Limiting the severity of work-related illnesses and injury.

Preventing Hazards

• Make sure that your safety and health policy shows that you are as concerned about your employees’ health as their safety. 

• Make sure that qualified OHPs help you identify the hazards and potential hazards of your workplace.

• Use OHPs in the development and presentation of health training and other preventive activities, including the various measures required by OSHA’s Bloodborne Pathogens standard.  (See OSHA Publication 2254, "Training Requirements in OSHA Standards and Training Guidelines").

• Remember that it is your responsibility to determine if you have employees who fall within the scope of the Bloodborne Pathogens standard and to make arrangements for compliance for these employees.  Staff nurses, physicians, and emergency response personnel are covered by the standard, even where no other employees appear at risk of occupational exposure to infectious diseases.  (For more information on this standard, see OSHA Publication 3127 (Revised 1993), "Occupational Exposure to Bloodborne Pathogens."  See also OSHA Instruction CPL 202.44C, which deals with current enforcement policy regarding this standard."

• Provide professional occupational health expertise as a resource to your safety and health committee. 

• Be sure to include you OHDS in your annual self-evaluation. 

Early Recognition and Treatment

• Use OHPs to help you decide, on the basis of existing or potential hazards at your workplace, when you may need to conduct baseline and periodic testing of your employees and new hires for evidence of exposure.  This is called "health surveillance" and is required by some OSHA standards for specific types of exposures.

• Use OHPs to do the testing needed for health surveillance.

• Make sure records are kept of employee visits to first aid stations, nurse’s office, contract clinic or hospital.  Have an OHP review the symptoms reported and the diagnoses to see if there appear to be patterns that indicate an occupational health problem.

• Provide first aid and CPR assistance through properly trained employees on every shift.  Make sure that these employees keep their certifications current and that they receive adequate training in the hazards specific to the worksite.  The Occupational Exposure to Bloodborne Pathogens standard (29 CFR 1910.1030) outlines specific training requirements for employees expected to render first aid at work.  It is essential that employees understand the hazards from bloodborne communicable diseases, including hepatitis B and AIDS, and how to protect themselves.

• Involve OHPs in alcohol and drug abuse interventions, smoking cessation programs, and any other company programs geared toward helping employees recognize and obtain treatment for substance abuse problems.

• Make sure that the OHPs whom you use have current credentials, have had recent occupational health continuing education, and understand the hazards of your worksite.  These standards will help ensure their ability to recognize early symptoms of occupational health problems and begin prompt and appropriate treatment to prevent disability.

• Make sure that standardized procedures -- called "protocols" in the medical community -- are used throughout your occupational health delivery system, particularly if you are using more than one contractor for health services. 

• Have one of the OHPs keep your employee injury and illness records, whenever feasible.  Make sure your recordkeeping system effectively ensures the confidentiality of individual employee medical records. 

Limiting Severity

• Coordinate the emergency response of all responsible individuals or departments at your worksite and of all emergency organizations off the worksite, such as the fire department, any contractual organization or a nearby community hospital.  Everyone needs to know exactly what to do and what to expect from others.  (See OSHA Publication 3088 (revised 1991), "How to Prepare for Workplace Emergencies.")

• Maintain contact through your OHP (whether you are an employee or provided by contract) with any employee who is off work due to an occupational illness or injury.  Keep in touch with the practitioner providing treatment and care to ensure that the treatment is appropriate and that the employee is responding as expected.

• Use your registered nurse or physician to help advise an employee who is off work for an extended period about workers’ compensation rights and benefits and ongoing care.

• Use these OHPs to provide evaluation aimed at determining whether an employee can resume full duty after injury or illness or whether work duties need to be modified.

• Consult your physician or registered nurse for help with the development of a modified duty position to ensure that the employee can perform the work and benefit from feeling productive again.

• Develop and deliver health care in accordance with Federal and state regulations, for example, OSHA standards, workers’ compensation laws and public health regulations.

SUMMARY

Your business' medical program, what we call its occupational health delivery system, is an important part of your safety and health program.  It can deliver services aimed at preventing hazards that can cause illness and injury, rapidly recognizing and treating illness and injury, and limiting their severity.

To determine which of these services are appropriate, you need to consider your business' special characteristics.  These include the type of processes and materials your employees work with and the resulting or potential hazards.  Other considerations are the type of facilities in which employees work, the number of workers at each site, and the characteristics of the work force, such as age, gender, cultural background, and educational level.  The location of each operation and its proximity to a health care facility also are important.

Whether you hire or contract with an occupational health professional, make sure this person has specialized training, experience, and up-to-date credentials.  Then use him/her to help you develop and deliver the services you have chosen.

__________________________________________________________________________________________

SECTION IV G: SECURITY

GUIDELINES FOR WORKPLACE SECURITY

Source: Cal OSHA

INTRODUCTION

Workplace safety and health hazards affecting employees have traditionally been viewed as arising from unsafe work practices, hazardous industrial conditions, or exposures to harmful chemical, biologic or physical agents, not from violent acts committed by other human beings. Recently, though, employees, as well as supervisors and managers, have become all too frequent victims of assaults or other violent acts in the workplace which entail a substantial risk of physical or emotional harm. Many of these assaults result in fatal injury, but an even greater number result in nonfatal injury, or in the threat of injury, which can lead to medical treatment, missed work, lost wages and decreased productivity.

A single explanation for the increase in workplace violence is not readily available. Some episodes of workplace violence, like robberies of small retail establishments, seem related to the larger societal problems of crime and substance abuse. Other episodes seem to arise more specifically from employment-related problems.

What can be done to prevent workplace violence? Any preventive measure must be based on a thorough understanding of the risk factors associated with the various types of workplace violence. And, even though our understanding of the factors which lead to workplace violence is not perfect, sufficient information is available which, if utilized effectively, can reduce the risk of workplace violence. However, strong management commitment, and the day-to-day involvement of managers, supervisors, employees and labor unions, is required to reduce the risk of workplace violence.

Even though many of the causes of workplace violence have their origin outside the workplace, and even though there are gaps in our fund of knowledge about how to prevent the occurrence of some types of workplace assaults, enough is currently known about the problem for us to make a start.

As the statistics in these Guidelines indicate, workplace violence has become a serious occupational health problem whose solution will require all of our efforts. The problem cannot be solved by government alone.

Cal/OSHA invites employers, labor unions, employees, occupational health and safety professionals, the public health community, other government agencies and security professionals to continue to work with us in developing and promoting strategies to prevent workplace violence.

LATE NIGHT RETAIL VIOLENCE PREVENTION CHECKLIST

Pre-Event Measures

• Make your store unattractive to robbers by:

o Removing clutter, obstructions and signs from the windows so that an unobstructed view of the store counter and/or cash register exists.

o Keeping the store and parking lot as brightly lit as local law allows.

o Keep an eye on what is going on outside the store and report any suspicious persons or activities to the police.

o When there are no customers in the store, keep yourself busy with other tasks away from the cash register.

o Post emergency police and fire department numbers and the store's address by the phone.

o Mount mirrors on the ceiling to help you keep an eye on hidden corners of the store. Consider surveillance cameras to record what goes on in the store and to act as a deterrent.

o Post signs which are easy to spot from the outside of the store that inform customers that you have a limited amount of cash on hand.

o Limit accessible cash to a small amount and keep only small bills in the cash register.

o Use a time access safe for larger bills and deposit them as they are received.

o Use only one register after dark and leave unused registers open with empty cash drawers tilted up for all to see.

o Let your customers know that you only keep a small amount of cash on hand.

• Event Measures

o If you are robbed at gunpoint, stay calm and speak to the robber in a cooperative tone. Do not argue or fight with the robber and offer no resistance whatsoever. Hand over the money.

o Never ever pull a weapon during the event--it will only increase your chances of getting hurt.

o Always move slowly and explain each move to the robber before you make them.

o Post-Event Measures

o Make no attempt to follow or chase the robber.

o Stay where you are until you are certain the robber has left the immediate area, then lock the door of your store and call the police immediately.

o Do not touch anything robber has handled.

o Write down everything you remember about the robber and the robbery while you wait for the police to arrive.

o Do not open the door of the store until the police arrive.

______________________________________________________________________________________

Workplace Security

Source: South Carolina Department of Labor, Licensing and Regulation

Use this section to learn about available security measures and to determine which are appropriate for your site. These measures include: physical security, personnel security, internal security, post event follow-up and training. Additionally, a list of security-related resources is included at the end of the section.

No security system can be effective without employee knowledge and operation. Employees must know how to properly operate the security system. No one should be allowed to disable or take shortcuts that compromise the integrity of your security system.

This section can be used as a checklist for you to consider the security measures that you may already have in place at your business and to highlight other security measures that you may want to consider.

Physical Security includes but is not limited to:

External lighting

• Check with your power company to help design a lighting diagram. The engineers will be able to help you locate lighting and choose the best type of lighting to be most effective.

• Survey your present lighting at night to see which areas need additional lighting.

• Inspect lighting regularly for bulbs, photo controls or starter boards that need replacing.

• Secure substation to prevent disrupting the power source.

Fencing/gates

• Inspect facility fencing regularly for vandalism, and if possible, vary the time of day of the inspection. Provide clear path/road inside fence to allow for patrol and integrity inspections.

• Keep all gates closed and allow only authorized persons to enter. (The gates, however, must not create a hazard to employees.) Employees may enter the gate through an automatic keypad or a remote control. If public companies regularly use the facility, such as in a wastewater treatment facility, place a phone at the gate to call the gate operator. The operator may need to have a remote phone and a remote control for times when he/she may not be in the control room. Additional precautions for railroad access should be considered.

• Erect a chain link (at least eight feet) with barbed wire.

Signs and tags

• Use “Keep Out/ Only Authorized Persons Allowed On the Premises” signs on each side of the perimeter fence and on each gate. Place signs approximately 50 feet apart.

• Use large fluorescent letters.

• Post notification that all vehicles and persons are subject to search.

Closed Circuit Television (CCTV) surveillance system

• Locate the recorder in a secure area.

• Locate the monitor at a console with an attendant. Attentive watching time is about two hours, so vary employees regularly.

• Use cameras with motion sensors to alert attendants watching monitors that there is activity in the area.

• Use quality equipment with a clear night picture.

• Closed Circuit TV should not be used as a primary means of detection. CCTV is a passive system that requires human interaction for detection. It should be utilized as a tool to assess alarms that are triggered by more active forms of detection. Other methods

of detection could be microwave, infrared or fiber optic that monitor the area for intrusion.

Identification Badges

• Require all employees to wear picture identification badges.

• Update badges regularly so the pictures are recent.

• Require all employees who leave the company to turn in badges during the exit interview.

• Make badges unique to company and tamper proof.

Access control

• Place access controls or similar devices on all employee entrances to buildings.

• Periodically inventory, reissue, and reassign control badges and access passes.

• Require employees to use employee entrances, never public entrances.

• Design access in a manner that cannot be compromised.

Inspection of all vehicles

• Have a specific inspection policy in place that requiring inspection of all vehicles.

• Develop a “no parking” safe zone a minimum of 150 feet from any critical facilities.

• Access to facility should be limited, and those personnel admitted should be monitored at all times.

• Require all visitors and contractors to wear badges when in the facility. ID badges should be consistently worn by visitors and employees on the same part of the body to make it easier for security officers and employees to identify unauthorized personnel.

• Require all visitors to sign in and state purpose upon entry, and sign out when exiting the facility.

• Require an escort for visitors.

• All visitors/contractors should have a company contact identified.

Exterior doors

• Keep exterior doors locked from outside entry and monitor regularly.

• Employ proper and quality locking mechanisms.

• Ensure all modifications for locking mechanisms comply with building and fire codes.

Alarms/signals

• Install a communication or buzzer system at the reception desk and in isolated work areas. Develop a policy on response to the buzzer.

• Have a panic alarm installed that rings in another area in the workplace.

• Install more than one panic button.

• There should be a crisis communication procedure among key personnel and security providers involving intercoms, telephones, duress alarms and other concealed means of communications.

• Establish separate alarms/signals for security and fire.

Control of entry

• Use gates, turnstiles, fencing, a security force member or a monitoring system to control access.

• Identify and secure (with bars, etc.) drainpipes large enough for an intruder to gain entry to your facility.

• Ensure receptionists have more than one exit from their workstation.

• In public service offices, review the placement of the desk in the employee’s office. Is the desk by the door so the employee can make an unobstructed emergency exit? When speaking to a customer, try not to have the customer seated between the employee and the exit.

• Utilize cameras or security officers.

• Consider furniture placement not to impede emergency egress.

Guards/patrols

• Post a security guard at the main building entrance or at entrances to specific offices.

• Develop post orders for each security post that is manned to give the security guard a clear understanding of his/her responsibilities.

• Ensure that guards have a clear view of employee entrances at all times.

• Provide a means for guards to contact law enforcement quickly.

• Contract with a reputable security firm.

• Consider using armed guards.

Auditing

• Perform regular auditing of all security procedures at least bi-monthly.

• Have audits conducted by a certified security professional.

Testing

• Test security systems at least once a year.

Other considerations

• Keep areas orderly and clean so strange objects and packages can be easily identified.

• Allow janitorial services on site only on the day shift.

Personnel security includes but is not limited to:

Background investigations for employees/contractors/sub-contractors

• Set acceptance guidelines for background investigations based on the type of jobs performed.

• Use DOT background checks for all drivers.

• Employ a reputable firm to perform background checks.

• Make sure employees are bonded.

• Be sure to verify through the I-9 process that every applicant is authorized to work in the USA. It is the law, and it makes good sense from an employment and security standpoint.

Personal references

• Request three personal references and contact each reference.

Pre-employment drug & alcohol testing

• Be sure questions are consistent with state and federal laws and regulations and appropriate for the position being considered.

• Consider random and for cause (accident, incident) testing. (Hair testing is considered by many experts to be the best system to use to identify drug use.)

Credit checks

• Perform a credit check on applicants.

• Consider conducting a credit check every five years.

Multiple interviews

• Conduct a minimum of two interviews to fully assess the candidate.

Education

• Check with schools listed on the application.

• Verify schools listed on the application.

• Secure a certified copy of transcripts from the schools.

Employment agency

• Utilize a reputable firm.

Driving record

• Check to see that applicant has a valid driver’s license.

• Obtain a certified driving record for the applicant that includes several years of driving history.

• Get a 10-year Motor Vehicle Registration (MVR) history on the applicant.

• Note: You must have the person’s authorization to obtain the document.

• Visit the DOT Web site:

Termination procedures

• Incorporate a formal process and ensure employee’s access to facilities is removed from security access.

• Retrieve company ID, access control card and keys.

• Change combination locks.

• Change computer passwords.

• Assess the worker’s violence potential with involuntary terminations of employment.

Threat response/workplace violence training

• Have a clear workplace violence prevention policy that is enforced and specifies unacceptable behaviors.

• Have clear reporting procedures.

• Have a means to conduct threat assessments and determine appropriate interventions.

• Provide education and training on:

o Warning signs and management style

o Evacuation procedures

o Stress management

o Conflict resolution

o Communication skills

o Proper disciplinary practices

o Stress and self esteem

• Conduct training on a regular basis.

Security awareness training

• Include a review of the security policy during new hire orientation.

• Conduct training on emergency and non-emergency situations:

o Emergency- if an injury has occurred or there is an immediate threat of physical harm.

o A “threat” or a “threatening situation. A threat is a communicated intent to inflict physical or other harm to another person. A threatening situation is a situation where one person through intimidating words or gestures has induced fear and apprehension of physical or other harm.

• Conduct training on a regular basis.

Passports and visas for foreign nationals

• Have passports and visas reviewed by recruiter, copied, and reviewed by an official with the United States Immigration and Naturalization Service (INS).

• Verify through the I-9 process that every job applicant is authorized to work in the USA (whether they are a citizen of the USA or otherwise properly in this country).

Internal Security includes but is not limited to:

Bomb threat/fire/explosion/chemical threat procedures

• Obtain the FBI Bomb Threat information card or similar document.

• Document and incorporate formal and written procedures.

Evacuation plans/emergency preparedness/incident command (inside company/outside company)

• Prepare a pre-plan and involve all outside agencies in regular drills.

• Review/practice annually.

• Review the site location and neighboring businesses to assess the possibility of your involvement should you or your neighbors have an incident.

Access control for restricted/secure areas

• Limit the number of employees having access to restricted/secure areas.

• Limit the number of employees with access to company trade secrets/assets.

• Appropriately secure personal valuables.

Payroll protection

• Money should be kept in secure containers.

• Limit access to payroll/revenue.

Outside agency liaison (know who to call)

• Police

• Fire

• EMS

• Identify telephone numbers and names of appropriate officials and ensure that this list is updated on a regular basis.

• Develop a strong relationship with local law enforcement. (Keep them well informed about terminations, etc. Encourage and invite officers to your facility. Invite them to employee functions. Give them a tour of your operation so that they will have an understanding and appreciation of the layout.)

Equipment and material passes

Maintain control on the issuance and return of such passes.

Post incident action and follow up:

Evaluate employee(s) medical condition

• Identify employees who are certified in first aid or CPR; notify EMS as necessary.

Survey the scene

• Identify the specific roles of security/safety personnel.

Defusing

• Hold defusing session immediately, or as soon as possible after the incident.

• Should be led by someone trained in Critical Stress Management, for example, EAP provider.

• Assist employees with the after effects of trauma.

Notify external agencies if necessary -- local, state and federal.

• FBI

• Document the telephone numbers and names of appropriate officials.

Investigation

• Gather facts of the incident to provide responding officials.

Debriefing

• Hold debriefing 24-48 hours after the incident.

Critiquing session

• Hold critiquing session as soon as possible after the incident.

• Get managers, supervisors and employees together and review how the situation was managed.

• How was the incident handled?

• Who responded?

• How could it have gone better?

• How could it have been prevented? (Review security procedures.)

• How effective were the defusing and debriefing sessions?

• Is there a need for policies for management of the incidents?

• Do safety procedures and workflow procedures exist? Were they followed? Did they work?

Employee Assistance

• Establish in-house or contract with a reputable employee assistant program, chaplains or professional counselors, etc.

Site restoration

• Coordinate with appropriate management personnel.

Post-incident briefing/discussion

• Conduct briefing/discussion within the first week following the incident and repeat if necessary.

• Insure closure on action items from the investigation.

Training

• Types of training

o Personal safety and security measures

o Types of incidents to report to law enforcement/security

o Types of measures security/law enforcement may take to protect employees during a violent incident

o Suggestions on how to react to an armed attacker

o Suggestions for dealing with angry customers/clients/employees

o Suspicious packages

o Bomb treats

o Hostage situations

o Telephone harassment and threats

Resources

Local, state and federal government agencies

• Law enforcement

o Local police, sheriff

___________________________________________________________________________________

Guidelines For Security and Safety Of Health Care And Community Service Workers

I. INTRODUCTION: THE PROBLEM

II.

During the past two decades, we have seen a sharp increase in violence in our cities, country and society. Estimates show that nearly one-third of all Americans are victimized by crime each year (Poster & Ryan, 1989). Violence in the workplace is a manifestation of this problem, with homicide being the third leading cause of occupational death among all workers in the United States from 1980 to 1988 (Jenkins et al, 1992) and the leading cause of fatal occupational injuries among women from 1980 to 1985 (Levin et al, 1992).

Higher rates of occupational homicides were found in the retail and service industries, especially among sales workers (Jenkins et al, 1992). This increased risk may be explained by contact with the public and the handling of money (Kraus, 1987). Research into the causes of the increasing incidence of death and serious injury to health care workers has led to the theory that exposure to the public may be an important risk (Libscomb & Love, 1992, Lavoie et al, 1988). The risk is increased particularly in emotionally charged situations with mentally disturbed persons or when workers appear to be unprotected.

During the past few years, violence resulting in the death of California health care and community workers occurred in emergency rooms, psychiatric hospitals, community mental health clinics and social service offices. Assaults, hostage taking, rapes, robbery and other violent actions are also reported at these and other health care and community settings. In a study by Conn and Lion (1983), assaults by patients in a general hospital occurred in a variety of locations. Although forty-one percent of assaults occurred in the psychiatric units, they also occurred in emergency rooms (18%), medical units (13%), surgical units (8%), and even pediatric units (7%).

Carmel and Hunter (1989) found that the psychiatric nursing staff of a maximum security forensic hospital in California sustained 16 assault injuries per 100 employees per year. This investigation used the OSHA definition for occupational injury: an injury which results in death, lost work days, loss of consciousness, restriction of work or motion, termination of employment, transfer to another job or medical treatment other than first aid (Bureau of Labor Statistics, 1986). Work-related injuries reported on OSHA forms and reported to the Bureau of Labor Statistics (BLS) for 1989 occurred at a rate of 8.3 per 100 full-time workers in all industries combined. The highest rate, 14.2 per 100 full-time workers, was seen in the construction industry (Bureau of Labor Statistics, 1991). In comparison, data collected by Carmel and Hunter suggest that some psychiatric workers may be at a higher risk for injuries from assaults than the risk for injuries from all causes in the country's most hazardous industry (Lipscomb and Love, 1992).

Madden et al (1976), Lanza (1983) and Poster & Ryan (1989) have reported that 46 to 100% of nurses, psychiatrists and other therapists in psychiatric facilities experienced at least one assault during their career. Research on the causes and methods of prevention of violence in psychiatric facilities was funded by the California Department of Industrial Relations after the death of a psychiatric hospital worker in 1989. This investigation is in progress at the forensic hospital the present time.

Lavoie et al (1988) investigated 127 large, university-based hospital emergency departments and reported that 43% (55) had at least one physical attack on a medical staff member per month. Seven percent (9) of the reported acts of violence in the last 5 years resulted in death. Emergency room personnel face a significant risk of injury from assaults by patients, but in addition, may be abused by relatives or other persons associated with the patient. Further, the violence which occurs in the emergency room is often shifted into the hospital when the patient is transferred to the receiving unit.

Bernstein (1981) reported that 26% of reported assaultive behaviors in a study of California psychotherapists occurred in the outpatient setting. The death of an outpatient psychiatric worker in 1989 in California at the hands of a homeless client underscores the risk that exists in this setting. Investigations by OSHA officials in two California Counties identified a nearly complete lack of security measures in outpatient facilities, leaving workers unprotected and vulnerable to abuse and assaults.

Community service workers are at risk of hostile behavior from the public when they visit clients at hotels, apartments or homes in unfamiliar or dangerous locations especially at night. Child welfare workers have reported that parents of children who are being taken to foster homes or other types of court action have become violent and assaulted workers with knives and fists. Sexual assaults with serious injury, other physical assaults and robberies have been reported by workers in the hospital and community. In addition, clients or their relatives and friends may direct their anger, which can be extreme or violent, at community workers. In Canada, in community settings, physical attacks by patients were reported by 1.1% to 14.1% nurses surveyed by the Manatoba Association of Registered Nurses, Liss (1993).

Few research investigations have focused on the incidence of violence to community workers, but reports have been received from many sources such as union workers or parking enforcement workers who have suffered abusive and at times violent behavior from hostile motorists. Hotel housekeepers are currently being studied after complaining of sexual abuse and threats in hotels in which they work. Much research is needed to identify the scope of violence in the medical field and the community as a whole.

A. Risk Factors

Risk factors may be viewed from the stand point of 1) the environment, 2) work practices and 3) victim and perpetrator profile.

Environmental Factors

Health care and community service workers are at increased risk of assaults because of increased violence in our society. This increase in violence is thought to be as a result of such factors as: the easy availability of guns and weapons; the use of violence by many in the population as a means of solving problems; the increase in unemployment, poverty and homelessness; the decrease in social services to the poor and mentally ill; the increase in gang-related activity and drug and alcohol use; violence depicted in television and movies; and the increasing use of hospitals by police and criminal justice systems for acutely disturbed patients. These may be thought of as a partial listing which may have a direct contribution to safety and security of workers.

An important risk factor at hospital at hospital and psychiatric facilities is the carrying of weapons by patients and their family or friends. Wasserberger et al (1989) reported that 25% of major trauma patients treated in the emergency room carried weapons. Attacks on emergency rooms in gang-related shootings have been documented in two Los Angeles hospitals (Long Beach Press Telegram, 1990). Goetz et al (1991) found that 17% of psychiatric patients searched were carrying weapons.

Other risk factors include the early release from hospitals of the acute and chronically mentally ill, the right of patients to refuse psychotropic treatment, inability to involuntarily hospitalize mentally ill persons unless they pose an immediate threat to themselves or others, and the use of hospitalization in lieu of incarceration of criminals. McNeil et al (1991) found that police referrals were significantly more likely to have displayed violent behavior such as physical attacks and fear inducing behavior during the 2 weeks before coming to the psychiatric emergency service and during the initial 24 hours of evaluation and treatment.

Work Practices

Many studies have implicated staffing patterns as contributors to violence. Both Jones (1985) and Fineberg et al (1988) found that shortage of staff and the reduction of trained, regular staff increased the incidence of violence. Assaults were associated with meal times, visiting times and times of increased staff responsibilities. This suggests that staffing evaluations do not take into account the potential hazards associated with increased activity in the units or for times when transportation of clients is needed. Assaults were also noted at night when staffing is usually reduced. Frequency of exposure to and interaction with patients or clients are known factors which increase a health care or community worker's vulnerability. Work in high crime areas, at an isolated work station or working alone without systems for emergency assistance may increase the risk of assaults. In addition, typical work activities may arouse anger or fear in some patients and result in acts of violence. Long waits in emergency rooms and inability to obtain needed services are seen as contributors to the problem of violence. This was evidenced in the emergency department shooting in Los Angeles were three doctors were shot by and angry dissatisfied and disturbed client.

Perpetrator and Victim Profile

It is difficult to predict when or which patients/clients will become violent since the majority of assaults are perpetrated by a minority of persons. More acute and untreated mentally ill persons are being admitted to and quickly released from psychiatric hospitals and are in need of intensive outpatient treatment and services. These services are often lacking due to funding cuts. Further, clearly only a small percentage of violence is perpetrated by the mentally ill. Gang members, distraught relatives, drug users, social deviants or threatened individuals are often aggressive or violent.

A history of violent behavior is one of the best indicators of future violence by an individual. This information, however, may not by available, especially for new patients or clients. Even if this information were available, workers not directly involved with the individual client would not have access to it. At times violence is not aimed at the actual care giver. Keep et al (1992) reported on the gun shot death of a nurse and an emergency medical technician student who were targets of a disturbed family member of a patient who died in surgery the previous day.

Workers who make home visits or community work cannot control the conditions in the community, and have little control over the individuals they may encounter in their work. Dillon (1992) reported the shooting death of four county workers in upstate New York and the beating death of a case worker who removed a 7-year-old child from a violent home. The victim of assault is often untrained and unprepared to evaluate escalating behavior and to know and practice methods of defusing hostility or protecting themselves from violence. Training, when provided is often not required as part of the job and may be offered infrequently. However, using training as the sole safety program element, creates an impossible burden on the employee for safety and security for him or herself, co-workers or other clients. Personal protective measures may be needed and communication devices are often lacking.

B. Cost of Violence

Little has been done to study the cost to employers and employees of work-related injuries and illnesses, including assaults. A few studies have shown an increase in assaults over the past two decades. Adler et al, (1983) reported 422 work days lost over a two year period due to violence to 28 workers, an increase from the previous two years in which 11 workers lost 62 work days. Carmel & Hunter (1989) reported that of 121 workers sustaining 134 injuries, 43% involved lost time from work with 13% of those injured missing more than 21 days from work. In this same investigation, an estimate of the costs of assault was that the 134 injuries from patient violence cost $766,000 and resulted in 4,291 days lost and 1,445 days of restricted duty. Lanza and Milner (1989) reported 78 assaults during a 4 month period. If this pattern were repeated for the remainder of the year, 312 assaults could be expected with a staggering cost per year from medical treatment and lost time. Additional costs may result from security or response team time, employee assistance program or other counseling services, facility repairs, training and support services for the unit involved, modified duty, and reduction of effectiveness of work productivity in all staff due to a heightened awareness of the potential for violence.

True rates of violence at health care and community service facilities however, must be assumed to be higher than documented rates. Episodes of violence are often unreported. If reported, records are not necessarily maintained. Nurses and other health care professionals are reluctant to report assaults or threatening behavior when the prevailing attitude of administrators and supervisors and sometimes other staff members, is that violence "comes with the territory" or "health professionals accept the risk when they enter the field." Administrators, peers and even the victims themselves, may initially assume that the violent act resulted from a failure to deal effectively or therapeutically with the client or patient and thus attribute the incident to professional incompetence. Lanza and Carifio (1991) in a study to determine causal attributions made to nurses who are victims of assault found that women are blamed more than men and that if injured, "the nurse must have done something wrong."

In addition to the blame and potential for improper evaluation of the worker's skills, physical and emotional injury may have occurred. Poster and Ryan (1989 a) report that cognitive emotional and physical sequel may be present long after the victim has returned to work. Davidson and Jackson (1985), Lanza (1983 and 1985 b) and Poster and Ryan (1989 a) reported that assaulted workers experience feelings of self-doubt, depression, fear, post-traumatic stress syndrome, loss of sleep, irritability, disturbed relationships with family and peers, decreased ability to function effectively at the workplace, increased absenteeism and flight from the health care profession. The mental costs to the victim of violence should be recognized and even if physical injury did not occur, professional counseling services may be required to aid in an employee's recovery. The articles referenced all describe the need for and the conduct of counseling programs. Ryan and Poster (1989 b) document the benefits of counseling for rapid recovery after assault. The costs to the employee are often unrecognized and thus are not included in any cost accounting of the problem.

White and Hatcher (1988) discuss costs to the organization and the victim of violence pointing to the increased costs due to the "2nd injury" phenomenon of perceived rejection of the victim by the agency, co-workers and even family, resulting in filing of lawsuits. These suits may cause substantial long term costs to the agency.

C. Prevention

Although it is difficult to pin-point specific causes and solutions for the increase in violence in the workplace and in particular health care settings, recognition of the problem is a beginning. Some solutions to the overall reduction of violence in this country may be found in actions such as eliminating violence in television programs, implementing effective programs of gun control, and reducing drug and alcohol abuse. All companies should investigate programs recently instituted by several convenience store chains or robbery deterrence strategies such as increased lighting, closed circuit TV monitors, visible money handling locations, if sales are involved, limiting access and egress and providing security staff.

Other methods of preventing assault may be in expanding the national data base with standardized reporting and information collection systems. It may also be necessary to fund and conduct research on post assault outcomes, the need for rehabilitation for returning to work, the length of employment after assault, and on techniques of preventing injury and death from occupational violence.

In a San Francisco hospital, methods have been developed to attempt to deal with violence issues with the formation of two focus groups. On group, "the Violence Task Force", functions to advise the administration regarding modification of hospital policy toward reducing incidents of violence. The second group, "San Francisco Emergency Workers Critical Incident Stress Debriefing Team", counsels victims of physical, sexual or verbal assault. This group also provides needed support to staff who may be exposed to bloody and brutal scenes in their work environment.

White and Hatcher (1988) have outlined management and medical objectives and responses to violence induced trauma as well as decision trees and checklists to aid in assessing and constructing a response plan. Although not necessarily incident preventing, a response plan should be incorporated into an overall plan of prevention.

Training employees in management of assaultive behavior or professional assault response has been shown by Carmel and Hunter (1990) to reduce the incidence of assaults to hospital staff. Infantino and Musingo (1985) and Blair and New (1991) also found that new and untrained staff were at risk for injury.

Keep and Glibert (1992) report that legislation is being proposed in California to make violence to emergency personnel reportable to local police and criminal charges pressed if there is sufficient evidence. This action is also recommended by Morrison and Herzog (1992) especially in relation to emergency department staff. Other staff of facilities such as psychiatric units should be advised and policies established to assist in the decision of the appropriateness and effectiveness of such action.

Administrative controls and mechanical devices are being recommended and gradually implemented but the problems appear to be escalating. Although long ignored by hospital and other administrators and professionals, the problem of workplace violence is being recognized. Increasing numbers of health care and community service workers, as well as OSHA professionals have come to the conclusion that injuries related to workplace violence should no longer be tolerated. In the past, little was done to protect workers from violence. Currently, as discussed, a variety of health care , community service facilities, unions and researchers are seeking solutions to the problem. Managers and administrators are being advised to make the provision of adequate measures to prevent violence a high priority. Some safety measures may seem expensive or difficult to implement, but are needed to adequately protect the health and well being of health care and community service workers. It is also important to recognize that the belief that certain risks are "part of the job" contributes to the continuation of violence and possibly the shortage of trained health care and community service workers.

Cal/OSHA recognizes its obligation to develop standards and guidelines to provide safe workplaces for health care and community service workers. These workplaces should be free from health and safety hazards, including fear and the threat of assaults. The Injury and Illness Prevention Program as defined under the General Industry Safety Order, Section 3203, requires all employers to develop an Injury and Illness Prevention Program for hazards unique to their place of employment. This Injury and Illness Prevention Program should provide the framework for each employer's program of preventing assaults - one of the major hazards of work in health care and community service and perhaps in the community as a whole.

These Cal/OSHA guidelines are designed to assist managers and administrators in the development and implementation of programs to protect their workers. While not exhaustive, these guidelines include philosophical approaches as well as practical methods to prevent and control assaults. The potential for violence may always exist for health care and community service workers, whether at large medical centers, community based drug treatment programs, mental health clinics, or for workers making home visits in the community. Because of the potential for injury to workers, health care and community service organizations must comply with Title 8 of the CCR, Section 3203. This regulation requires an Injury and Illness Prevention Program which stipulates that responsible persons perform worksite analyses, identify sentinel events, and establish controls and training programs to reduce or eliminate hazards to worker health and safety. We anticipate more states and Federal OSHA will eventually follow suite.

Many health care providers, researchers, educators, unions and OSHA enforcement professionals contributed to the development of these guidelines. The cooperation and commitment of employers is necessary, however, to translate these guidelines into an effective program for the occupational health and safety of health care and community service workers.

II. PROGRAM DEVELOPMENT

The guidelines are divided into two major divisions: 1) General provisions and program development. 2) Specific work setting requirements. General provisions and program development include provisions that must be adopted by all high risk industries to assess risk and to develop needed programs.

Within the specific work setting, guidelines will be subdivided into (a) engineering controls, (b) work practices, (c) personal protective measures, and (d) individualized training measures by major work site category, i.e. inpatient psychiatric hospitals and psychiatric units, hospital and emergency rooms, outpatient facilities and community workers.

A. General Program Essentials

1. Management Commitment and Employee Involvement

Commitment and involvement are essential elements in any safety and health program. Management provides the organizational resources and motivating forces necessary to deal effectively with safety and security hazards. Employee involvement, both individually and collectively, is achieved by encouraging participation in the worksite assessment, developing clear effective procedures and identifying existing and potential hazards. Employee knowledge and skills should be incorporated into any plan to abate and prevent safety and security hazards.

a. Commitment by Top Management

The implementation of an effective safety and security program includes a commitment by the employer to provide the visible involvement of administrators of hospitals, clinics and agencies, so that all employees, from managers to line workers, fully understand that management has a serious commitment to the program. An effective program should have a team approach with top management as the team leader, and should include the following:

i. The demonstration of management's concern for employee emotional and physical safety and health by placing a high priority on eliminating safety and security hazards.

ii. A policy which places employee safety and health on the same level of importance as patient/client safety. The responsible implementation of this policy requires management to integrate issues of employee safety and security with restorative therapeutic services to assure that this protection is part of the daily hospital/clinic or agency activity.

iii. Employer commitment to security through the philosophical refusal to tolerate violence in the institution and to employees and the assurance that every effort will be made to prevent its occurrence.

iv. Employer commitment to assign and communicate the responsibility for various aspects of safety and security to supervisors, physicians, social workers, nursing staff and other employees involved so that they know what is expected of them. Also to ensure that record keeping is accomplished and utilized using good principles of epidemiology to aid in meeting program goals.

v. Employer commitment to provide adequate authority and resources to all responsible parties so that assigned responsibilities can be met.

vi. Employer commitment to insure that each manager, supervisor, professional and employee responsible for the security and safety program in the workplace is accountable for carrying out those responsibilities.

vii. Employer develops and maintains a program of medical and emotional health care for employees who are assaulted or suffer abusive behavior.

viii. Development of a safety committee in keeping with requirements of GISO 3203 and which evaluates all reports and records of assaults and incidents of aggression. When this committee makes recommendations for correction, the employer reports back to the committee in a timely manner on actions taken on the recommendation.

b. Employee Involvement

An effective program includes a commitment by the employer to provide for, and encourage employee involvement in the safety and security program and in the decisions that affect worker safety and health as well as client well-being. Involvement may include the following:

i. An employee suggestion/complaint procedure which allows workers to bring their concerns to management and receive feedback without fear of reprisal or criticism of ability.

ii. Employees follow a procedure which requires prompt and accurate reporting of incidents with or without injury. If injury has occurred, prompt first aid or medical aid must be sought and treatment provided or offered.

iii. Employees participate in a safety and health committee that receives information and reports on security problems, makes facility inspections, analyzes reports and data and makes recommendations for corrections.

iv. Employees participate in case conference meetings, and present patient information and problems which may help employees to identify potentially violent patients and discuss safe methods of managing difficult clients (identification of potential perpetrators).

v. Employees participate in security response teams that are trained and possess required professional assault response skills.

vi. Employees participate in training and refresher courses in professional assault response training such as to learn techniques of recognizing escalating agitation, deflecting or controlling the undesirable behavior and, if necessary, of controlling assaultive behavior, protecting clients and other staff members.

vii. Participation in training as needed in non-hospital work settings, such as "dealing with the hostile client" or even the police department program of "personal safety" should be provided and required to be attended by all involved employees.

2. Written Program

Effective implementation requires a written program for job safety, health and security that is endorsed and advocated by the highest level of management and professional practitioners or medical board. This program should outline the employer's goals and objectives. The written program should be suitable for the size, type and complexity of the facility and its operations and should permit these guidelines to be applied to the specific hazardous situation of each health care unit or operation.

The written program should be communicated to all personnel regardless of number of staff or work shift. The program should establish clear goals and objectives that are understood by all members of the organization. The communication needs to be extended to physicians, psychiatrists, etc. and all levels of staff including housekeeping, dietary and clerical.

3. Regular Program Review and Evaluation

Procedures and mechanisms should be developed to evaluate the implementation of the security program and to monitor progress. This evaluation and recordkeeping program should be reviewed regularly by top management and the medical management team. At least semiannual reviews are recommended to evaluate success in meeting goals and objectives. This will be discussed further as part of the recordkeeping and evaluation.

III. PROGRAM ELEMENTS

An effective occupational safety and health program of security and safety in medical care facilities and community service includes the following major program elements: (i) worksite analysis, (ii) hazard prevention and control, (iii) engineering controls, (iv) administrative controls, (v) personal protective devices, (vi)medical management and counseling, (vii) education and training, (viii) recordkeeping and evaluation.

A. Worksite Analysis

Worksite analysis identifies existing hazards and conditions, operations and situations that create or contribute to hazards, and areas where hazards may develop. This includes close scrutiny and tracking of injury/illness and incident records to identify patterns that may indicate causes of aggressive behavior and assaults.

the objectives of worksite analyses are to recognize, identify, and to plan to correct security hazards. Analysis utilizes existing records and work site evaluations including:

1. Record Review

a. Analyze medical, safety, and insurance records, including the OSHA 200 log and information compiled for incidents or near incidents of assaultive behavior from clients or visitors. This process should involve health care providers to ensure confidentiality of records of patients and employees. this information should be used to identify incidence, severity and establish a base line for identifying change.

b. Identify and analyze any apparent trends in injuries relating to particular departments, units, job titles, unit activities or work stations, activity or time of day. It may include identification of sentinel events such as threatening of providers of care or identification and classification of clients anticipated to be aggressive.

2. Identification of Security Hazards

Worksite analysis should use a systematic method to identify those areas needing in-depth scrutiny of security hazards. This analysis should do the following:

a. Identify those work positions in which staff is at risk of assaultive behavior.

b. Use a checklist for identifying high risk factors that includes components such as type of client, physical risk factors of the building, isolated locations/job activities, lighting problems, high risk activities or situations, problem clients, uncontrolled access, and areas of previous security problems.

c. Identify low risk positions for light or relief duty or restricted activity work positions when injuries do occur.

d. Determine if risk factors have been reduced or eliminated to the extent feasible. Identify existing programs in place and analyze effectiveness of those programs, including engineering control measures and their effectiveness.

e. Apply analysis to all newly planned and modified facilities, or any public services program to ensure that hazards are reduced or eliminated before involving patients/clients or employees.

f. Conduct periodic surveys at least annually or whenever there are operation changes, to identify new or previously unnoticed risks and deficiencies and to assess the effects of changes in the building designs, work processes, patient services and security practices. Evaluation and analysis of information gathered and incorporation of all this information into a plan of correction and on going surveillance should be the result of the work site analysis.

B. Hazard Prevention and Control

Selected work settings have been utilized for discussion of methods of reducing hazards. Each of the selected work situations - psychiatric hospitals and psychiatric wards, hospitals and emergency rooms, outpatient facilities and community work settings will be addressed with general engineering concepts, specific engineering and administrative controls, work practice controls and personal protective equipment as appropriate to control hazards. These methods are contained in B through F.

1. Engineering, Administrative & Work Practice Controls For All Settings

a. General Building, Work Station and Area Designs

Hospital, clinic, emergency room and nurse's station designs are appropriate when they provide secure, well-lighted protected areas which do not facilitate assaults or other uncontrolled activity.

i. Design of facilities should ensure uncrowned conditions for staff and clients. Rooms for privacy and protection, avoiding isolation are needed. For example, doors must be fitted with windows. Interview rooms for new patients or known assaultive patients should utilize a system which provides privacy but which may also permit other staff to see activity. In psychiatric units "time out" or seclusion rooms are needed. In emergency departments, rooms are needed in which agitated patients may be confined safely to protect themselves, other clients and staff.

ii. Patient care rooms and counseling rooms should be designed and furniture arranged to prevent entrapment of the staff and/or reduce anxiety in clients. Light switches in patient rooms should be located outside the room. Furniture may be fixed to the floor, soft or with rounded edges and colors restful and light.

iii. Nurse's stations should be protected by enclosures which prevent patients from molesting, throwing objects, reaching into the station or otherwise creating a hazard or nuisance to staff: such barriers should not restrict communication but should be protective.

iv. Lockable and secure bathroom facilities and other amenities must be provided for staff members separate from client restrooms.

v. Client access to staff counseling rooms and other facility areas must be controlled; that is, doors from client waiting rooms must be locked and all outside doors locked from the outside to prevent unauthorized entry, but permit exit in cases of emergency or fire.

vi. Meal bars or protective decorative grating on outside ground level windows should be installed (in accordance with fire department codes) to prevent unauthorized entry.

vii. Bright and effective lighting systems must be provided for all indoor building areas as well as grounds around the facility and especially in the parking areas.

viii. Curved mirrors should be installed at intersections of halls or in areas where an individual may conceal his or her presence.

ix. All permanent and temporary employees who work in secured areas should be provided with keys to gain access to work areas when ever on duty.

x. Metal detectors should be installed to screen patients and visitors in psychiatric facilities. Emergency rooms should have available hand held metal detectors to use in identifying weapons.

b. Maintenance

i. Maintenance must be an integral part of any safety and security system. Prompt repair and replacement programs are needed to ensure the safety of staff and clients. Replacement of burned out lights, broken windows, etc. is essential to maintain the system in safe operating conditions.

ii. If an alarm system is to be effective, it must be used ,tested and maintained according to strict policy. Any personal slam devices should be carried and tested as required by the manufacturer and facility policy. Maintenance on personal and other alarm systems must take place monthly. Batteries and operation of the alarm devices must be checked by a security office to insure the function and safety of the system as prescribed by provisions of GISO 6184.

iii. Any mechanical device utilized for security and safety must be routinely tested for effectiveness and maintained on a scheduled basis.

C. Psychiatric Hospital/In-Patient Facilities

1. Engineering Control

Alarm systems are imperative for use in psychiatric units, hospitals, mental health clinics, emergency rooms, or where drugs are stored. Whereas alarm systems are not necessarily preventive, they may reduce serious injury when a client is escalating in abusive behavior or threatening with or without a weapon.

a. Alarm systems which rely on the use of telephones, whistles or screams are ineffective and dangerous. A proper system consists of an electronic device which activates an alert to a dangerous situation in two ways, visually and audibly. Such a system identifies the location of the room or action of the worker by means of an alarm sound and a lighted indicator which visually identifies the location. In addition, the alarm should be sounded in a security area or other response team areas which will summon aid. This type of alarm system typically utilizes a pen like device which is carried by the employee and can be triggered easily in an emergency situation. This system should be in accord with provisions of California Title 8, GISO Section 6184, Emergency Alarm Systems (State of California, Department of Industrial Relations GISO). Back up security personnel must be available to respond to the alarm.

b. "Panic buttons" are needed in medicine rooms, nurses’ stations, stairwells, and activity rooms. Any such alarm system may incorporate a telephone paging system in order to direct others to the location of the disturbance but alarm systems must not depend on the use of a telephone to summon assistance.

c. Video screening of high risk areas or activities may be of value and permits one security guard to visualize a number of high risk areas, both inside and outside the building.

d. Metal detection systems such as hand held devices or other systems to identify persons with hidden weapons should be considered. These systems are in use in courts, boards of supervisors, some Departments of Public Social Service, schools and emergency rooms. Although controversial, the fact remains that many people including homeless and mentally ill persons do or are forced to carry weapons for defense while living on the streets. Some system of identifying persons who are carrying guns, knives, ice picks, screw drivers, etc., may be useful and should be considered. In psychiatric facilities, patients who have been on leave or pass should be screened upon return for concealed weapons.

2. Administrative Controls

A sound overall security program includes administrative controls that reduce hazards form inadequate staffing, insufficient security measures and poor work practices.

a. In order to enable staff members to identify and deal effectively with clients who behave in a violent manner, the administrator must insist on plans for patient treatment regimens and management of clients which include a gradual progression of measures given to staff to prevent violent behavior from escalating. These measures should not encourage inappropriate use of medication, restraints or isolation. However, the least restrictive yet appropriate and effective plan for preventing a client from injuring staff, other clients and self must be developed and be part of every unit and care plan. This enables a staff member to take primary prevention steps to stop escalating aggressive behavior. These procedures should cover verbal or physical threats or acting out of disturbed clients to help both the client and staff to feel a sense of control within the unit.

b. Security guards must be provided. These security guards should be assigned to areas where there may be psychologically stressed clients such as emergency rooms or psychiatric services.

c. In order to staff safely, a written acuity system should be established that evaluates the level of staff coverage vis-a-vis patient acuity and activity level. Staffing of units where aggressive behavior may be expected should be such that there is always an adequate, safe staff/patient ratio. The provision of reserve or emergency teams should be utilized to prevent staff members being left with inadequate support (regardless of staffing quotas) or overwhelmed by circumstances of case load that would prevent adequate assessment of severity of illness. This also requires administrators to analyze and to identify times or areas where hostilities take place and provide a backup team of staff at levels which are safe, such as in admission units, crisis or acute units or during the night hours or meal times or any other time or activity identified as high risk.

Provision of sufficient staff of r interaction and clinical activity is important because patients/clients need access to medical assistance from staff. Possibility of violence often threatens staff when the structure of the patient/nurse relationship is weak. Therefore, sufficient staff members are essential to allow formation of therapeutic relationships and a safe environment.

d. It is necessary to establish on-call teams, reserve or emergency teams of staff who may provide services in hospitals such as, responding to emergencies, transportation or escort services, dining room assistance, or many of the other activities which tend to reduce available staff where assigned.

e. All oncoming staff or employees should be provided with a census report which indicates precautions for every client. Methods must be developed and enforced to inform float staff, new staff members or oncoming staff at change of shifts of any potential assaultive behavior problems with clients. These methods of identification should include chart tags, log books, census reports and/or any other information system within the facility. Other sources of information may include mandatory provision of probation reports of clients who may have had a history of violent behavior. However, the need for a program of "Universal Precautions for Violence" must be recognized and integrated in any patient care setting.

f. Staff members should be instructed to limit physical intervention in altercations between patients whenever possible, unless there are adequate numbers of staff or emergency response teams, and security called. In the case where serious injury is to be prevented, emergency alarm systems should always be activated. Administrators need to give clear messages to clients that violence is not permitted. Legal charges may be pressed against clients who assault other clients or staff members. Administrators should provide information to staff who wish to press charges against assaulting clients.

g. Policies must be provided 3with regard to safety and security of staff when making rounds for patient checks, key and door opening policy, open vs. locked seclusion policies, evacuation policy in emergencies and for patients in restraints. Monitoring high risk patients at nigh and whenever behavior indicates escalating aggression, needs to be addressed in policy as well as medical management protocols.

h. Escort services by security should be arranged so that staff members should not have to walk alone in parking lots or other parking areas in the evening or late hours.

i. Visitors and maintenance persons or crews should be escorted and observed while in any locked facility. Often they have tools or possessions which could be inadvertently left and inappropriately used by clients.

j. Administrators need to work with local police to establish liaison and response mechanisms for police assistance when calls are made for help by a clinic or facility, and conversely to facilitate the hospital's provisions of assistance to local police in handling emergency cases.

k. Assaultive clients may need to be considered for placement in more acute units or hospitals where greater security may be provided. It is not wise to force staff members to confront a continuingly threatening client, nor is it appropriate to allow aggressive behavior to go unchecked. Some programs may have the option of transferring clients to acute units, criminal units or to other more restrictive settings.

3. Work Practice Controls

a. Clothing should be worn which may prevent injury, such as low heeled shoes, use of conservative earrings or jewelry and clothing which is not provocative.

b. Keys should be inconspicuous and worn in such a manner to avoid incidents yet be readily available when needed.

c. Personal alarm systems described under engineering controls must be utilized by staff members and tested as scheduled.

d. No employee should be permitted to work alone in a unit or facility unless back up is immediately available.

D. Clinics and Outpatient Facilities

1. Engineering Controls

a. An emergency personal alarm system is of the highest priority. An alarm system may be of two types: the personal alarm device as identified under hospitals and in-patient facilities or the type which is triggered at the desk of the counselor or medical staff. This desk system may be silent in the counseling room, but audible in a central assistance area and must clearly identify the room in which the problem is occurring. "Panic buttons" are needed in medicine rooms, bathrooms and other remote areas such as stairwells, nurses’ stations, activity rooms, etc.

Such systems may use a back-up paging or public address system on the telephone in order to direct others to the location for assistance but alarm systems must not depend on the use of a telephone to summon assistance.

b. Maintenance is required for alarm systems as outlined in GISO, Section 6184.

c. Reception areas should be designed so that receptionist and staff may be protected by safety glass and locked doors to the clinic treatment areas.

d. F8urniture in crises treatment areas and quiet rooms should be kept to a minimum and be fixed to the floor. These rooms should have all equipment secured in locked cupboards.

e. First aid kits shall be available as required in GISO Section 3400.

All requirements of the Bloodborne Pathogen Standard, GISO Section 5193, apply to clinics where blood exposure is possible.

2. Work Practice and Administrative Controls

a. Psychiatric clients/patients should be escorted to and from waiting rooms and not permitted to move about unsupervised in clinic areas. Access to clinic facilities other than waiting rooms should be strictly controlled with security provisions in effect.

b. Security guards trained in principles of human behavior and aggression should be provided during clinic hours. Guards should be provided where there may be psychologically stressed clients or persons who have taken hostile actions, such as in emergency facilities, hospitals where there are acute or dangerous patients, or areas where drug or other criminal activity is common place.

c. Staff members should be given the greatest possible assistance in obtaining information to evaluate the history of, or potential for, violent behavior in patients. They should be required to treat and/or interview aggressive or agitated clients in open areas where other staff may observe interactions but still provide privacy and confidentiality.

d. Assistance and advice should be sought in case management conferences with co-workers and supervisors to aid in identifying treatment of potentially violent clients. Whenever an agitated client or visitor is encountered, treatment or intervention should be provided when possible to defuse the situation. However, security or assistance should be requested to assist in avoiding violence.

e. No employee should be permitted to work or stay in a facility or isolated unit when they are the only staff member present in the facility, if the location is so solitude that they are unable to obtain assistance if needed, or in the evening or at night if the clinic is closed.

f. Employees must report all incidents of aggressive behavior such as pushing, threatening, etc., with or without injury, and logs maintained recording all incidents or near incidents.

g. Records, logs or flagging charts must be updated whenever information is obtained regarding assaultive behavior or previous criminal behavior.

h. Administrators should work with local police to establish liaison and response mechanisms for police assistance when calls are made for help by a clinic. Likewise, this will also facilitate the clinics provision of assistance to local police in handling emergency cases.

i. Referral systems and pathways to psychiatric facilities need to be developed to facilitate prompt and safe hospitalization of clients who demonstrate violent or suicidal behavior. These methods may include: direct phone link to the local police, exchange of training and communication with local psychiatric services and written guidelines outlining commitment procedures.

j. Clothing and apparel should be worn which will not contribute to injury such as low heeled shoes, use of conservative earrings or jewelry and clothing which is not provocative.

k. Keys should be kept covered and worn in such a manner to avoid incidents, yet be available.

l. All protective devices and procedures should be required to be used by all staff.

E. Emergency Rooms and General Hospitals

1. Engineering Controls

a. Alarm systems or "panic buttons" should be installed at nurses' stations, triage stations. registration areas, hallways and in nurses lounge areas. These alarm systems must be relayed to security police or locations where assistance is available 24 hours per day. A telephone link to the local police department should be established in addition to other systems.

b. Metal detection systems installed at emergency room entrances may be used to identify guns, knives, or other weapons. Lockers can be used to store weapons and belongings or the weapons may be transferred to the local police department for processing if the weapons are not registered. Hand metal detection devices are needed to identify concealed weapons if there is no larger system. Signs posted at the entrance will notify patients and visitors that screening will be performed.

c. Seclusion or security rooms are required for containing confused or aggressive clients. Although privacy may be needed both for the agitated patient and other patients, security and the ability to monitor the patient and staff is also required in any secluded or quiet room.

d. Bullet resistant glass should be used to provide protection for triage, admitting or other reception areas where employees may greet or interact with the public.

e. Strictly enforced limited access to emergency treatment areas are needed to eliminate unwanted or dangerous persons in the emergency room. Doors may be locked or key-coded.

f. Closed circuit TV monitors may be used to survey concealed areas or areas where problems may occur.

2. Work Practices and Administrative Controls

a. Security guards trained in principles of human behavior and aggression must be provided in all emergency rooms. Death and serious injury have been documented in emergency areas in hospitals, but the presence of security persons oft4en reduces the threatening or aggressive behavior demonstrated by patients, relatives, friends, or those seeking drugs. Armed guards must be considered in any risk assessment in high volume emergency rooms.

b. No staff person should be assigned alone in an emergency area or walk-in clinic.

c. After dark, all unnecessary doors are locked, access into the hospital is limited and patrolled by security.

d. A regularly updated policy be in place directing hostile patient management, use of restraints or other methods of management. This policy should be detailed and provide guidelines for progressively restrictive action as the situation calls for.

e. Any verbally threatening, aggressive or assaultive incident must be reported and logged.

f. Name tags need to be worn at all times in the hospital and emergency room. Hospital policy must demand that persons, including staff, who enter into the treatment area of the emergency room have or seek permission to enter the area to reduce the volume of unauthorized individuals.

g. When transferring a hostile or agitated patient (or one who may have relatives, friends or enemies who pose a security problem) to a unit within the hospital, security is required during transport and transfer to the unit. This security presence may be required until the patient is stabilized or controlled to protect staff who are providing care.

h. Emergency or hospital staff who have been assaulted should be permitted and/or assisted to request police assistance or file charges of assault against any patient or relative who injures, just as a private citizen has the right to do so. Being in the helping professions does not reduce the right of pressing charges or damages.

3. General Hospitals

a. Information must be clearly transmitted to the receiving unit of security problems with the patient. Charts must be flagged clearly noting and identifying the security risks involved with this patient.

b. If patients with any disorder or illness have a known history of violent acts, it is incumbent upon the administration to demand health care providers or physicians to disclose that information to hospital staff at the onset of hospitalization.

c. When ever patients display aggressive or hostile behavior to hospital staff members, it must be made part of the care plan that supervisors and managers are notified and protective measures and action are initiated.

d. Prompt medical or emotional evaluation treatment must be made available to any staff who has been subjected to abusive behavior from a client/patient, whether in emergency rooms, psychiatric units or general hospital settings.

e. Visitors should sign in and have an issued pass particularly in newborn nursery, pediatric departments or any other risk departments.

f. Social service/worker staff should be utilized to defuse situations. In-house social workers are an important part of the hospital staff as are employee health staff.

F. Home/Field Operations - Community Service Workers

1. Engineering Controls

a. In order to provide some measure of safety and to keep the employee in contact with headquarters or a source of assistance, cellular car phones should be installed/provided for official use when staff are assigned to duties which take them into private homes and the community. These workers may include (to name a few) parking enforcers, union business agents, psychiatric evaluators, public social service workers, children's' service workers, visiting nurses and home health aides.

b. Hand held alarm or noise devices or other effective alarm devices are highly recommended to be provided for all field personnel.

c. Beepers or alarm systems which alert a central office of problems should be investigated and provided.

d. Other protective devices should be investigated and provided such as pepper spray.

2. Work Practice and Administrative Controls

a. Employees are to be instructed not to enter any location where they feel threatened or unsafe. This decision must be the judgement of the employee. Procedures should be developed to assist the employee to evaluate the relative hazard in a given situation. In hazardous cases, the managers must facilitate and establish a "buddy system". This "buddy system" should be required whenever an employee feels insecure regarding the time of activity, the location of work, the nature of the client’s health problem and history of aggressive or assaultive behavior or potential for aggressive acts.

b. Employers must provide for the field staff, a program or personal safety education. This program should be at the minimum, one provided by local police departments, or other agencies which includes training on awareness, avoidance, and action to take to prevent mugging, robbery, rapes and other assaults.

c. Procedures should be established to assist employees to reduce the likelihood of assaults and robbery from those seeking drugs or money, as well as procedures to follow in the case of threatening behavior and provision for a fail safe back-up in administration offices.

d. A fail safe back-up system is provided in the administrative office at all times of operation for employees in the field who may need assistance.

e. All incidents of threats or other aggression must be reported and logged. Records must be maintained and utilized to prevent future security and safety problems.

f. Police assistance and escorts should be required in dangerous or hostile situations or at night. Procedures for evaluating and arranging for such police accompaniment must be developed and training provided.

IV. MEDICAL MANAGEMENT

A medical program which provides knowledgeable medical and emotional treatment should be established. This program shall assure that victimized employees are provided with the same concern that is often shown to the abusive client. Violence is a major safety hazard in psychiatric and acute care facilities, emergency rooms, homeless shelters and other health care settings and workplaces. Medical and emotional evaluation and treatment are frequently needed but often difficult to obtain.

The consequences to employees who are abused by clients may include death and severe and life threatening injuries, in addition to short and long-term psychological trauma, post traumatic stress, anger, anxiety, irritability, depression, shock, disbelief, self-blame, fear of returning to work, disturbed sleep patters, headache, and change in relationships with co-workers and family. All have been reported by health care workers after assaults, particularly if the attack has come without warning. They may also fear criticism by managers, increase use of alcohol and medication to cope with stress, suffer from feelings of professional incompetence, physical illness, powerlessness, increase in absenteeism, and experience performance difficulties.

Administrators and supervisors have often ignored the needs of the physically or psychologically abused or assaulted staff, requiring them to continue working, obtain medical care from private medical doctors, or blame the individual for irresponsible behavior. Injured staff must have immediate physical evaluations, be removed form the unit and treated for acute injuries. Referral should be made for appropriate evaluation, treatment, counseling and assistance at the time of the incident and for any required follow-up treatment.

A. Medical Services Includes:

1. Provision of prompt medical evaluation and treatment whenever an assault takes place regardless of severity. A system of immediate treatment is required regardless of the time of day or night. Injured employees should be removed form the unit until order has been restored. Transportation of the injured to medical care must be provided if it is not available on-site or in an employee health service. Follow-up treatment provided at no cost to employees must also be provided.

B. Counseling Services

1. A trauma-crisis counseling or critical incident debriefing program must be established and provided on an on-going basis whichever staff are victims of assaults. This "counseling program" may be developed and provided by in-house staff as part of an employee health service, by a trained psychologist, psychiatrist, or other clinical staff members such as a clinical nurse specialist, a social worker or referral may be made to an outside specialist. In addition, peer counseling or support groups may be provided. Any counseling provided should be by well trained psychosocial counselors whether through EAP programs, in-house programs, or by other professionals away from the facility who must understand the issues of assault and its consequences.

2. Reassignment of staff should be considered when assaults have taken place. At times it is very difficult for staff to return to the same unit to face the assailant. Assailants often repeat threats and aggressive behavior and actions need to be taken to prevent this from occurring. Staff development programs should be provided to teach staff and supervisors to be more sensitive to the feelings and trauma experienced by victims of assaults. Some professionals advocate joint counseling sessions including the assaultive client and staff member to attempt to identify the motive when it occurs in inpatient facilities and to defuse situations which may lead to continued problems.

3. Unit staff should also receive counseling to prevent "blaming the victim syndrome" and to assist them with any stress problems they may be experiencing as a result of the assault. Violence often leaves staff fearful and concerned. They need to have the opportunity to discuss these fears and to know that administration is concerned and will take measures to correct deficiencies. This may be called a defusing or debriefing secession and unit staff members may need this activity immediately after an incident to enable them to continue working. First aid kits or materials must be provided on each unit or facility.

4. The replacement and transportation of the injured staff member must be provided for at earliest time. Do not leave a unit short staffed in the event of an assault. The development of an employee health service, staffed by a trained occupational health specialist, may be an important addition to the hospital team. Such employee health staff can provide treatment, arrange for counseling, refer to a specialist and should have procedures in place for all shifts. Employee health nurses should be trained in post traumatic counseling and may be utilized for group counseling programs or other assistance programs.

5. Legal advice regarding pressing charges should be available, as well as information regarding workers compensation benefits, and other employee rights must be provided regardless of apparent injury. If assignment to light duty is needed or disability is incurred, these services are to be provided without hesitation. Reporting to the appropriate local law enforcement agency and assistance in making this report is to be provided. Employees may not be discouraged or coerced when making reports or workers' compensation claims.

6. All assaults must be investigated, reports made and needed corrective action determined. However, methods of investigation must be such that the individual does not perceive blame or criticism for assaultive actions taken by clients. The circumstances of the incident or other information which will help to prevent further problems, needs to be identified, but not to blame the worker for incompetence and compound the psychological injury which is most commonly experienced.

V. RECORDKEEPING

Within the major program elements, recordkeepiing is the heart of the program, providing information for analysis, evaluation of methods of control, severity determinations, identifying training needs and overall program evaluations.

Records shall be kept of the following:

1. OSHA 300 log. OHSA regulations require entry on the Injury and Illness Log, of any injury which requires more than first aid, is a lost time injury, requires modified duty, or causes loss of consciousness. Assaults should be entered on the log. Doctors' reports of work injury and supervisor’s reports shall be kept of each recorded assault.

2. Incidents of abuse, verbal attacks or aggressive behavior which may be threatening to the worker but not resulting in injury, such as pushing, shouting, or an act of aggression toward other clients requiring action by staff should be recorded. This record may be an assaultive incident report of documented in come manner which can be evaluated on a monthly basis by department safety committee.

3. A system of recording and communicating should be developed so that all staff who may provide care for an escalating or potentially aggressive, abusive or violent client will be aware of the status of the client and of any problems experienced in the past. This information regarding history of past violence should be noted on the patient's chart, communicated in shift change report and noted in an incident log.

4. An information gathering system should be in place which will enable incorporation of past history of violent behavior, incarceration, probation reports or any other information which will assist health care staff to assess violence status. Employees are to be encouraged to seek and obtain information regarding history of violence whenever possible.

5. Emergency room staff should be encouraged to obtain and record from police and relatives, information regarding drug abuse, criminal activity or other information to adequately assist in assessing a patient. This would enable them to appropriately house, treat and refer potentially violent cases. They should document the frequency of admission of violent clients or hostile encounters with relatives and friends.

6. Records need to be kept concerning assaults, including the type of activity, i.e., unprovoked sudden attack, patient to patient altercation, and management of assaultive behavior actions. Information needed includes who was assaulted, and circumstances of the incident without focusing on any alleged wrong doing of staff persons. These records also need to include a description of the environment, location or any contributing factors, corrective measures identified, including building design, or other measures needed. Determination must be made of the nature of the injuries sustained. Severe, minor or the cause of long term disability, and the potential or actual cost to the facility and employee. Records of any lost time or other factors which may result from the incident should be maintained.

7. Minutes of the safety meetings and inspections shall be kept in accord with requirements of Title 8, Section 3203. Corrective actions recommended as a result of reviewing reports or investigating accidents or inspections need to be documented with the administration's response and completion dates of those actions should be included in the minutes and records.

8. Records of training program contents and sign-in sheets of all attendees should be kept. Attendance records at all "PART" or "MAB" training should be retained. Qualifications of trainers shall be maintained along with records of training.

VI. TRAINING AND EDUCATION

A. General

A major program element in an effective safety and security program is training and education. The purpose of training and education is to ensure that employees are sufficiently informed about the safety and security hazards to which they may be proposed and thus, are able to participate actively in their own and co-workers protection. All employees should be periodically trained in the employer's safety and security program.

Training and education are critical components of a safety and security program for employees who are potential victims of assaults. Training allows managers, supervisors, and employees to understand security and other hazards associated with a job or location within the facility, the prevention and control of these hazards, and the medical and psychological consequences of assault.

1. A training program should include the following individuals:

a. All affected employees including doctors, dentists, nurses, teachers, counselors, psychiatric technicians, social workers, dietary and housekeeping, in short, all health care and community service staff and all other staff members who may encounter or be subject to abuse or assaults from clients/patients.

b. Engineers, security officers, maintenance personnel.

c. Supervisors and managers.

d. Health care providers and counselors for employees and employee health personnel.

2. The program should be designed and implemented by qualified persons. Appropriate special training should be provided for personnel responsible for administering the training program.

3. Several types of programs are available and have been utilized, such as Management of Assaultive Behavior (MAB), Professional Assault Response Training (PART), Police Department Assault Avoidance Programs or Personal Safety training. A combination of such training may be incorporated depending on the severity of the risk and assessed risk. These management programs must be provided and attendance required at least yearly. Updates may be provided monthly/quarterly.

4. The program should be presented in the language and at a level of understanding appropriate for the individuals being trained. It should provide an overview of the potential risk of illness and injuries from assault, the causes and early recognition of escalating behavior or recognition of situations which may lead to assaults. The means of preventing or defusing volatile situations, safe methods of restraint or escape, or use of other corrective measures of safety devices which may be necessary to reduce injury and control behavior are critical areas of training. Methods of self protection and protection of co-workers, the proper treatment of staff and patient procedures, recordkeeping, and employee rights need to be emphasized.

5. The training program should also include a means for adequately evaluating its effectiveness. The adequacy of the frequency of training should be reviewed. The whole program evaluation may be achieved by using employee interviews, testing and observing and/or reviewing reports of behavior of individuals in situations that are reported to be threatening in nature.

6. Employees who are potentially exposed to safety and security hazards should be given formal instruction on the hazards associated with the unit of job and facility. This includes information on the types of injuries or problems identified in the facility, the policy and procedures contained in the overall safety program of the facility, those hazards unique to the unit or program, and the methods used by the facility to control the specific hazards. The information should discuss the risk factors that cause or contribute to assaults, etiology of violence and general characteristics of violent people, methods of controlling aberrant behavior, methods of protection, and reporting procedures and methods to obtain corrective action.

Training for affected employees should consist of both general and specific job training. "Specific job training" is contained in the following section or may be found in administrative controls in the specific work location section.

B. Job Specific Training

New employees and reassigned workers or registry staff should receive an initial orientation and hands-on-training prior to being placed in a treatment unit or job. Each new employee should receive a demonstration of alarm systems and protective devices and the required maintenance schedules and procedures. The training should also contain the use of administrative or work practice controls to reduce injury.

1. The initial training program should include:

a. Care, use and maintenance of alarm tools and other protection devices.

b. Location and operation of alarm systems.

c. MAB, PART, or other training.

d. Communication systems and treatment plans.

e. Policies and procedures for reporting incidents and obtaining medical care and counseling.

f. Injury and Illness Prevention Program.

g. Hazard Communication Program.

h. Bloodborne Pathogen Program if applicable.

i. Rights of employees, treatment of injury and counseling programs.

2. On-the-job training should emphasize employee development and use of safe and efficient techniques, methods of deescalating aggressive behavior, self protection techniques, methods of communicating information which will help other staff to protect themselves and discussions of rights of employees vis-a-vis patient rights.

3. Specific measures at each location, such as protective equipment, location and use of alarm systems, determination of when to use the buddy system and so on as needed for safety, must be part of the specific training.

4. Training unit co-workers from the same unit and shift may facilitate team work in the work setting.

C. Training for Supervisors and Managers Maintenance & Security Personnel

1. Supervisors and managers are responsible for ensuring that employees are not placed in assignments that compromise safety and that employees feel comfortable in reporting incidents. They must be trained in methods and procedures which will reduce the security hazards and train employees to behave compassionately with co-workers when an incident does occur. They need to ensure that employees of safe work practices and receive appropriate training to enable them to do this. Supervisors and managers therefore, should undergo training comparable to that of the employee and such additional training as will enable them to recognize a potentially hazardous situation, make changes in the physical plant, patient care treatment program, staffing policy and procedures, or other such situations which are contributing to hazardous conditions. They should be able to reinforce the employer's program of safety and security, assist security guards when needed and train employees as the need arises.

2. Training for engineers and maintenance should consist of an explanation or a discussion of the general hazards of violence, the prevention and correction of security problems and personal protection devices and techniques. They need to be acutely aware of how to avoid creating hazards in the process of their work.

3. Security personnel need to be recruited and trained whenever possible for the specific job and facility. Security companies usually provide general training on guard or security issues. However, specific training by the hospital or clinic should include psychological components of handling aggressive and abusive clients, types of disorders and the psychology of handling aggression and defusing hostile situations. If weapons are utilized by security staff, special training and procedures need to be developed to prevent inappropriate use of weapons and the creation of additional hazards.

VII. EVALUATION OF THE PROGRAM

Procedures and mechanisms should be developed to evaluate the implementation of the safety and security programs and to monitor progress and accomplishments. Top administrators and medical directors should review the program regularly. Semi-annual reviews are recommended to evaluate success in meeting goals and objectives. Evaluation techniques include some of the following:

A. Establishment of a uniform reporting system and regular review of reports.

B. Review of reports and minutes of safety and security committee.

C. Analyses of trends and rates in illness/injury or incident reports.

D. Survey employees.

E. Before and after surveys/evaluations of job or worksite changes or new systems.

F. Up to date records of job improvements or programs implemented.

G. Evaluation of employee experiences with hostile situations and results of medical treatment programs provided. Follow up should be repeated several weeks and several months after an incident.

Results of management's review of the program should be a written progress report and program update which should be shared with all responsible parties and communicated to employees. New or revised goals arising from the review identifying jobs, activities, procedures and departments should be shared with all employees. Any deficiencies should be identified and corrective action taken. Safety of employees should not be given a lesser priority than client safety as they are often dependent on one another. If it is unsafe for employees, the same problem sill be the source of risk to other clients or patients.

Managers, administrators, supervisors, medical and nursing directors should review the program frequently to reevaluate goals and objectives and discuss changes. Regular meetings with all involved including the safety committee, union representatives and employee groups at risk should be held to discuss changes in the program.

If we are to provide a safe work environment, it must be evident from administrators, supervisors, and peer groups that hazards from violence will be controlled. Employees in psychiatric facilities, drug treatment programs, emergency rooms, convalescent homes, community clinics or community settings are to be provided with a safe and secure work environment and injury from assault is not to be accepted or tolerated and is no longer "part of the job".

SECTION IV H: DISASTER RECOVERY/EMERGENCY PREPARATION

What is Emergency Management?

Source: FEMA

In its simplest terms, emergency management may be as simple as a homeowner responding to a broken water pipe and a flooded basement. Depending on the homeowner’s abilities and resources, he or she may handle the emergency and restore services to normal without anyone else’s help. In so doing, the homeowner has managed the emergency.

Routine Emergencies

Routine emergencies are daily situations faced by citizens and local emergency services personnel. For example, when firefighters respond to a call, they are managing an emergency. When the emergency medical services (EMS) unit responds to a home or arrives at the scene of a traffic accident, the EMS unit is managing an emergency.

Non-routine Emergencies

Emergency management programs at the local level are responsible for providing overall pre-disaster planning and other programs such as training and exercises for natural and man-caused disasters that can affect a community. They are the first line of defense in coordinating a large-scale event, such as a hurricane or an earthquake, in any community to ensure an effective response to and recovery from such events.

Response

As shown in the diagram above, while responsibility for responding to emergencies and disasters begins at the nearest level, the next level of response is activated when resources and capabilities are exhausted. At the most basic level, if a homeowner cannot extinguish a fire, the homeowner will call the local fire department. If a local community is overwhelmed and cannot respond to a disaster, it asks the state for assistance. Similarly, when the state’s resources are exhausted it will turn to the federal government for assistance. This relationship is spelled out in the Robert T. Stafford Disaster Relief and Emergency Assistance Act, as amended, which can be found at library/stafact.

It is the intent of Congress, by this Act, to provide an orderly and continuing means of assistance by the federal government to state and local governments in carrying out their responsibilities to alleviate the suffering and damage which result from […] disasters (Sec. 101(b).

Common Perception of Emergency Management

The average person probably thinks of emergency management in terms of a natural disaster such as a hurricane, tornado, flood, or ice storm. However, emergency management also embraces man-made disasters such as hazardous materials spills, major transportation accidents, large fires, and, as we recently and unfortunately saw, terrorist events.

Regardless of the type of hazard, it is the responsibility of emergency management to help put in place mitigation, preparedness, response, and recovery programs to deal with these hazards.

Government and private organizations have performed the functions of emergency management for decades (for example, Ben Franklin formed the first fire department more than 200 years ago), but only recently did this broader all-hazards approach emerge.

Comprehensive Emergency Management

In this course, the concept used for handling all types of disasters and their consequences is called “comprehensive emergency management” (CEM). CEM was institutionalized with the creation of the Federal Emergency Management Agency (FEMA) in 1979. FEMA emerged from the consolidation of five federal agencies, each dealing separately with an aspect of large-scale emergencies.

Since that time many state, local, and tribal governments have accepted CEM and changed the names of their organizations to include the words “emergency management.”

More importantly, the name change reflects a switch in orientation from preparedness for single hazards or narrowly defined categories of hazards toward an all-hazards approach—attack, natural, and man-made—to potential threats to life and property. As Congress and FEMA have been quick to point out, this change reflects not a reduction in security, but an increased emphasis on making the nation’s emergency management capability responsive to any and all major emergencies, including national security threats.

This expansion into new hazard areas was not the only change the introduction of the concept “comprehensive emergency management” brought about. Three other closely related concepts came out of this transformation. Let’s briefly review each one. The first was the all-hazards approach.

Concept 1: All Types of Hazards

The commonalties among all types of man-made and natural disasters suggest strongly that many of the same management strategies will apply to all such emergencies. So in a real sense, planning for one means planning for all.

The second was the need for a stronger partnership between the federal and the state governments.

Concept 2: An Emergency Management Partnership

The burden of disaster management, and the resources to deal with it, require a close working partnership among all levels of government (federal, tribal, regional, state, county, and local) and the private sector (business and industry, voluntary organizations, and the general public). This makes sense, because disasters have no boundaries.

Concept 3: An Emergency Lifecycle

Disasters do not just appear one day and go away the next. Rather, they have what we might call an “occurrence cycle.” This cycle entails a series of management phases that include strategies to mitigate hazards and prepare for, respond to, and recover from emergencies and their effects.

Basic Terms

Before going any further, let’s define each word in the expression “comprehensive emergency management.” Let’s first look at the definition of emergency.

Emergency. An emergency is any event that threatens to, or actually does, inflict damage to property or people. Emergencies can be small or large, and we often call large emergencies disasters. Disasters can include hurricanes and floods, explosions and toxic chemical releases, major transportation accidents such as airline crashes, and national security events.

Management. Management simply means a coordinated, organized effort to reach specific goals or objectives. In emergency management, it means a coordinated and organized effort to mitigate against, prepare for, respond to, and recover from an emergency.

Comprehensive. Comprehensive is the word that cements all this together. It clarifies “emergency” by including all kinds of natural and man-made events that adversely affect lives and property, including national security threats. “Comprehensive” broadens the definition of management by suggesting the best mix of resources from federal, state, local, and tribal governments and from business, industry, volunteers, and the public.

The word “comprehensive” also introduces a new dimension into the meaning of emergency management. Earlier we alluded to the fact that disasters have occurrence cycles. In that context we mentioned the terms mitigation, preparedness, response, and recovery. In fact, these are really four different emergency management phases.

As we said earlier, disasters don’t just suddenly appear. A hazard exists, but it may take some event or accident to turn it into a disaster. For example, the usually placid river that bisects a town is harmless until torrential rain produces a flood. Propane gas trucks pass through the town on a daily basis, but equipment failure or human error can turn a routine gas delivery into a disaster.

One of the basic principles of comprehensive emergency management is that we can do something useful about the hazard both before and after the disaster-triggering event occurs. This is why in comprehensive emergency management the four phases of emergency management work together to form an effective protection program.

The Four Phases

Starting with World War II, emergency management focused primarily on preparedness. But being prepared is only one of four phases of comprehensive emergency management. A community also has many opportunities to deal with emergencies before they strike and a responsibility to aid in recovery after a disaster. The four phases are:

1. Mitigation

2. Preparedness

3. Response

4. Recovery

The four phases of comprehensive emergency management appear in a circular relationship to each other. Each phase links to the others. Activities in one phase may overlap those in the previous. Preparedness moves swiftly into response when disaster strikes. Response yields to recovery at different times, depending on the extent and kind of damage. Similarly, recovery should help trigger mitigation, motivating attempts to prevent or reduce the potential for a future disaster. The disaster phases have no beginning or end, so recognition of a threat can motivate mitigation efforts as well as an actual emergency can.

Integrated Emergency Management System (IEMS)

FEMA implements the concept of an all-hazards approach to emergency management in its Integrated Emergency Management System (IEMS). This effort depends on the principles of comprehensive emergency management while focusing on four specific goals:

1. Fostering a full federal, state, local, and tribal government partnership and providing for flexibility at all levels of government for achieving common national goals.

2. Emphasizing implementation of emergency management measures that are known to be effective.

3. Achieving more complete integration of emergency management planning into mainstream state, local, and tribal policy-making and operational systems.

4. Building on the foundation of existing emergency management plans, systems, and capabilities to broaden their applicability to the full spectrum of emergencies.

To accomplish these goals requires a national program rooted in the efforts of the local jurisdictions. In the IEMS approach, a community that has done little toward developing emergency management activities up to now can begin to develop emergency operation plans for those protection options it judges critical to its well-being.

Hazard Assessment

The process begins with a comprehensive community hazard assessment done in conjunction with state and federal personnel, depending on the circumstances. It then proceeds through a capability analysis (identifying shortfalls of resources), and moves to the development of an operations plan.

Plan Development

This plan becomes complete with the development of a number of annexes for each emergency management function and appendices for the unique aspects of individual emergencies, the maintenance of capability, mitigation activities, emergency operations, and evaluation of such operations.

Jurisdictions that have already developed their planning process more fully may only need to review or update a number of the steps in this process.

Within FEMA’s commitment to IEMS rests a commitment to capitalize upon the substantial body of experience in emergency management as well as the vast resources in place in communities throughout our nation.

This course is the first step you, as emergency manager, will take toward participating in the national emergency management system. That involvement begins, most importantly, in your own jurisdiction as you move toward integrated emergency management. As you fulfill your daily activities, ask yourself these questions:

• How does my work relate to public safety from all hazards?

• How can I integrate emergency planning into overall community planning?

• How can I help implement the full partnership of governments and the private sector for emergency management?

Agencies such as your state’s division of emergency management and associations such as the International Association of Emergency Managers can provide valuable links to experienced emergency managers. The Toolkit contains a list of private and public-sector groups involved with emergency management.

IEMS and You

The community that constantly considers ways to improve emergency management through integration with other resources, skills, and knowledge will make significant progress toward improved public safety. IEMS provides the broad outlines and specific tasks to make this happen.

______________________________________________________________________________________

The Emergency Action Plan

Source: South Carolina Department of Labor, Licensing and Regulation

The major elements of an Emergency Action Plan are:

• Alarm/notification system

• Escape routes

• Staging/safe areas

• Accounting for all employees

• Training and instructing employees what to do

The employer should list in detail the procedures to be taken by those employees who have been selected and trained to remain behind to care for essential plant operation until their evacuation becomes absolutely necessary. Essential plant operation may include the monitoring of plant power supplies, water supplies, and other essential services, that cannot be shut down for every emergency alarm. Essential plant operations may also include chemical or manufacturing processes that must be shut down in stages or steps where certain employees must be present to assure that safe shut down procedures are completed.

Escape Routes

The use of floor plans or workplace maps that clearly show the emergency escape routes should be included in the Emergency Action Plan. Color-coding will aid employees in determining their route assignments.

The employer should also develop and explain in detail what rescue and medical first-aid duties are to be performed and by whom. All employees are to be told what actions they are to take in these emergency situations that the employer anticipates may occur in the workplace.

At the time of an emergency, employees should know what type of evacuation is necessary and what their role is in carrying out the Emergency Action Plan. In some cases where the emergency is grave, total and immediate evacuation of all employees is necessary. In other emergencies, a partial evacuation of nonessential employees with a delayed evacuation of others may be necessary for continual plant operations. In some cases, only those employees in the immediate area of the emergency may be expected to evacuate or move to a safe area such as when local application fire suppression system discharge employee alarm is sounded. Employees must be sure that they know what is expected of them in all such emergency possibilities that have been planned in order to provide assurance of their safety from fire or other emergency.

Safe Areas

The designation of refuge or safe areas for evacuation should be determined and identified in the plan. In a building divided into fire zones by firewalls, the refuge area may still be within the same building but in a different zone from where the emergency occurs.

Exterior refuge or safe areas may include parking lots, open fields or streets that are located away from the site of the emergency and that provide sufficient space to accommodate the employees. Employees should be instructed to move away from the exit discharge doors of the building and to avoid congregating close to the building where they may hamper emergency operations.

Evacuation Wardens

The employer should assure that an adequate number of employees are available at all times during work hours to act as evacuation wardens so that employees can be swiftly moved from the danger location to the safe areas. Generally, one warden for each twenty (20) employees in the workplace should be able to provide adequate guidance and instructions at the time of the emergency. The employees selected or who volunteer to serve as wardens should be trained in the complete workplace layout and the various alternative escape routes for the workplace. All wardens and fellow employees should be aware of employees with disabilities who may need extra assistance, such as using the buddy system, and hazardous areas to be avoided during emergencies. Before leaving, wardens should check rooms and other enclosed spaces in the work area for employees who may be trapped or otherwise unable to evacuate the area.

After the evacuation is completed, the wardens should be able to account for or otherwise verify that all employees are in the safe areas.

Multi-Employer Settings

In buildings with several places of employment, employers are encouraged to co-ordinate their plans with the other employers in the building. A building-wide or standardized plan for the whole building is acceptable provided that the employer informs their respective employees of their duties and responsibilities under the plan. Each employer in the multi-employer building need not keep the standardized plan provided that there is an accessible location within the building where the plan can be reviewed by affected employees. When multi-employer building-wide plans are not feasible, employers should co-ordinate their plans with other employers within the building to assure conflicts and confusion are avoided during times of emergencies. In multi-story buildings where more than one employer is on a single floor, it is essential that those employers co-ordinate their plans with each other to avoid conflict and confusion.

__________________________________________________________________________________________

SECTION IV I: WORKPLACE VIOLENCE PREVENTION

How to Resolve Conflicts -- Without Offending Anyone

Source: Online Women's Business Center

If you are having to deal with other people, you will, sooner or later, have to deal with conflict. Conflict is not inherently bad. In fact, conflict simply stems from differing viewpoints. Since no two people view the world exactly the same way, disagreement is quite normal. In fact, anyone who agrees with you all of the time is probably telling you what you want to hear, not what he or she actually believes.

The reason conflict has received such bad press is because of the emotional aspects that come along with it. When there is conflict, it means that there is strong disagreement between two or more individuals. The conflict is usually in relation to interests or ideas that are personally meaningful to either one or both of the parties involved.

Unmanaged conflict can lead to violence and insubordination. Notice I said "unmanaged". The key to managing conflict effectively is to learn the skills necessary to become a good conflict manager.

We are going to examine three main areas where conflicts occur: in interpersonal one-on-one relationships; in meetings; and in negotiations. Although there are similarities between all of these areas, each one takes a slightly different slant depending on the setting the conflict occurs in. Let's take a look at each one in a little more detail and I will show you what I mean.

Conflicts in interpersonal relationships

Sometimes in interpersonal relationships, such as those between you and one of your employees, there may be a conflict that you are not aware of. If someone who is normally upbeat and friendly toward you suddenly begins avoiding you or being rude, there is usually a reason. If the person has remained cheerful with everyone else except you, chances are you are dealing with a conflict situation. In these instances, you will want to address the problem by proceeding through the following steps.

• * Try to determine if there is a problem between you and the other person.

• If you think there is a problem, set up a private face-to-face meeting to discuss the problem with the other person.

• In a nonconfrontational manner, ask the person if there is a problem. If his/her answer is "No", inform the person that you think there is a problem and explain what you think the problem is.

• As you talk, ask for feedback. Do not "attack" the other person with accusations.

• Try to listen to each other with open minds.

• Be sure to respect each other's opinions.

• Take a few minutes to recycle the other person's opinions in your mind.

• Try to determine why the other person felt the way they did.

• Avoid "finger-pointing."

• Try to work out a compromise that pleases both of you.

Conflicts in meetings

Conflicts in meetings can be very disruptive. But they can also be very helpful. Remember, conflicts are disagreements. If the person who is disagreeing with you is raising valid questions, it may benefit the group to address the issues they are presenting. In fact, by listening to them, you may gain valuable insight into what is and what is not working within your organization. However, if the person continues past the point of disagreement to the point of disruptiveness, specific steps should be taken. Below is a list of conflict resolution tactics that you can use for meetings that get "out of control."

• Find some "grain of truth" in the other person's position that you can build upon.

• Identify areas of agreement in the two positions.

• Defer the subject to later in the meeting to handle.

• Document the subject and set it aside to discuss in the next meeting.

• Ask to speak with the individual after the meeting or during a break.

• See if someone else in the meeting has a response or recommendation.

• Present your view, but do not force agreement. Let things be and go on to the next topic.

• Agree that the person has a valid point and there may be some way to make the situation work for both parties.

• Create a compromise.

Conflicts in negotiations

When you are negotiating with your clients, vendors, or even your employees, it is important to always keep in mind the idea that both parties are seeking a Win/Win situation. No one wants to feel like they are giving away something for nothing. In fact, most conflicts arise because one party feels like the other party is taking advantage of them. In order to avoid these types of situations, there are certain principles you can apply to increase your chances of a successful negotiation:

• Avoid defend-attack interaction: non-productive every time!

• Seek more information: ask a lot of questions!

• Check understanding and summarize: make sure that you are understanding everything!

• Try to understand the other person's perspective: communication is more than just listening; try to see it their way!

Rules for disagreeing diplomatically

Regardless of the type of conflict you are dealing with, there are several general rules of thumb you should follow whenever you are trying to bring harmony to a volatile situation. Here they are:

• Reflect your understanding of the other's position or opinion. "I feel, think, want, etc." This says, "I am listening to your opinion and I take your opinion into account before I state mine."

• Let the other person know that you value him/her as a person even though his/her opinion is different from yours. "I understand (appreciate, respect, see how you feel that way, etc.)". This says, "I hear you and respect your opinion."

• State your position or opinion. "I feel, think, want, etc." This says, "I don't agree, but I value you - so let's exchange ideas comfortably, not as a contest for superiority."

To become a good conflict manager requires a lot of practice. Just remember that the goal is to reach a compromise that both of you can live with as well as be happy with. In other words, find a way that both of you can walk away feeling like a winner!

__________________________________________________________________________________________

How to Resolve Conflicts -- Without Offending Anyone

Source: OPM - Office of Personnel Management

Workplace violence — A preventive approach

Across the nation, violence in the workplace is emerging as a significant occupational hazard. All too frequently, employees become victims of violent acts that result in substantial physical or emotional harm. For injured or threatened employees, workplace violence can lead to medical treatment, missed work, lost wages, and decreased productivity.

For many occupations, workplace violence represents a serious occupational risk. Violence at work can take many forms: harassment, intimidation, threats, theft, stalking, assault, arson, sabotage, bombing, hostage-taking, kidnapping, extortion, suicide, and homicide. Homicide is the second leading cause of all job-related deaths and the leading cause of such deaths for women, according to the Bureau of Labor Statistics (1994). For each murder, there are countless other incidents of workplace violence in which victims are threatened or injured.

According to the Bureau of Justice Statistics (BJS), each year almost one million people are victims of violent crime while working. The BJS reports that nearly 500,000 victims of violent crime in the workplace lose an estimated 1.8 million workdays each year and more than $55 million in lost wages, not including days covered by sick and annual leave. These crimes are frequently under-reported because victims consider the matter too minor or too personal to get the police involved. The result is that the statistics do not capture the full impact of violence in the American workplace. The financial costs of assault from injuries, lost work time, and restricted duty are tremendous.

The Law

The Occupational Safety and Health (OSH) Act's General Duty Clause requires employers to provide a safe and healthful working environment for all workers covered by the OSH Act of 1970. Failure to implement the suggestions mentioned in this document is not in itself a violation of the General Duty Clause. If there is a recognized violence hazard in the workplace and employers do not take feasible steps to prevent or abate it, employers can be cited.

Courts have ruled that an employer is liable for the dangerous acts of employees if the employer does not use reasonable care in hiring, training, supervising, or retaining employees in the event such harm was foreseeable. An employer may be liable for the acts of an employee who is intoxicated, or otherwise a risk to others, if the employer exercises control over the employee, and is negligent in exercising that control. Customers, employees, and other people invited on to an employer’s premises may expect the employer to use reasonable care in the maintenance of its premises, including reasonable security precautions and other measures seeking to minimize the risk of foreseeable criminal intrusion (based upon the experience of the employer, or its location in a dangerous area). Under state and federal law, the employer must refrain from retaliation against employees who express their concerns regarding unsafe working conditions, such as threats of violence in the workplace.

In some jurisdictions, an employer, employment counselor, or therapist may have a duty to warn an identified employee, spouse, or third party, of a threat by an employee, co-worker, spouse, or other person, to do bodily harm to that employee, spouse, co-worker, or third party.

If an employer warns employees of an individual’s threat of violence, the employer could be liable for defamation if the employer is subsequently proved to be mistaken. The employer can minimize this liability by conducting a prompt investigation of all allegations and by only notifying those individuals who have a need to know of the risk. Employers may want to Contact legal counsel regarding their rights and responsibilities regarding these and other violence issues. These issues are motivating businesses to develop plans for addressing workplace violence. When compared with the potential costs of an incident, such plans are an inexpensive way to reduce the risk of violence, and to minimize its impact. As previously stated, Safety Insight does not intend to create rules specific to violence in the workplace; but, it can cite employers who fail to adequately protect their workers from acts of violence under the OSHA Act's General Duty Clause (Sec. 5a) that requires employers to maintain a safe workplace.

The Importance of Planning

The central theme which emerges from the shared experience of these specialists from different disciplines is this: While some cases of workplace violence can be dealt with swiftly and easily by a manager with the assistance of just one specialist or one department, most cases can be resolved far more easily and effectively if there is a joint effort which has been planned out in advance by specialists from different disciplines.

Be prepared

Many who have never experienced workplace violence say, I don't need to worry about this. It would never happen in my department. Violent incidents are relatively rare, but they do occur, and lives can be lost. A little preparation and investment in prevention now could save a life. There is no strategy that works for every situation, but the likelihood of a successful resolution is much greater if you have prepared ahead of time. This course is designed to help you do that: Be prepared for violence in the workplace.

Employers can take several steps to reduce the risk of legal liability. For example, they can implement careful hiring, employee evaluation, and discipline procedures; and adopt appropriate workplace security procedures. However, employers must be careful not to violate laws protecting employee privacy rights, civil rights, or rights created by the Americans with Disabilities Act. Employers conducting workplace violence risk assessments might want to consult with legal counsel.

The benefits of a joint effort

The experience of companies who have developed programs has shown that managers are more willing to confront employees who exhibit disruptive and intimidating behavior when they are supported by a group of specialists who have done their homework and are prepared to reach out to others when they know a situation is beyond their expertise. This team approach promotes creative solutions and much needed support for the manager in dealing with difficult situations that might otherwise be ignored.

Deal with disruptive situations

Ignoring a situation usually results in an escalation of the problem. Morale and productivity are lowered; effective employees leave the organization. On the other hand, dealing effectively with situations like hostility, intimidation, and disruptive types of conflict creates a more productive workplace. This can have a deterrent effect on anyone contemplating or prone to committing acts of physical violence. Employees will see that there are consequences for their actions and that disruptive behavior is not tolerated in their organization.

__________________________________________________________________________________________

Initial Assessment and Security Review

Source: OPM Office of Personnel Management

Introduction

There are many different approaches companies can take in developing plans to prevent workplace violence. An approach that works well in one company may not be suitable for another. This module outlines some broad guidelines that can help companies in analyzing their current ability to handle potentially violent situations and filling in any skills gaps that exist.

Conducting an initial assessment through surveys, checklists and analysis of their results can be a great help in determining the effectiveness of current policies/procedures, and the company's ability to handle potentially violent situations is an important and necessary effort. Looking at previous incidents that have occurred at your company and evaluating how effectively they were handled is a good way to start.

Form a Planning Group/Threat Response Team

Successful company violence prevention programs usually start by forming a planning group that may also act as a threat response team that more directly response to incidents. The planning group assesses and evaluates the company's current ability to handle violent incidents and recommends ways to strengthen its response capability.

Typically, members of a planning group include representatives from management and labor, and might also include members from the local community, including:

• Human Resources

• Employee Assistance Program (EAP)

• Union

• Safety

• Health/Medical

• Security/Law Enforcement

While many departments may be represented on the planning group, only a few of them will generally be involved in actually responding to reported incidents. For example, representatives from Human Resources, EAP, and Security often make up an incident response team. Typically, representatives from the other departments will not be involved in responding directly to incidents, but they will act as consultants to the incident response team or play an active role only in certain types of situations.

Staff expertise

Every company will have different areas of staff expertise. Your company may have employees who have special skills that could be put to good use in a potentially violent situation, such as employees who are skilled in mediation, conflict resolution, crisis counseling, investigations, or threat assessment. Identifying departments and individuals ahead of time, working with them in the planning stages, and agreeing on a coordinated response effort is one of the most effective ways of preparing your company to handle potentially violent situations should they arise.

Working with Your Union

If your company has a union, it should involve the union early on in the process of planning workplace violence programs. Unions are the elected representatives of bargaining unit employees and are legally entitled to negotiate over many conditions of employment of those employees. Although some of the substantive issues relating to workplace violence, including issues concerning internal security, may be outside the duty to bargain, this does not mean that consultation and discussion with the union cannot occur.

Union involvement is particularly appropriate where there are labor-management partnership councils. It is a good practice to involve recognized unions up-front, before decisions are made, so that they can have an opportunity both to express employees' concerns and to bring to bear their expertise and knowledge. Union involvement demonstrates both the company's and union's commitment to the success of a workplace violence program.

Defining violence in the workplace

The nature and extent of your organization’s workplace violence program should be based on the results of the initial risk assessment.

First, evaluate past incidents of violence or possible violence (they may not have been classified as “violence”). For example you may not have considered the threatening phone call from an estranged spouse to an employee a “violent incident,” but it was.

It can be helpful when identifying risks in your organization to know that violence is usually classified into three categories, each type requiring different interventions.

Type I - Criminal Act.

This type of violence involves verbal threats, threatening behavior or physical assaults by an assailant who has no legitimate business relationship to the workplace. The person enters the workplace to commit a robbery or other criminal act. Violence by strangers accounts for most of the fatalities related to workplace violence. Workplaces at risk of violence by strangers commonly include late night retail establishments and taxi cabs. Road rage is becoming more common as a possible source of Type I violence affecting workers who drive as a part of their job.

Type II - Recipient of Service.

The person causing violence is either recipient or object of a service provided by workplace. He/she is a current or former client, passenger, or customer.

Type II violence involves verbal threats, threatening behavior or physical assaults by an assailant who either receives services from or is under the custodial supervision of the affected workplace or the victim. Assailants can be current or former customers and clients such as passengers, patients, students, inmates, criminal suspects or prisoners. The workers typically provide direct services to the public, for example, municipal bus or railway drivers, health care and social service providers, teachers and sales personnel. Law enforcement personnel are also at risk of assault from individuals over whom they exert custodial supervision. Violence by customers or clients may occur on a daily basis in certain industries; they represent the majority of non-fatal injuries related to workplace violence.

Type III - Employment Relationship.

The person has an employment-related involvement with the workplace:

• Job related — a current or former employee who is angry about a situation.

Job related violence involves verbal threats, threatening behavior or physical assaults by an assailant such as a current or former employee, supervisor or manager. Any workplace can be at risk of violence by a co-worker. In committing a threat or assault, the individual may be seeking revenge for what is perceived as unfair treatment.

• Non-Job related - a person who has a relationship with a current or former employee.

Domestic violence erupting at work is one of the most common types of workplace violence and involves verbal threats, threatening behavior or physical assaults by an assailant who, in the workplace, confronts an individual with whom he or she has or had a personal relationship outside of work. Personal relations include a current or former spouse, lover, relative, friend or acquaintance. The assailant's actions are motivated by perceived difficulties in the relationship or by psychosocial factors that are specific to the assailant.

Determining risk factors for workplace violence

The types of violence identified in the previous section illustrate different characteristics of workplace violence and the ways violence may present itself. The significance of these types is that each involves somewhat different risk factors and means of preventing or responding to the potential violent incident.

A risk factor is a condition or circumstance that may increase the likelihood of violence occurring in a particular setting. For instance, handling money in a retail service makes that workplace a more likely target for robbery, the most common kind of violence by strangers in the workplace. An attorney's office, where all payments are received by check and money is not directly handled, would not present the same kind of target and would not be at the same degree of risk of violence due to the handling of money.

Each risk factor only represents a potential for an increased likelihood of violence. No risk factor, or combination of risk factors, guarantees that violence will occur or that its incidence will increase. However, the presence of the risk factors listed below, particularly of several in combination, increases the likelihood that violence will occur.

• Do employees have Contact with the public?

• Does an exchange of money occur? *

• Is there selling/dispensing alcohol or drugs?

• What is the nature of delivery of passengers, goods or services?

• Is the workplace mobile? (such as a taxicab or police cruiser)

• Is there exposure to unstable or volatile persons? (such as in health care, social services or criminal justice settings)

• Do any employees work alone or in small numbers? *

• Do employees work late at night or during early morning hours? *

• Do employees work in high-crime areas. *

• Do employees guarding valuable property or possessions? *

• Do employees work in community settings? *

• Are your employees deciding on benefits, or in some other way controlling a person’s future, well-being, or freedom? (such as a government agency)

* Identified by NIOSH as risk factor for homicide (CDC/NIOSH Alert, 1993)

Conducting a security survey

It's important, as part of the initial assessment, to conduct an initial security survey to determine whether modifications need to be made in the physical aspects of your business. Again this is highly dependent upon the location and type of business. Precautions that may be suitable for some workplaces include:

• Limiting the access, as appropriate, to the workplace by former employees or clients.

•

• Developing policies regarding visitor access within facilities. For example, if warranted, require visitors to sign in and out at reception, wear an identification badge while on the business premises, and/or be escorted.

Work out in advance all jurisdictional issues among the various security and law enforcement entities that may be involved should an emergency occur. There have been cases where an employee has called 911 and critical moments were lost because in-house law enforcement were the ones with jurisdiction, rather than the local police. In other cases, employees called their in-house security guards and time was lost while local police were being contacted because the security guards did not carry firearms.

__________________________________________________________________________________________

Developing an Effective Policy Statement on Workplace Violence

Source: OPM Office of Personnel Management

Write a comprehensive policy statement

A Policy is a predetermined guide established to provide direction in decision making. It reflects top management goals and objectives related to a given business function within the company. An effective policy is both educational and directive. It informs everyone about expected behaviors and standards and why they are important. It also assigns responsibility to perform certain duties or oversee people and programs.

Advantages of Written Policies

Once a workplace violence program is ready to be implemented, companies must decide whether to issue a written policy statement.

Company programs can also be implemented without a written policy statement. In these companies, employees are often given information about the program (especially whom to call) in training sessions, on posters, in newsletter articles, or by other similar methods. Note: Companies have an inherent right to take action against employees who engage in disruptive or threatening behavior whether or not they have issued a written policy statement.

Policy Statement Contents

A workplace violence policy statement should convey that:

• All employees are responsible for maintaining a safe and healthful work environment;

• The policy covers not only acts of physical violence, but harassment, intimidation, and other disruptive behavior;

• The policy covers incidents involving all interactions between:

▪ supervisor and employee

▪ employee to employee

▪ employee to supervisor

▪ employee to non-employee

▪ non-employee to employee;

• The company will respond appropriately to all reported incidents;

• The company will act to stop inappropriate behavior; and

• Supervisors and all of the departments involved in responding to incidents will be supported by company management in their efforts to deal with violent and potentially violent situations.

Recommended Approaches

Consider the following recommendations in developing your written policy statement:

Keep it brief. A written policy statement should be brief and simple. Implementation details can be provided in training and in more detailed backup documents. For example, roles and responsibilities of the various departments involved in responding to potentially dangerous situations can be outlined in memoranda of understanding or in operating manuals/instructions rather than in the written policy statement that is issued to all company employees. This approach gives company staff the flexibility they will need to deal creatively with these fluid, unpredictable situations.

Consider the disadvantages of using definitions. There are disadvantages to using definitions of terms such as violence, threats, and harassment in your written policy statement. Definitions can discourage employees from reporting incidents that they do not believe fall within the definition. The reporting system should not deter employees from reporting situations that frighten them. An employee knows a threat or intimidation or other disruptive behavior when he or she experiences it -- definitions are not necessary. If you want to clarify the scope of your organization's concept of one or more of the terms in the policy, you could use examples. For example, you may want to give examples of verbal and non-verbal intimidating behavior.

Another consideration is that definitions are often restrictive and may create legal problems in the future when you are taking disciplinary actions against the perpetrators of workplace violence. Use of definitions can make it more difficult to defend a case on appeal.

Be cautious with "Zero Tolerance." Consider that there could be negative consequences from using the term zero tolerance. It could create legal problems in the future when you are taking disciplinary actions against the perpetrators of workplace violence. Use of the term could make it more difficult to defend a case on appeal because a third party could conclude, however mistakenly and inappropriately, that the company has not considered a penalty appropriate for the particular offense.

There are other possible consequences. The term, "zero tolerance" might appear to eliminate any flexibility an company has in dealing with difficult situations even if this is not intended. Another undesirable side effect is that the appearance of inflexibility can discourage employees from reporting incidents because they do not want to get their coworker fired -- they just want the behavior stopped. This appearance of inflexibility also may discourage early intervention in potentially violent situations.

The sample policy below contains language that is similar to "zero tolerance," but takes care of the previously mentioned concerns. It says the company will not tolerate violent or disruptive behavior and then clarifies what that means by saying "that is, all reports of incidents will be taken seriously and dealt with appropriately."

Consult with Legal Counsel. Be sure to consult the company legal department or attorney for the legal implications of your draft policy.

|Model Policy for Workplace Threats and Violence |

| |

|Nothing is more important to (Company Name) than the safety and security of its employees. Threats, threatening behavior, or acts of violence |

|against employees, visitors, guests, or other individuals by anyone on (Company Name) property will not be tolerated. Violations of this policy |

|will lead to disciplinary action which may include dismissal. |

| |

|Any person who makes substantial threats, exhibits threatening behavior, or engages in violent acts on (Company Name) property will be removed |

|from the premises as quickly as safety permits, and shall remain off (Company Name) premises pending the outcome of an investigation. (Company |

|Name) will initiate a decisive and appropriate response. This response may include, but is not limited to, suspension and/or termination of any |

|business relationship, reassignment of job duties, suspension or termination of employment, and/or criminal prosecution of the person or persons|

|involved. |

| |

|In carrying out these (Company Name) policies, it is essential that all personnel understand that no existing (Company Name) policy, practice, |

|or procedure should be interpreted to prohibit decisions designed to prevent a threat from being carried out, a violent act from occurring, or a|

|life threatening situation from developing. |

|All (Company Name) personnel are responsible for notifying the management representative designated below of any threats which they have |

|witnessed, received, or have been told that another person has witnessed or received. Even without an actual threat, personnel should also |

|report any behavior they have witnessed which they regard as threatening or violent, when that behavior is job related or might be carried out |

|on a company-controlled site, or is connected to company employment. Employees are responsible for making this report, regardless of the |

|relationship between the individual who initiated the threat or threatening behavior and the person or persons who were threatened or were the |

|focus of the threatening behavior. |

| |

|This policy also requires all individuals who apply for or obtain a protective or restraining order which lists company locations as being |

|protected areas, to provide to the designated management representative a copy of the petition and declarations used to seek the order, a copy |

|of any temporary protective or restraining order which is granted, and a copy of any protective or restraining order which is made permanent. |

| |

|(Company Name) understands the sensitivity of the information requested and has developed confidentiality procedures which recognize and respect|

|the privacy of the reporting employee(s). |

| |

|The designated management representative is: |

| |

|Name: _______________________________________________ |

|Title: ______________________________________________ |

|Department: _________________________________________ |

|Phone: ______________________________________________ |

|Location: ___________________________________________ |

You can't always prevent violence because violent incidents are sometimes unpredictable, but you can reduce the risk by planning ahead and being prepared to act swiftly to deal with threats, intimidation, and other disruptive behavior at an early stage.

__________________________________________________________________________________________

Developing a Violence Prevention Plan

Source: OPM Office of Personnel Management

After completing the initial workplace assessment for risk factors, and developing a written policy, the next step is to develop a comprehensive written Violence Prevention Plan. One major component of any workplace violence prevention plan is, of course, prevention. This module will focus on important subjects which should be included in the plan:

• Identifying warning signs of violence, and

• Control measures to reduce the probability or prevent violence

An employer may choose to create a separate workplace violence prevention plan or incorporate this information into other company documents: for example, the company's accident prevention plan or an employee handbook.

Warning Signs of Violence

One important element in the written violence prevention plan, and usually the first question many people ask is, How can we identify potentially violent individuals? It is understandable that people want to know this -- and that "profiles" and "early warning signs" of potentially violent employees are in much of the literature on the subject of workplace violence. It would save time and solve problems if managers could figure out ahead of time what behaviors and personality traits are predictive of future violent actions.

However, no one can predict human behavior and it's important to state in the plan that there is no specific profile of a potentially dangerous individual. It is seldom (if ever) advisable to rely on what are inappropriately referred to as "profiles" or "early warning signs" to predict violent behavior.

"Profiles" often suggest that people with certain characteristics, such as "loners" and "men in their forties," are potentially violent. This kind of categorization will not help you to predict violence, and it can lead to unfair and destructive stereotyping of employees.

The same can be said of reliance on "early warning signs" that include descriptions of problem situations such as "in therapy," "has had a death in the family," "suffers from mental illness," or "facing downsizing."

Indicators of potentially violent behavior

However, indicators of increased risk of violent behavior are available. These indicators have been identified by the Federal Bureau of Investigation's National Center for the Analysis of Violent Crime, Profiling and Behavioral Assessment Unit in its analysis of past incidents of workplace violence. These are some of the indicators:

• Direct or veiled threats of harm;

• Intimidating, belligerent, harassing, bullying, or other inappropriate and aggressive behavior;

• Numerous conflicts with supervisors and other employees;

• Bringing a weapon to the workplace, brandishing a weapon in the workplace, making inappropriate references to guns, or fascination with weapons;

• Statements showing fascination with incidents of workplace violence, statements indicating approval of the use of violence to resolve a problem, or statements indicating identification with perpetrators of workplace homicides;

• Statements indicating desperation (over family, financial, and other personal problems) to the point of contemplating suicide;

• Drug/ alcohol abuse; and

• Extreme changes in behaviors.

Describing inappropriate behaviors

The written violence prevention plan should list sample inappropriate behaviors and emphasize that they need to be dealt with immediately. These behaviors should not be tolerated in the workplace. Appropriate procedures should be stated in the he plan so that managers and fellow employees know what to do in case they observe or are the object of:

• Unwelcome name calling, obscene language, and other abusive behavior.

• Intimidation through direct or veiled verbal threats.

• Throwing objects in the workplace regardless of the size or type of object being thrown or whether a person is the target of the thrown object.

• Physically touching another employee in an intimidating, malicious, or sexually harassing manner which includes such acts as hitting, slapping, poking, kicking, pinching, grabbing, pushing, etc.

• Physically intimidating others including such acts as obscene gestures, getting “in your face,” and fist-shaking .

Be proactive: confront the problem early-on

Each of the behaviors noted above is a clear sign that something is wrong. None should be ignored. By identifying the problem and dealing with it appropriately, managers may be able to prevent violence from happening. The written plan appoint an appropriate staff member (or an incident response team) to assist supervisors and other employees in dealing with such situations. Some behaviors require immediate police or security involvement, others constitute actionable misconduct and require disciplinary action, and others indicate an immediate need for an Employee Assistance Program referral.

Everyone experiences stress, loss, or illness at some point in life. All but a very few people weather these storms without resorting to violence. The written plan should address training for managers on how to deal with the kinds of difficulties mentioned above. However, this training should focus on supporting the employee in the workplace, and not in the context of, or on the potential for, workplace violence.

Proactive control measures

The written violence prevention plan should describe proactive methods and means to limit or reduce the potential for workplace violence. The plan should direct regular risk assessments of facilities, and address areas where simple improvements can be made that would greatly increase the safety of employees and visitors. Once existing or potential hazards are identified through the hazard assessment, then hazard prevention and control measures can be identified and implemented. These measures may include (in order of general preference):

1. Engineering controls. Redesigning, installing, substituting materials, equipment, machinery, workstations, etc. (things we use)in the workplace. Examples include:

o Installing surveillance cameras, silent alarms, metal detectors, or bullet-proof glass.

o Improved lighting in and around the place of work, including parking lots.

o Having reception areas that can be locked to prevent outsiders from going into the offices when no receptionist is on duty.

• Administrative/work practice controls. Developing safe/secure processes and procedures (things we do/don't do) in the workplace. Examples include:

o Establishing sign-in procedures for visitors.

o Pre-employment screening procedures to reduce the number of personnel prone to exhibiting violent behaviors

o Developing employee assistance programs.

o Arranging escorts for employees who are concerned about walking to and from the parking lot.

• Personal protective equipment. Equipment we wear to protect us from harm. Examples include: bullet-proof vests for police and security personnel.

Posting applicable laws, such as those prohibiting assaults and stalking, in visible locations may also serve as a prevention measure.

Prevention measures for each violence type

Consider using one or more of the following prevention measures that help design the workplace and develop procedures to reduce risk factors for violence.

Type I (Criminal Violence) Prevention Measures

• Training (include de-escalation techniques appropriate to your industry)

• Post signs stating cash register only contains minimal cash

• Leave a clear, unobstructed view of cash register from street

• Have a drop safe, limited access safe or comparable device

• Address adequate outside lighting

• Examine and address employee isolation factors

• Provide security personnel

• Communication method to alert police/security

• Increase police patrol in the area

• Post laws against assault, stalking or other violent acts

Potential Type II (Recipient of Service) Prevention Measures

• Training (including de-escalation techniques appropriate to your industry)

• Control access to worksite (e.g., posted restricted access, locked doors)

• Examine and address employee isolation factors

• Quick communication method to alert security

• Eliminate easy access to potential weapons

• Client referral/assistance programs

• Set up worksite so employees are not trapped from exiting

• Provide security personnel

• Post laws against assault, stalking or other violent acts

• Employee reporting systems

Potential Type III (Employment Relationship) Prevention Measures

• Training (including de-escalation techniques appropriate to your industry)

• Enforced "no tolerance" policy for workplace violence

• Management strategy for layoffs

• Management policy for disciplinary actions

• Access to employee assistance program or other counseling services

• Enforced policy prohibiting weapons

• Provide security personnel

• Post laws against assault, stalking or other violent acts

• Restraining orders

• Control access to worksite

• Access to consultation with employer, employee assistance program or other counseling program

• Reporting procedures

• Relocating within worksite where possible

• Necessary staff notification

• Provide security personnel

• Post laws against assault, stalking or other violent acts

• Policy regarding restraining orders

Your assessment should include a regular review and maintenance of appropriate physical security measures, such as electronic access control systems, and video cameras, in a manner consistent with applicable state and federal laws. Don’t overreact, not everybody needs metal detectors. Assess your risk factors for an accurate determination. If no money, drugs, or other high risk situations are present, detectors and cameras may be excessive.

More about administrative control strategies

Companies need to have programs in place to assist troubled employees and address managerial problems before threats or violence occur.

1. Pre-Employment Screening. Use a job application form that includes an appropriate waiver and release (permitting the employer to verify the information reported on the application). Prior to hiring any applicant, check references and inquire about any prior incidents of violence. In addition, conduct thorough background checks and use drug screening to the extent practicable.

In developing an employee screening process, remember the Americans with Disabilities Act of l990 (ADA) and related state statutes prohibit employers from discriminating against qualified individuals with physical or mental disabilities. While federal law and judicial decisions provide that an employer may disqualify an employee who is a danger to self or others, the employer may be obliged to investigate a claim of disability to determine whether dismissal is necessary for the protection of the employee or others in the workplace.

2. Institute an Employee Assistance Program. Consider providing a confidential EAP to address substance abuse, emotional, marital, and financial problems, or provide employees with a list of relevant community resources. Employees, supervisors, and managers should be actively encouraged to use these services. If an employee is going to be facing termination, for whatever reason, transition services such as EAP counseling should be considered.

3. Incident reporting. Encourage victims of threats and violence outside the workplace to notify their employers about the incident when warranted so their employers can take appropriate measures to help protect them and their co-workers from possible future incidents of violence at the worksite. Upon notification, employers should provide receptionists and other front-line personnel, having a need to know, a description or picture of the alleged offender and inform them what actions they should take in the event that the individual seeks entry or Contact.

4. Using Alternative Dispute Resolution (ADR). Some companies use ombudsman programs, facilitation, mediation, and other methods of alternative dispute resolution (ADR) as preventive strategies in their workplace violence programs. ADR approaches often involve a neutral third party who can assist disputing parties resolve disagreements. ADR is most helpful in workplace violence programs at the point when a problem first surfaces, i. e., before an employee's conduct rises to a level that warrants a disciplinary action.

5. Conduct effective exit interviews. Conduct exit interviews when employees retire, quit, or are transferred or terminated, to identify potential violence-related security or management problems.

Take Advantage of Community Resources

Finally, there are many programs and resources in the community that can help you develop your workplace violence prevention plan. Some examples follow:

• Invite local police into your firm to review the written violence prevention plan. They may also promote good relations and become more familiar with your facility. The police can explain what actions they typically take during incidents involving threats and violence. Such visits can help your firm work better with police when incidents do occur.

• Use security experts to evaluate your written plan and educate employees on how to prevent violence in the workplace. Such experts can provide crime prevention information, conduct building security inspections, and teach employees how to avoid being a victim.

• Consider using local associations and community organizations, such as the Chamber of Commerce, security organizations, and law enforcement groups, as a resource in order to stay abreast of crime trends and prevention techniques. Communicate to your employees those issues and trends which pose a significant threat.

______________________________________________________________________________________

Education and Training in Violence Prevention

Source: OPM Office of Personnel Management

Training is a critical component of any prevention strategy. Training is necessary for employees, supervisors, and the staff members of each department that may be involved in responding to an incident of workplace violence. Training and instruction on workplace violence ensures that all staff are aware of potential hazards and how to protect themselves and their co-workers through established prevention and control measures.

|Providing appropriate training informs employees that management will take threats |

|seriously, encourages employees to report incidents, and demonstrates management's |

|commitment to deal with reported incidents. |

Training strategies and techniques

While most everyone agrees that there are clear warning signs before most acts of workplace violence, what action should be taken varies. Nevertheless, making information available to your employees about the potential for violence in the workplace, how to recognize the early warning signs of a troubled or potentially violent person, and how to respond to such a person, could save a life.

Not all individuals who are distraught over services (or lack thereof) or their termination of employment, will become violent. The primary type of training that may be beneficial to all employees is that which concentrates on conflict resolution.

Various federal and state laws, or judicial decisions may require the employer to establish written policy and procedures dealing with harassment, as well as the training of employees on sexual or racial harassment, intrusion, company policies prohibiting fighting, the use of drugs or alcohol in the workplace, and the like.

Employers may avoid liability for acts of violence in the workplace where it is shown that the employer conducted training for employees on the recognition of warning signs of potentially violent behavior, as well as precautions which may enhance the personal safety of the employee in the workplace and in the field.

Training strategies

Training sessions conducted by the company's Employee Assistance Program, Security, and Human Resources staffs are particularly helpful, enabling employees to get to know experts within the company who can help them when potentially violent situations arise. Employees and supervisors seek assistance at a much earlier stage when they personally know the company officials who can help them.

Employee training

All employees should know how to report incidents of violent, intimidating, threatening and other disruptive behavior. All employees should also be provided with phone numbers for quick reference during a crisis or an emergency. In addition, workplace violence prevention training for employees may also include topics such as:

• Explanation of the company's workplace violence policy;

• Encouragement to report incidents;

• Ways of preventing or diffusing volatile situations or aggressive behavior;

• Types of training;

• How to deal with hostile persons;

• Managing anger;

• Techniques and skills to resolve conflicts;

• Stress management, relaxation techniques, wellness training;

• Security procedures, e. g., the location and operation of safety devices such as alarm systems;

• Personal security measures; and

• Programs operating within the company that can assist employees in resolving conflicts, e. g., the Employee Assistance Program, the ombudsman, and mediation.

Supervisory training

Employers will benefit from training on workplace violence as part of general supervisory training, some conduct separate training sessions on workplace violence, and some include it in crisis management training. Whichever approach is taken, supervisory leadership training should cover:

• Ways to encourage employees to report incidents in which they feel threatened for any reason by anyone inside or outside the organization

• Skills in behaving compassionately and supportively towards employees who report incidents

• Skills in taking disciplinary actions

• Basic skills in handling crisis situations

• Basic emergency procedures

• How to ensure that appropriate screening of pre-employment references has been done.

Special attention should be paid to supervisory training in management skills. The same approaches that create a healthy, productive workplace can also help prevent potentially violent situations. It is important that supervisory training include basic management skills such as:

• setting clear standards

• addressing employee problems promptly

• probationary periods

• performance counseling

• administering disciplinary procedures

These interventions can keep difficult situations from turning into major problems. Supervisors don't need to be experts on violent behavior; what is needed is a willingness to seek advice from the experts.

Incident response team training

The members of the incident response team need to be competent in their own assigned duties and they need to know when to call for outside resources. Participating in programs and training sessions sponsored by government and professional organizations, reading professional journals and other literature, and networking with others in the profession are all helpful in dealing with workplace violence situations.

Team members also need to understand enough about each other's professions to allow them to work together effectively. Response team training should allow discussion of policies, legal constraints, technical vocabulary, and other considerations that each profession brings to the interdisciplinary group.

Much of the incident response team training can be accomplished by practicing responses to different scenarios of workplace violence. The team members also need to consult regularly with other personnel within the organization who may be involved in dealing with potentially violent situations. Those who are consulted on an ad hoc basis should receive some appropriate training as well.

Sample Training Topics

Program Review

Extent of the Problem. List statistics relative to your industry here. Use national and statewide information. You can also discuss the crime statistics of the neighborhood the company is in. Some of this information is available in the Overview Section at the beginning of this guidebook.

Risk Factors. Discuss the risk factors in your particular industry here. Look in the section titled "Violent Incidents: Case Scenarios, Potential Risk Factors and Potential Prevention Measures" in this guidebook.

Worksite Analysis. Discuss the violence history of your company. You can use the number of incidents, the rate and/or the types.

Security Hardware. Have the manager of your unit show you security hardware. (Put a checklist here of equipment you have at your company to prevent violence. This might include panic buttons, video cameras, security lighting, etc.)

Work Practice Controls. Discuss policies and procedures you have implemented to minimize violence in your company. Include any written procedures. Be sure to address your company's weapons policy and how to summon help in an emergency.

Follow Up Procedures

Report all assaults. (Include here a copy of the form your company uses to report violent incidents.)

File charges.(Company name) recommends that charges be filed in every case when an employee is assaulted. We will help you to do so including sending witnesses to testify if needed. No reprisals will be taken against any employee who is assaulted or files charges relating to an assault.

Counseling. If a violent incident occurs, all affected staff will be offered counseling through an employee assistance program or other comparable counseling services.

Role Playing Exercises to Defuse Violent Situations

Read the information in the charts below. Then have employees role play a confrontation. During the role play note the signs of escalating behavior and the techniques used to control it. Afterwards have the group discuss their observations. Address the following questions: What went well? What problems were there? What responses would work better?

Write a scenario about a violent incident for a couple of employees to act out. Use a case scenario in this guidebook or make up one appropriate to your company.

Hands-on practice

If the violence in your workplace comes from unarmed people such as patients, you may want to train your employees in self defense and restraining techniques. Have your employees actually try out the techniques. Remember, in cases with armed perpetrators, such as robberies, it is usually safer to submit to the perpetrator's demands.

Five Warning Signs of Escalating Behavior

|Warning Signs |Possible Responses |

|Confusion |

|Behavior characterized by bewilderment or distraction. Unsure or |Listen to their concerns. |

|uncertain of the next course of action. |Ask clarifying questions. |

| |Give them factual information. |

|Frustration |

|Behavior characterized by reaction or resistance to information. |See steps above. |

|Impatience. Feeling a sense of defeat in the attempt of |Relocate to quiet location or setting. |

|accomplishment. May try to bait you. |Reassure them. |

| |Make a sincere attempt to clarify concerns. |

|Blame |

|Placing responsibility for problems on everyone else. Accusing or |See steps above. |

|holding you responsible. Finding fault or error with the action of|Disengage and bring second party into the discussion. |

|others. They may place blame directly on you. Crossing over to |Use teamwork approach. |

|potentially hazardous behavior. |Draw client back to facts. |

| |Use probing questions. |

| |Create "Yes" momentum. |

|Anger - Judgment call required |

|Characterized by a visible change in body posture and disposition.|Utilize venting techniques. |

|Actions include pounding fists, pointing fingers, shouting or |Don’t offer solutions. |

|screaming. This signals very risky behavior. |Don’t argue with comments made. |

| |Prepare to evacuate or isolate. |

| |Contact supervisor and/or security office. |

|Hostility - Judgment call required |

|Physical actions or threats which appear imminent. Acts of |Disengage and evacuate. |

|physical harm or property damage. Out-of-control behavior signals |Attempt to isolate person if it can be done safely. |

|they have crossed over the line. |Alert supervisor and Contact security office immediately. |

Personal Conduct to Minimize Violence*

Follow these suggestions in your daily interactions with people to de-escalate potentially violent situations. If at any time a person’s behavior starts to escalate beyond your comfort zone, disengage.

|Do |Do Not |

|Project calmness, move and speak slowly, quietly and confidently. |Use styles of communication which generate hostility such as apathy, |

|Be an empathetic listener: Encourage the person to talk and listen |brush off, coldness, condescension, robotism, going strictly by the |

|patiently. |rules or giving the run-around. |

|Focus your attention on the other person to let them know you are |Reject all of a client’s demands from the start. |

|interested in what they have to say. |Pose in challenging stances such as standing directly opposite someone,|

|Maintain a relaxed yet attentive posture and position yourself at a |hands on hips or crossing your arms. Avoid any physical Contact, finger|

|right angle rather than directly in front of the other person. |pointing or long periods of fixed eye Contact. |

|Acknowledge the person’s feelings. Indicate that you can see he/she is|Make sudden movements which can be seen as threatening. Notice the |

|upset. |tone, volume and rate of your speech. |

|Ask for small, specific favors such as asking the person to move to a |Challenge, threaten, or dare the individual. Never belittle the person |

|quieter area. |or make him/her feel foolish. |

|Establish ground rules if unreasonable behavior persists. Calmly |Criticize or act impatiently toward the agitated individual. |

|describe the consequences of any violent behavior. |Attempt to bargain with a threatening individual. |

|Use delaying tactics which will give the person time to calm down. For|Try to make the situation seem less serious than it is. |

|example, offer a drink of water (in a disposable cup). |Make false statements or promises you cannot keep. |

|Be reassuring and point out choices. Break big problems into smaller, |Try to impart a lot of technical or complicated information when |

|more manageable problems. |emotions are high. |

|Accept criticism in a positive way. When a complaint might be true, |Take sides or agree with distortions. |

|use statements like "You are probably right" or "It was my fault." If |Invade the individual’s personal space. Make sure there is a space of |

|the criticism seems unwarranted, ask clarifying questions. |three feet to six feet between you and the person. |

|Ask for his/her recommendations. Repeat back to him/her what you feel | |

|he/she is requesting of you. | |

|Arrange yourself so that a visitor cannot block your access to an | |

|exit. | |

*From Combating Workplace Violence: Guidelines for Employers and Law Enforcement. International Association of Chiefs of Police. 1996. Note: OTN is not recommending a specific response to any situation or in any way guaranteeing the effectiveness of a particular response.

Fill the skills gaps

Skills deficiencies exist even in large companies with numerous resources at hand. In some organizations training is needed. However, crisis situations occur infrequently and it is often not practical to maintain in-house expertise for every aspect of the company's response plan.

If this is the case, suggested sources of outside assistance include:

Government agencies.

Get to know specialists in government agencies. They may be an invaluable source for learning about new training materials and effective training approaches.

Local Police.

If you do not have in-house security, get to know your local police departments. Invite them in to work with your planning group. They can recommend security measures. They can tell you about jurisdiction and what they would do if you called them during an incident. They can teach employees personal safety techniques and how to avoid becoming a victim.

Other community resources.

Locate and work with resources in your community. For example, if you don't have immediate access to emergency mental health consultation, you can work with your local community mental health department, "hotline" staff, hospital, or emergency crisis center. A nearby university may have faculty who are willing to be consulted.

______________________________________________________________________________________

Incident Reporting

Source: OPM Office of Personnel Management

The primary consideration in developing a reporting procedure is to make sure that it encourages employees to report all incidents, even minor ones. Some companies use hotlines. Some arrange for a member of a team to take the calls, usually a specialist from Human Resources or Security. Other companies require employees to report incidents to their supervisor (or to any company supervisor), who in turn reports these incidents to Human Resources or Security.

Credibility for any reporting system will be dependent upon whether reports are handled quickly and effectively. Word spreads quickly among employees when a report is made and nothing is done, when a report is handled improperly, or when the allegations are not treated confidentially. Therefore, before a reporting procedure is announced to employees, ensure that the staff who will be responding to reported incidents are trained and able to handle any reported incidents.

Incident reports should be reviewed on a periodic basis to provide feedback on the effectiveness of existing intervention strategies and prevention efforts.

Threat Incident Report System

Your company policy may require employees to report all threats or incidents of violence. If you institute such a policy, you must be ready to deal with the situation. The report will be used by the company to assess the safety of the workplace, and to decide upon a plan of action. The following facts should be included in a threat incident report:

• Name of the threat-maker and his/her relationship to the company and to the recipient.

• Name(s) of victims or potential victims.

• When and where the incident occurred.

• What happened immediately prior to the incident.

• The specific language of the threat.

• Any physical conduct that would substantiate an intention to follow through on the threat.

• How the threat-maker appeared (physically and emotionally).

• Names of others who were directly involved and any actions they took. How did the incident end?

• Names of witnesses.

• What happened to the threat-maker after the incident.

• What happened to the other employees directly involved after the incident.

• Names of any supervisory staff involved and how they responded.

• What event(s) triggered the incident.

• Any history leading up to the incident.

• The steps which have been taken to ensure that the threat will not be carried out.

• Suggestions for preventing workplace violence in the future.

When the violent or threatening incident occurs

When an incident occurs, bring together all the necessary resources, which may include help from outside the company.

• When a serious threat is made, consult the sources available to you to help evaluate the level of risk posed by the threat-maker.

• When appropriate, obtain fitness-for-duty evaluations of employees exhibiting seriously dysfunctional behaviors at the workplace.

• Maintain an internal tracking system of all threats and incidents of violence.

• When a threat has been made or an incident has occurred, evaluate the situation and, if warranted, notify the potential victims and/or police.

• The employer must respect the privacy rights and confidentiality rights of employees during any investigation.

Investigating incidents of violence

I can't work here anymore. I'm afraid he may actually kill one of us!

The supervisor hears the details of the incident that is causing the employee to feel threatened. Now the supervisor has to do something. The incident can't be ignored. It must be reported. Once reported, the members of the incident response team (along with the supervisor) have to look into it.

Types of Investigations

When an incident report is received, one of the first important decisions to make is to decide what type of investigation might be required. There are three basic types of investigations in a violence prevention program:

• Threat assessment investigation - in response to behaviors that have the potential to become violent in some way.

• Administrative investigation - in response to violent behaviors that might result in administrative action.

• Criminal investigation - in response to possible criminal behavior.

Your decision on which type of investigation is required will depend on whether the facts as presented indicate possible criminal behavior. Since arriving at a decision generally involves discussion with employee relations specialists and possibly law enforcement personnel, it is imperative to coordinate efforts fully with these departments ahead of time.

Threat assessment investigations

Threat assessment investigations differ from administrative or criminal investigations in that the purpose of the threat assessment investigation is to provide guidance on managing the situation in a way that protects the employee.

Many cases involving threatening behavior can be handled expeditiously and effectively by a supervisor with the assistance of one or more members of the company's incident response team. The security or law enforcement representative on the company's team will ordinarily assess risks, often in consultation with the Employee Assistance Program and employee relations staff, and make recommendations for appropriate strategies and security measures to protect employees. However, it may be helpful for the company's planning group to identify experts in threat assessment ahead of time, in case a situation requires more expertise than team members can provide.

Gathering information. It is also a good idea to work out ahead of time who will gather which types of information on an individual who makes a threat. Multiple sources of information need to be consulted to better understand the person's behavior.

In some cases, the company's incident response team can collect current and reliable information (which would include an investigative report) and then consult with a threat assessment professional to develop options for managing the situation. In other cases, the company's incident response team uses a threat assessment professional to conduct the initial investigation, assess the risks, and make recommendations for managing the situation.

Administrative Investigations

It is important to use an investigator who conducts the investigation in a fair and objective manner. The investigation should be conducive to developing truthful responses to issues that may surface. It must be conducted with full appreciation for the legal considerations that protect individual privacy. It is imperative that the investigation, especially the interview process, create an atmosphere of candor and propriety.

Use a qualified investigator. If a decision is made to conduct an administrative investigation, it is important to use a qualified and experienced professional workplace violence investigator. The company planning group should train and qualify one or more such investigators before the need for an investigator arises.

Investigation and Evaluation

After an incident occurs, a detailed investigation is imperative. All incidents, including near misses, should be investigated as soon as possible. A delay of any kind may cause important evidence to be removed or destroyed intentionally or unintentionally. The investigation should focus on fact-finding to prevent recurrence and not fault-finding. Employers should maintain comprehensive records of the investigation.

When conducting the investigation:

• Get statements from witnesses, photograph

damage/injuries where appropriate.

• Identify contributing causes.

• Recommend corrective action.

• Encourage appropriate follow-up.

• Consider changes in controls, procedures or

policy.

• Use a Threat and Assault Log to collect facts on who, what, when, where and how the incident occurred.

Criminal investigations

In a case where a decision is made to conduct an administrative investigation, and there is potential criminal liability, be sure to work closely with your legal department and law enforcement organization. In potentially violent situations, it is often difficult to determine whether the misconduct is a criminal offense. When there is any doubt, check it out.

Ensure that criminal prosecutions are not compromised. Criminal prosecutions must not be compromised by actions taken during administrative investigations. It is necessary to ensure that the administrative investigator, management, and all members of an incident response team understand that actions taken during an administrative investigation may compromise potential criminal prosecutions.

If the company obtains statements from the subject of the investigation in the wrong way, the statements can impede or even destroy the ability to criminally prosecute the case. On the other hand, if handled correctly, statements made in administrative investigations could prove vital in subsequent criminal proceedings.

_____________________________________________________________________________________

Post-Incident Followup

Source: OPM Office of Personnel Management

Immediately after the violent act

Immediately after an assault occurs, an employer should focus first on providing for the medical and psychological needs of all affected employees. Other immediate steps include:

• Report the incident to the local police department and support law enforcement activities (for example, crime scene investigation; interviewing witnesses, victims and others).

• Secure work areas where disturbances occurred.

• Account for all employees and others and ensure the physical safety of those remaining in the area as soon as possible.

• Provide for site security and ensure that no work area is left short-staffed while others assist the victim or help in securing the area.

• Quickly assess the work area, if it was disturbed or damaged during an incident, to determine if it is safe.

• Provide critical incident debriefing to victims, witnesses, and other affected employees (these conversations must be strictly confidential).

• Provide accurate communication to outside agencies, media and law enforcement.

Initiate the Post Incident Trauma Plan

The post trauma plan should focus activities first on meeting the immediate medical and psychological needs of employees as necessary. Employees may also need the services of an employee assistance program or other counseling services.

Provisions for follow-up after medical and psychological treatment, medical confidentiality, and protection from discrimination must be addressed in the plan to prevent the victims of workplace violence from suffering further loss. The plan should also address ways to reduce financial losses to the company caused by absence, lost productivity, and workers’ compensation claims.

Immediate debriefings. All affected employees should be included in a debriefing so that the cause of the violence and expectations can be discussed, a plan of action can be addressed, and those needing further counseling can be identified.

Employee Assistance Program services (EAP)

Though most employees will need only brief intervention, provision should be made for the few who may need longer-term professional assistance. Strategies for identifying these employees and guiding them as smoothly as possible from emergency-centered interventions to more extensive mental health care should be included in the planning.

The EAP may approach these responsibilities in different ways, depending on the size and experience of its staff. In some cases, internal EAP resources may be sufficient, but in others, additional staffing will be necessary. EAP staff who do not have expertise in traumatic incident counseling may wish to develop in-house expertise or keep close at hand the phone numbers of resources to Contact should an incident occur. Potential sources of additional help, for example, private contractors, community mental health resources, university or medical school programs, might be explored.

Since management bears the brunt of responsibility after a violent incident, and can find itself dealing with unfamiliar challenges under high stress, the EAP can be very helpful in facilitating an optimal response. It can provide managers with information on traumatic events and can assist them in analyzing the situation and developing strategies for the organization's recovery. An effective EAP needs to be familiar not only with post-disaster mental health care, but also with management practices that facilitate recovery and with other resources which may need to be mobilized.

Support Prosecution of Offenders

To prevent further incidents from occurring and to show their support of the victims, employers should support prosecution of offenders. Accommodate employees after a violent incident in order for them to make court appearances and work with the prosecution. Cooperate with law enforcement authorities to help identify and prosecute offenders through the use of any and all means at your disposal, such as “Crime Stoppers,” rewards, etc.

Administrative Actions to Keep an Employee Away from the Worksite

In situations where a disruption has occurred on the job, or where there is a belief that the potential for violence exists, a supervisor may need to keep an employee away from the worksite to ensure the safety of employees while conducting further investigation and deciding on a course of action.

Immediate, short-term actions

• Place employee on excused absence (commonly known as administrative leave). Placing the employee in a paid, non-duty status is an immediate, temporary solution to the problem of an employee who should be kept away from the worksite. It may also be a good idea to offer the employee the option to work at home while on excused leave if possible.

• Detail employee to another position. This can be an effective way of getting an employee away from the worksite where he or she is causing other employees at the worksite to be disturbed. However, this action will be useful only if there is another position where the employee can work safely and without disrupting other workers.

Longer-term actions

Supervisors are sometimes faced with a situation where there is insufficient information available to determine if an employee poses a safety risk, has actually committed a crime, or has a medical condition which might make disciplinary action inappropriate.

• Indefinite suspension. An indefinite suspension is an adverse action that takes an employee off-duty until the completion of some ongoing inquiry, such as an company investigation into allegations of misconduct. Companies usually propose indefinite suspensions when they will need more than 30 days to await the results of an investigation, await the completion of a criminal proceeding, or make a determination on the employee's medical condition.

• Indefinite enforced leave. This action involves making the employee use his or her own sick or annual leave (after the 30-day notice period with pay) pending the outcome of an inquiry.

Disciplinary Actions

Where the supervisor possesses the relevant information regarding violent, harassing, threatening, and other disruptive behavior, the supervisor should determine the appropriate disciplinary action. The selection of an appropriate charge and related corrective action should be discussed with human resources and legal staff where appropriate. Some disciplinary actions are:

• Reprimand, warning, short suspension, and alternative discipline. These lesser disciplinary actions can be used in cases where the misconduct is not serious or intervention may correct the problem behavior. They are an excellent means of dealing with problem behavior early on.

• Removal, reduction-in grade, and long-term suspension. Be sure to coordinate with legal staff to ensure compliance with local, state, and federal law.

Disabilities as a Defense Against Alleged Misconduct

The Equal Employment Opportunity Commission (EEOC) has issued important guidance that specifically addresses potentially violent misconduct by employees with disabilities. Although this guidance deals specifically with psychiatric disabilities, it applies generally to other disabling medical conditions. It advises that an organization may discipline an employee with a disability who has violated a rule (written or unwritten) that is job-related and consistent with business necessity, even if the misconduct is the result of the disability, as long as the company would impose the same discipline on an employee without a disability. The guidance specifically states that nothing in the Rehabilitation Act prevents an employer from maintaining a workplace free of violence or threats of violence.

For a detailed discussion of all these points, see EEOC Enforcement Guidance on the Americans with Disabilities Act and Psychiatric Disabilities, EEOC number 915.002, 3-25-97. The guidance is available on the Internet at , or a copy can be obtained by calling the EEOC Publications department at (800)669-3362.

Actions to inform all employees and the public

It is important to conduct a group debriefing after a serious incident of violence for immediate co-workers in how to communicate with the victim/co-worker who is re-entering the job after absence. To alleviate anxiety and reduce misinformation, keep the lines of communication open between labor and management. Assign a person or persons to be responsible for dealing with the media, if necessary.

______________________________________________________________________________________

Organizational Recovery

Source: OPM Office of Personnel Management

Despite the best-laid plans of any organization, violence in the workplace can and does happen. Just as companies develop policies and procedures designed to head off these occurrences, they must be equally prepared to deal with the aftermath of such incidents. Quite often management's focus will be on getting the operational side of the department back in working order.

However, just as important as getting the department back on-line is attending to the impact such incidents can have on department personnel. This module will provide information designed to assist management in helping it's organization recover after an incident of workplace violence.

Management Steps to Help an Organization Recover

Listed below are several initial steps management can take when an incident of workplace violence occurs.

Ensure a management presence in the workplace. It's important that managers commit ample time with their employees, in the workplace or wherever they may be. Employees need to be reassured of their concern, and they need to be able to ask questions. Senior management should ensure that immediate supervisors are supported in this role, relieved of unnecessary duties, and not pulled away from their subordinates to write lengthy reports or prepare elaborate briefings.

Share information with employees. Employees will have many questions, and they need the answers -- often more than once -- if they are to resolve the experience for themselves. Information will develop over time, so information strategies need to be simple and fluid. A notice board at the elevator, or a recorded message on a "hotline" number may suffice for the basics, and a user-friendly system for individual questions needs to be established.

Include union leadership. It's always good policy to involve the union in designing the various programs within the safety management system. Union representatives can help in reassuring employees after an incident and in getting information to employees.

Bring in crisis response professionals. When an incident occurs, involve these emergency mental health consultants as soon as possible. They will generally meet with management first, working down the chain, and then with line employees. Based on what the consultants learn, they will offer services such as debriefings and defusings and informal counseling, perhaps in the work area.

Employee Assistance Program. Small firms interested in setting up an employee assistance program can call the Employee Assistance Professional Association's member services office at (703) 522-6272; the association will put your company in touch with one of its 96 local chapters. The association can also provide information on how several small businesses can share services.

Support informal debriefing. The formal debriefing doesn't end the recovery process. Provide opportunities for employees to talk informally with one another when they feel a need to discuss the experience. A comfortable break area and flexibility about break times may be all that is needed.

Support care-giving within work groups. Keep work groups together as much as possible, and try not to isolate employees from their normal support groups at work. Show respect and support for employees' efforts to care for one another.

Handle critical sites with care. Initially, the site of a seriously violent incident will probably be secured as a crime scene. If it is, management needs to be sensitive to a number of issues. It is helpful if employees don't have to come back to work and face painful reminders. But on the other hand, the area should not be so "sanitized" that it gives the appearance that management is pretending nothing happened. If someone has died, that person's work area will be a focus of grieving, and it needs to be respected as such.

Buffer those affected from post-event stresses. Effective coordination with the media and timely dissemination of information can help reduce media pressure on those who are the most vulnerable. Assistance with benefits and other administrative issues can reduce the burden on victims and families.

Help employees face feared places or activities. Returning soon, if only briefly, to a feared site can help prevent lasting effects such as phobic responses. Having a friend or loved one along, or being supported by close work associates, may make the first step much easier.

Remember the healing value of work. Getting back to work can be reassuring, and a sense of having a mission to perform can help the group recover its morale. But the return to work must be managed in a way that conveys appropriate respect for the deceased, the injured, and the traumatized.

The Critical Incident Stress Management Process

Formal crisis intervention processes for victims of critical incidents, such as workplace violence, have been used and recommended by mental health professionals for years. One such process, Critical Incident Stress Management, has been pioneered by Dr. Jeffrey Mitchell of the University of Maryland at Baltimore County.

Critical Incident Stress Management (CISM) represents an integrated system of services and procedures whose purpose is to achieve several goals:

• Prevent traumatic stress,

• Mitigate traumatic stress,

• Intervene to assist recovery from traumatic stress,

• Accelerate recovery whenever possible,

• Restore to function, and

• Maintain employee health and welfare.

The CISM team

A CISM team, generally comprised of mental health professionals and trained peer support personnel, provides a variety of services including:

• Defusings,

• Demobilizations after a disaster,

• Debriefings,

• Informal discussions,

• Significant other support services,

• Individual consults (one-on-one), and

• Follow-up services.

For the purposes of this discussion, the focus will be on two of the more commonly used CISM services: debriefings and defusings.

Critical Incident Stress Debriefing

The impact of a critical incident on an individual's life appears to be mitigated, to some degree, by the availability of resources that may intervene at various stages following the incident.

The Critical Incident Stress Debriefing (CISD) is a model designed to yield just such a result. The CISD model assists the victims of critical incidents with their recovery process. The model incorporates seven phases:

1. Introductory Phase,

2. Fact Phase,

3. Thought Phase,

4. Reaction Phase,

5. Symptom Phase,

6. Teaching Phase, and

7. Re-entry Phase.

Debriefings are group meetings that are designed to give participants an opportunity to discuss their thoughts and feelings about a distressing event in a controlled and rational manner, and to help them understand that they are not alone in their reactions to the incident. It is recommended that a formal debriefing be held within 24 to 72 hours after an incident. Depending on the number of participants and the severity of the incident, debriefings generally last anywhere from one to three hours.

Given the time recommendations for debriefings and defusings, Critical Incident Stress Management (CISM) providers are reminded that CISM interventions should not interfere with the priorities of criminal investigations. In those cases where criminal proceedings are likely to result from the critical incident, it is important to coordinate CISM interventions with the appropriate prosecutory authority.

Debriefing teams represent a partnership between mental health professionals and peer support personnel. Mental health professionals serving on a Critical Incident Stress Debriefing team possess at least a master's degree in psychology, social work, psychiatric nursing, psychiatry, or mental health counseling. Peer support personnel are trained and prepared to work with mental health professionals in preventing and mitigating the negative impact of acute stress on their fellow workers. All team members receive training in crisis intervention, stress, post-traumatic stress disorder, and the debriefing process.

The following is a brief description of each phase of the debriefing model:

Introductory Phase. During this first phase the leader and team members introduce themselves to the participants. The leader describes how a debriefing works and lists the ground rules for the debriefing. The rules are as follows:

• No one is compelled to talk but participation is strongly encouraged,

• No notes or recordings of any kind are taken during the debriefing,

• Strict confidentiality is maintained, and

• The debriefing is not intended to be therapy.

It is important to convey to participants that their chances for a successful debriefing increase when participants are made fully aware of what to expect during the process.

Fact Phase. The fact phase begins with the team leader asking participants to identify themselves and briefly mention their degree of involvement with the incident. For example, participants may relate their role in the incident, how they were informed of the incident, where they were when they received this news, and so forth. Participants may begin relating their first reactions to the incident. This type of information lays the groundwork for the remaining phases of the process.

Thought Phase. Participants are asked what their first thoughts were concerning the incident. The thought phase begins to personalize the experience for the participants. This is the first phase in which some participants may exhibit some reluctance to share.

Reaction Phase. Participants are asked to discuss "what was the worst part of the event for them, personally." This phase generally causes participants to begin exploring some of their deeper, personal responses to the event. Depending on the intensity of the event and the number of participants, this segment may last thirty minutes to one hour.

Symptom Phase. Participants are asked to describe the signs and symptoms of any distress they experienced, such as feeling nauseated, sweating palms, or having difficulty making decisions. Usually three occurrences of signs and symptoms are discussed:

1. Those that appeared at the time of the incident,

2. Those that arose during the next few days, and

3. Those that they are still experiencing at the time of the debriefing.

Teaching Phase. During the teaching phase the leader and team members share information regarding the relationship between the critical incident and the subsequent cognitive, emotional, behavioral, and physiological reactions that others involved in such events have experienced. Participants should be provided with additional written information to read at a later time. During this phase, participants may ask new questions or bring up information that was not discussed earlier.

Re-entry Phase. This phase signals the end of the debriefing. Participants are encouraged to ask questions and explore other issues associated with the incident that may have not surfaced earlier. Team members are asked to provide some summary remarks, and the team leader makes a few additional statements in an effort to bring closure to the debriefing. A crucial message emanating from the debriefing is that the participants' reactions are normal responses to an abnormal event.

Is a Debriefing Warranted?

The decision about whether or not a formal debriefing is consultation with mental health consultants. Though not all-inclusive, some examples of important questions to explore when assessing the need for a debriefing are these:

• What is the nature of the incident?

• Is the event of sufficient magnitude as to cause significant emotional distress among those involved?

• How many individuals are affected by the incident?

• What signs and symptoms of distress are being displayed by the witnesses to the incident?

• Are the signs and symptoms growing worse as time passes?

• Are any of the following key indicators of a need for a debriefing present: behavior change; regression; continued symptoms; intensifying symptoms, new symptoms arising, or group symptoms present?

In some instances, as these and other questions are explored, it may be determined that a formal debriefing is not warranted. Or, perhaps there may be a decision to briefly meet with the group(s) that have been affected by the incidents to further assess the need for a formal debriefing. Under these circumstances, a critical incident stress defusing may be appropriate. This process will be discussed next.

Critical Incident Stress Defusing

Other than the critical incident stress debriefing, the defusing is one of the most frequently used Critical Incident Stress Management (CISM) techniques. Defusings are, in essence, short debriefings. Defusings generally last less than one hour and provide CISM team members with an immediate opportunity to ask a wide range of questions about the critical incident. As in the debriefing, participants are not required to talk during the defusing. It is recommended that defusings be conducted within the first eight hours of the resolution of a traumatic event.

Three phases

The critical incident stress defusing consists of three phases.

Phase One - Introduction. Here the CISM team members introduce themselves, describe the defusing process, set forth the guidelines, and encourage participation.

Phase Two - Exploration. In this phase, team members ask the participants to describe their experience of the critical incident. During this time, the group is permitted to talk freely while the team members monitor the participants' comments. As the group discusses their experiences, the team members can also ask appropriate questions in an effort to learn more about the most important parts of the critical incident. As the discussion begins to fall off, the discussion moves to the third and final phase.

Phase Three - Information. During this phase, team members provide participants with information designed to help them cope during the next few days until the distress resolves on its own or until the team can organize a formal debriefing, if one is deemed necessary. This information consists of suggestions regarding rest, diet, and exercise as well as other stress control strategies.

Outcomes

The critical incident stress defusing will generally result in one of two outcomes. First, it may eliminate the need for a formal debriefing. Participants receive valuable coping information during defusing that, if attended to, can go a long way in mitigating the impact of the critical incident and in accelerating their recovery. In addition, participants come away from a defusing with more information about the incident than they started with and, again, this has proven to be beneficial to the recovery process.

The second possible outcome of a defusing can be to enhance a subsequent formal debriefing. Participants who have attended a defusing will generally have a good idea of what to expect in a debriefing and, hopefully, will have realized the benefit of participating in such a group process. In addition, the team that conducts the defusing will often be part of the larger team that conducts the debriefing. Thus this Critical Incident Stress Management (CISM) team will have more information about the incident and the involved parties prior to the debriefing. The team will also have a better understanding of the impact of the event on many of the participants.

Conclusion

As mentioned earlier, both critical incident stress debriefing and defusing are among the two most utilized processes under the CISM umbrella. Neither model should be employed by anyone other than trained mental health professionals and other trained CISM team personnel. It should also be emphasized that the CISM process is but one crisis intervention model among others available to companies.

______________________________________________________________________________________

Evaluating the Violence Prevention Program

Source: OPM Office of Personnel Management

One essential element that cannot be overlooked is to evaluate the violence prevention program on a scheduled basis, and immediately after an incident has occurred. If the program is not evaluated at least annually, this and other problems may never be detected.

As with any program, personnel, facilities, and issues can change within a year and updates must be maintained. Procedures may break down if they are not exercised regularly. In these instances, practice may be necessary to keep procedures effective.

After an incident, it's important to evaluate the program to see if there are any changes that should be made immediately to prevent a similar incident from occurring in the future.

Steps in the Evaluation Process

• Appoint knowledgeable employees to conduct the evaluation to ensure effective results..

• Conduct an initial assessment to determine what program components are in place.

• Analyze the components of the violence prevention program.

• Measure improvement based on lowering the frequency and severity of workplace violence.

• Identify those components that require improvement.

• Conduct and review the results of an employee survey.

• Develop ways to improve ineffective components.

• Educate, train and implement changes in the program.

• Devise and update your system for measuring improvement.

• Keep abreast of new strategies to deal with violence.

Assessment and analysis

The initial assessment is important to make sure all critical components of the violence prevention program are present. Once program components have been assessed, it's important to analyze each of the components to determine what they look like. Most components will actually some sort of procedure or process.

In the analysis these procedures and processes are broken down into distinct steps. Each step is then looked at to make sure it is necessary and is effective. The analysis process involves breaking down each component of the program.

Important processes and procedures to analyze:

• Post incident response procedures.

• Supervisor/employee walkaround inspection procedures. Do they assess for violence prevention measures?

• Review the employee survey process. Is it producing valid, reliable date?

• Review staff meetings/safety committee meetings to determine if they address violence prevention issues.

• Review workplace violence reporting procedures.

• Track the process of reporting problems and making engineering and administrative control measures.

• Review the violence prevention program education and training process.

It's also a good idea to include local law enforcement representatives, legal staff, OSHA, insurer, or private consultants and/or other expert third-party experts to evaluate program processes and procedures.

Important policies, plans, reports and records to analyze

• Review the written violence prevention plan.

• Violence prevention program policies. Policies should be informative and directive.

• Log of injuries and illnesses (OSHA 200 Log) to identify trends in workplace violence-related injuries relative to "baseline" rates.

• Safety inspection reports.

• Medical reports of worker injury.

• Incidents of assault and threats of violence.

• Post incident response reports.

• Information on high-risk clients with a history of past violence.

• Minutes of safety meetings.

• Job hazard analyses.

• Records of relevant training conducted, attendees and qualification of trainers.

Evaluate the program after an incident

After an incident occurs, it is especially important to evaluate the workplace violence prevention program and assess its effectiveness. Deficiencies should be identified and corrective action taken. It's crucial to know what risks existed prior to a threat or incident so that the evaluation team can determine what additional security measures, if any, should he put in place after a threat or violent incident.

• If warranted, provide increased worksite protection when serious threats of violence have been made, such as requesting additional police patrols, hiring security guards, and/or alerting organizations or people who might be affected.

• Consider the costs and benefits of providing increased protection to threatened employees, such as changing their phone numbers, relocation, loaning them a cellular phone, or providing them with a quick response distress button or information about where this device can be obtained.

• Counsel potential victims about various civil and criminal options available to them, such as obtaining a restraining order.

When all is said and done

Unfortunately, it does not appear that violence is decreasing in our society. Ultimately, this violence is being played out in the workplace. For legal, and more importantly, human reasons, businesses can no longer choose to ignore this important issue. These guidelines were created to help you in planning how your organization can address this issue. OSHA’s violence prevention guidelines are an essential component to workplace safety and health programs.

OSHA recognizes the importance of effective safety and health program management in providing safe and healthful workplaces. OSHA believes that the performance oriented approach of the guidelines provides employers with flexibility in their efforts to maintain safe and healthful working conditions. OSHA has additional information to help you with this and many other safety and health issues.

______________________________________________________________________________________

Workplace Violence Handbook

Source: USDA

1. What Is Workplace Violence?

Workplace violence can be any act of physical violence, threats of physical violence, harassment, intimidation, or other threatening, disruptive behavior that occurs at the work site. Workplace violence can affect or involve employees, visitors, contractors, and other non-Federal employees.

A number of different actions in the work environment can trigger or cause workplace violence. It may even be the result of non-work-related situations such as domestic violence or “road rage.” Workplace violence can be inflicted by an abusive employee, a manager, supervisor, co-worker, customer, family member, or even a stranger. Whatever the cause or whoever the perpetrator, workplace violence is not to be accepted or tolerated.

However, there is no sure way to predict human behavior and, while there may be warning signs, there is no specific profile of a potentially dangerous individual. The best prevention comes from identifying any problems early and dealing with them. Each USDA agency has an Employee Assistance Program (EAP) in place which serves as an excellent, confidential resource available to all employees to help them identify and deal with problems.

2. Responsibilities

It is up to each employee to help make USDA a safe workplace for all of us. The expectation is that each employee will treat all other employees, as well as customers and potential customers of USDA’s programs, with dignity and respect. You can and should expect management to care about your safety and to provide as safe a working environment as possible by having preventive measures in place and, if necessary, by dealing immediately with threatening or potentially violent situations which occur.

Because USDA programs touch the lives of so many persons, you can expect at some point in your career to encounter individuals who don’t share USDA’s core ethic of fairness, dignity, and respect. There are appropriate and effective ways to deal with such persons to avoid or minimize the damage they seek to cause, and we all need to educate ourselves on those methods.

In addition, supervisors and managers have the obligation to deal with inappropriate behavior by their employees and customers, to provide employees with information and training to employees on workplace violence, and to put effective security measures in place.

The following section provides a more detailed description of the responsibilities of various persons or offices.

Responsibilities:

• Employees

o Be familiar with Department/agency policy regarding workplace violence.

o Be responsible for securing their own workplace.

o Be responsible for questioning and/or reporting strangers to supervisors.

o Be aware of any threats, physical or verbal, and/or any disruptive behavior of any individual and report such to supervisors.

o Be familiar with local procedures for dealing with workplace threats and emergencies.

o Do not confront individuals who are a threat.

o Be familiar with the resources of the Employee Assistance Program.

o Take all threats seriously.

• Managers & Supervisors

o Inform employees of Department/agency workplace violence policies and procedures.

o Ensure that employees know specific procedures for dealing with workplace threats and emergencies, and how to contact police, fire, and other safety and security officials.

o Ensure that employees with special needs are aware of emergency evacuation procedures and have assistance (as necessary) regarding emergency evacuation situations.

o Respond to potential threats and escalating situations by utilizing proper resources from the following: local law enforcement and medical services, Federal Protective Service, human resources staff, and the Employee Assistance Program.

o Take all threats seriously.

o Check prospective employees’ backgrounds prior to hiring.

o Coordinate with other co-located agencies to develop joint workplace violence prevention plans.

• Agency Heads

o Develop a policy statement that indicates the agency will not tolerate violent or disruptive behavior and that all reports of incidents will be taken very seriously and dealt with appropriately.

o Ensure that the USDA Handbook on Workplace Violence Prevention and Response as well as appropriate agency materials are available to all employees and that all employees are aware of the procedures and instructions in them.

o Ensure that appropriate safety and law enforcement personnel have completed an on-site review of safety and security of buildings and offices.

o Provide adequate resources for employee training and awareness.

o Include workplace violence training in all employee orientation and supervisory training sessions.

o Provide funding for appropriate safety and security of employees.

o Ensure that performance standards of appropriate staff reflect the importance of workplace safety and security.

o Provide for briefings on workplace violence at staff meetings.

• Human Resources Staff

o Provide for supervisory training which includes basic leadership skills, such as setting clear standards of conduct and performance, addressing employee problems promptly, and using the probationary period, performance counseling, discipline, alternative dispute resolution, and other management tools conscientiously.

o Provide technical expertise and consultation to help supervisors determine what course of administrative action is most appropriate in specific situations.

o Determine whether sufficient evidence exists to justify taking disciplinary action once the investigation of any misconduct is complete.

o Help supervisors determine proper reasonable accommodation.

• Employee Assistance Program Counselors

o Provide short–term counseling and referral services to employees at no cost.

o Help in the prevention of workplace violence through:

▪ Early involvement in organizational change.

▪ Training employees in dealing with angry co-workers and customers, conflict resolution, and communication skills.

▪ Training supervisors to deal with problems as soon as they surface without diagnosing the employee’s problem.

▪ Consultation with supervisors to identify specific problem areas, develop action plans to resolve problems in the early stages, and encourage employees to contact the EAP for individual counseling.

▪ Consultation with incident response teams when a potential for violence exists or an actual incident is reported.

▪ Participation on critical incident stress debriefings teams in the event of a violent situation.

• Unions/ Employee Organizations

o Be familiar with and actively support policy and contract language on workplace violence prevention.

o Stay alert to security issues and potential threats.

o Stay fully abreast of procedures for addressing workplace threats and emergencies.

o Stay fully abreast of the Employee Assistance Program, including the procedures/policy regarding the ability of designated union officials to make employee referrals to EAP.

o Work closely with all levels of management to ensure that employees are up to date on Department and agency workplace violence prevention policy and procedures.

o Participate fully with management in all phases of workplace violence prevention and response, including membership on threat assessment and incident response teams.

• Security/Facilities Staff

o Serve as the liaison with law enforcement as well as the local expert on security matters.

o Conduct regular threat assessment surveys of the facility to determine the level of security preparedness and any gaps in the security posture.

o Serve as the facility security expert, keeping management advised of the risk of violence, the security gaps identified by threat assessments, and the means to close these gaps, including the latest technologies.

o Work with facility personnel to improve the security level of the buildings, grounds, parking lots, etc.

o Train facility personnel in security measures and violence prevention techniques. Facilities personnel should work closely with security staff to ensure buildings, areas, and grounds are safe for employees and visitors. This includes not only keeping buildings and grounds well maintained but participating with security personnel in threat assessment surveys, keeping management informed of the status of the physical plant, and providing budget requests with justification for security upgrades.

• Law Enforcement Staff

o Identify in advance the types of situations that may occur and when and how law enforcement should be notified of an incident.

o Indicate whether law enforcement officers have jurisdictional restrictions and identify alternative law enforcement agencies that may be able to provide assistance.

o Indicate whether law enforcement officers have arrest authority.

o Provide threat assessment personnel who can assist the agency in determining the best way to protect personnel.

o Suggest safety and security measures that need to be implemented.

o Arrange for all-employee briefings or training on specific workplace violence issues.

• Conflict Resolution Offices

o Provide mediation and other alternative dispute resolution (ADR) services to assist employees in resolving disputes.

o Provide training in conflict resolution, communication, and negotiation skills.

3. Prevention of Workplace Violence

A sound prevention plan is the most important and, in the long run, the least costly portion of any agency’s workplace violence program. Your agency should have the following programs in place to help prevent workplace violence:

Pre-Employment Screening – An agency should determine, with the assistance of its servicing personnel and legal offices, the pre-employment screening techniques which should be utilized, such as interview questions, background and reference checks, and drug testing if it is appropriate for the position under consideration and consistent with Federal laws and regulations.

Security – Maintaining a safe work place is part of any good prevention program. There are a variety of ways to help ensure safety, such as employee photo identification badges, guard services, and individual coded key cards for access to buildings and grounds. Different measures may be appropriate for different locations and work settings.

Alternative Dispute Resolution (ADR) – This program is most effective in resolving disputes when a conflict has been identified early and one of the following techniques is used: ombudspersons, facilitation, mediation, interest-based problem solving, and peer review.

Threat Assessment Team – This interdisciplinary team will work with management to assess the potential for workplace violence and, as appropriate, develop and execute a plan to address it.

Work and Family Life Programs – An agency/company should identify and modify, if possible, self-imposed policies and procedures which cause negative effects on the workplace climate.

Prevention of Workplace Violence:

Awareness/Training

One of the most critical components of any agency’s prevention program is training. Training is necessary for employees and supervisors, as well as for the staff in offices that may be involved in responding to an incident of workplace violence.

By participating in training sessions conducted by your agency’s Employee Assistance Program, security, conflict resolution, and employee relations staffs, you will get to know experts within the agency who can help when you are confronted with potentially violent situations.

All employees should know how to recognize and report incidents of violent, intimidating, threatening, and disruptive behavior. All employees should have phone numbers for quick reference during a crisis or an emergency. In addition, workplace violence prevention training for employees should include the following topics:

o Agency’s workplace violence policy.

o Encouragement to report incidents and the procedures to do so.

o Ways of preventing or defusing volatile situations or aggressive behavior.

o Ways to deal with hostile persons.

o Managing anger.

o Techniques and skills to resolve conflicts.

o Stress management, relaxation techniques, wellness training.

o Security procedures, e.g., the location and operation of safety devices such as alarm systems.

o Personal security measures.

o Programs operating within the agency that can assist employees in resolving conflicts, e.g., the Employee Assistance Program, ombudspersons, alternative dispute resolution, and mediation.

In addition to the training suggested above for employees, special attention should be paid to general supervisory training. The same approaches that create a healthy, productive workplace can also help prevent potentially violent situations. It is important that supervisory training include basic leadership skills such as setting clear standards, addressing employee problems promptly, and using the probationary period, performance counseling, discipline, and other management tools conscientiously. These interventions can keep difficult situations from turning into major problems. Supervisors do not need to be experts in dealing with violent behavior but need to know which experts to call, and be committed and willing to seek advice and assistance from those experts.

The following are areas that should be included in supervisory training:

o Ways to encourage employees to report incidents in which they feel threatened for any reason by anyone inside or outside the organization.

o Skills in behaving compassionately and supportively towards employees who report incidents.

o Skills in taking disciplinary actions.

o Basic skills in handling crisis situations.

o Basic emergency procedures, including who to call and what support resources and services are available.

o Appropriate screening of pre-employment references.

o Basic skills in conflict resolution.

Agency personnel who serve on assessment and response teams need to be competent in the skill area they are representing, and they need to know when and who to call for outside resources. Participating in programs and training sessions sponsored by government and professional organizations, reading professional journals and other literature, and networking with others in the profession they are representing are all helpful tools for team members to use in preparing to deal with workplace violence situations. In some cases where participation on a team is a collateral duty, employees may need special supplemental training.

Team members also need to understand enough about each other’s professions to allow them to work together effectively. Assessment and response team training should include discussion of policies, legal constraints, technical vocabulary, and other considerations that each profession brings to the interdisciplinary group.

Threat Assessment

Determining the seriousness of a potentially violent or stressful situation and how to best intervene is the basis of a threat assessment. Since it is impossible to know with any certainty whether a threat is going to be carried out, the agency should always treat threats in a serious manner and act as though the person may carry out the threat.

Your agency handbook on workplace violence will tell you who specifically to contact within your agency when you sense a potentially violent situation. That contact will take whatever action is necessary and appropriate to activate a threat assessment team. The purpose of the threat assessment team is to provide guidance on managing the situation in a way that protects the employees.

Members of a threat assessment team will vary depending on the situation, but may include representatives from:

o Management

o Employee Relations

o Employee Assistance Program (EAP)

o Law Enforcement, and/or Security

o Civil Rights/EEO

o Safety and Health Management Office

o Unions, where applicable

o Office of the General Counsel

o Office of Inspector General

o Conflict Resolution Office

Threat assessment teams evaluate the risks persons under suspicion may pose to particular targets. The approach and the timing for these evaluations will be specific to the circumstances of the potentially violent situation. Threats from sources outside the agency may require different actions.

Once a threat assessment is completed, management will decide what additional measures are needed to close any security gaps. Where appropriate and not a security breach, management will explain to employees and customers alike what new steps are being taken and why, to alleviate misunderstandings and confusion.

Long-Term Security

In addition to dealing with immediate situations, agencies also have a responsibility for continuous threat assessment. There are a number of basic security measures that many USDA offices already have in place, sometimes in conjunction with neighboring Federal offices or the facility lessor. In addition, there are ways to create physical barriers between the employee and the hazard, and administrative procedures which can reduce the likelihood for violence. Your agency’s administrative management staff is responsible for putting such measures into place. The Department has provided more detailed information to agencies to help them in that process.

Special Measures for Employees Who Work in the Field. USDA has large numbers of employees who work, literally, in the field, the forest, and the city, sometimes alone. Like other U.S. workers and citizens, USDA field employees are not immune to crime perpetrated against them while on the job, whether the crime is job related or not. Some USDA employees have been threatened while conducting compliance inspections and attacked while surveying forest tracts. Each agency will provide employees with specific safety guidelines appropriate to situations likely to be encountered by its employees.

In general, employees working alone and away from the office should prepare daily work plans and keep a contact person informed of their locations throughout their tour of duty. When necessary and feasible, management can implement a "buddy system" policy or provide for back-up, such as police assistance, so that workers do not enter a potentially dangerous situation alone.

Emergency Plans. Many offices already have emergency plans (also called crisis response plans) that describe procedures to follow during a fire or other emergency. Most, however, do not cover workplace violence emergencies, including bomb threats. These plans should also include violent incidents. Co-located agencies should have one unified emergency plan in place. The plan should be specific to the type of facility, building, and the workers it covers, and should describe:

o Procedures for calling for help;

o Procedures for calling for medical assistance;

o Procedures for notifying the proper authorities or whoever is acting in their place, security personnel and the police;

o Emergency escape procedures and routes;

o Safe places to escape inside and outside of the facility;

o Procedures to secure the work area where the incident took place;

o Procedures for accounting for all employees if a facility is evacuated;

o Procedures for identifying personnel who may be called upon to perform medical or rescue duties;

o Training and educating employees in workplace violence issues and the emergency action plan;

o Procedures for regularly evaluating and updating the plan; and

o Procedures for debriefing participants to identify lessons learned.

o

Outside groups that use USDA facilities should be made aware of USDA’s policy on workplace violence and the procedures for dealing with violent incidents.

Alternative Dispute Resolution (ADR)

ADR processes are designed to help parties resolve conflicts with the assistance of neutral third parties. ADR can be used as an alternative to court litigation or agency adjudications, or to help disputing parties resolve a problem that they cannot resolve on their own. Some ADR processes include facilitation, conciliation, mediation, and ombudsperson programs.

ADR can help prevent the escalation of conflict into violent or potentially violent situations. The key is using ADR early, before emotions or conduct make discussion a non- option. Here are two examples of how ADR can work:

A mediator trained in listening and communicating can defuse tensions, clear up misunderstandings, and open the door to productive dialogue. By helping uncover misunderstandings or enabling an individual to get something off his/her chest in a safe setting, the result may be not only immediate resolution of an issue, but improved relations and communications for the future.

An ombudsperson is the “eyes and ears” of the highest level of an organization. Individuals having complaints or grievances about the organization can bring them confidentially to the ombudsperson, who can listen, investigate, and recommend solutions to problems.

Considerations for Using ADR

ADR can be an appropriate vehicle for resolving many kinds of disputes. This is true whether the conflict is among USDA employees, or involves individuals outside USDA. ADR may be an option for your problem if:

o Parties are so committed to their views that progress is stuck.

o Communication styles between disputing parties require third-party assistance.

o You want to resolve a dispute but don’t want to file a formal complaint.

o You want to resolve your conflict quickly.

ADR may not be appropriate when the parties are so hostile toward each other that sitting down together might be unsafe.

For an ADR program to be successful, it must be one that is trusted by those who use it. Trust can be created by:

o Having the users of the program involved in designing it.

o Selecting neutral third parties who are competent and truly neutral.

o Making it voluntary rather than mandatory.

o Having the program operated by a trusted and respected office/individual.

Initiating an ADR Process

Conflict Between Employees: A number of USDA agencies have programs designed to achieve early resolution of conflict in the workplace; others will establish such programs to comply with the Secretary’s Conflict Management Policy. Most of these programs offer mediation. ADR can generally be initiated by supervisory or non-supervisory employees for workplace disputes of any kind.

Conflict With Customers: In approximately 20 States, USDA Certified Mediation Programs provide mediation for disputes between USDA and program applicants or participants. Although it is usually the customer who requests mediation, USDA employees who have a problem with a customer may be able to initiate mediation in some States. In other States, there are frequently resources available in the community that can provide ADR services (e.g., community mediation centers, law schools, courts).

Employee Assistance Program

Each agency has a confidential Employee Assistance Program (EAP) with trained counselors who can address workplace stress and violence issues. You can use these counselors as a way to assess whether a situation needs to be brought to the attention of management. You can also use them to strategize ways to deal with uncomfortable or threatening situations.

Seemingly insignificant conflicts between co-workers or managers can sometimes erupt into dangerous situations – especially if the problem goes unchecked. In many cases of worker- on-worker violence, minor non-violent conflicts that went unresolved built up until they were no longer manageable. By intervening early in a conflict between two people, whether it’s two workers or a worker and supervisor, you may be able to resolve the problem before it gets out of control.

Professional counselors are available to discuss problems that can adversely affect job performance and conduct. EAP is required to help employees deal with alcoholism or drug abuse problems, and most EAP counselors also help employees with other problems, for example, marital or financial. EAP counselors often refer employees to other professional services and resources within the community for further information, assistance, or long-term counseling.

EAP may differ from agency to agency in its structure and scope of services. Some are in-house programs, staffed by employees of the agency. Others are contracted out or are operated through an interagency agreement with the U.S. Department of Health and Human Services’ (DHHS) Division of Federal Occupational Health. Services differ among contracted programs, depending on the terms of the contract and the relationship between the agency and the contractor.

Confidentiality is an important issue for EAP. Employees who seek EAP services are afforded considerable privacy by laws, policies, and professional ethics of EAP providers. It is common practice for the EAP to inform employees in writing about the limits of confidentiality at the first meeting.

4. Identifying Potentially Violent Situations

If you ever have concerns about a situation which may turn violent, alert your supervisor immediately and follow the specific reporting procedures provided by your agency. It is better to err on the side of safety than to risk having a situation escalate.

The following are warning indicators of potential workplace violence:

• Intimidating, harassing, bullying, belligerent, or other inappropriate and aggressive behavior.

• Numerous conflicts with customers, co-workers, or supervisors.

• Bringing a weapon to the workplace (unless necessary for the job), making inappropriate references to guns, or making idle threats about using a weapon to harm someone.

• Statements showing fascination with incidents of workplace violence, statements indicating approval of the use of violence to resolve a problem, or statements indicating identification with perpetrators of workplace homicides.

• Statements indicating desperation (over family, financial, and other personal problems) to the point of contemplating suicide.

• Direct or veiled threats of harm.

• Substance abuse.

• Extreme changes in normal behaviors.

Once you have noticed a subordinate, co-worker, or customer showing any signs of the above indicators, you should take the following steps:

• If you are a co-worker, you should notify the employee’s supervisor immediately of your observations.

• If it is a customer, notify your supervisor immediately.

• If it is your subordinate, then you should evaluate the situation by taking into consideration what may be causing the employees problems.

• If it is your supervisor, notify that person’s manager.

It is very important to respond appropriately, i.e., not to overreact but also not to ignore a situation. Sometimes that may be difficult to determine. Managers should discuss the situation with expert resource staff to get help in determining how best to handle the situation.

5. Responding to Violent Incidents

No matter how effective agencies' policies and plans are in detecting and preventing incidents, there are no guarantees against workplace violence. Even the most responsive employers face this issue. When a violent incident does occur, it is essential the response be timely, appropriate to the situation, and carried out with the recognition that employees are traumatized and that the incident’s aftermath has just begun.

Because work situations and environments vary so greatly from agency to agency within USDA, it is up to each individual agency to develop and publicize the specific procedures for responding to workplace violence incidents in each location.

Responding to Violent Incidents:

• Occupant Emergency Plan. Every office or facility should distribute to each employee a viable occupant emergency plan outlining procedures to follow in the event of fire, bomb threats, civil demonstrations, threats of violence both inside and outside the office, natural disasters, etc.

If you do not have a copy of the current occupant emergency plan for your facility, contact your supervisor, the agency safety and health officer, or the facility security office.

In the event of an emergency, refer to the phone numbers of security, police, and medical service in your facility occupant emergency plan.

• Emergency Response Team. A traumatic or emergency response team goes into action once a situation of violence has occurred. The team usually consists of many of the same individuals who make up the threat assessment team but their purpose is to deal with the actual violent situation and its aftermath as well as to take steps to prevent similar future occurrences. A representative of the public affairs staff may also be a member of this team in order to deal with any release of information to the public.

The team assists management and employees by serving as a resource and information source in regard to workplace violence concerns; shares information with employees so that they are involved; responds, as needed, to incidents; assists with attempts to de-escalate and manage the situation; facilitates and coordinates response action to ensure that appropriate follow-up action is taken (investigations, victim assistance, preventive and corrective actions); coordinates with the media; and addresses administrative issues.

• Plans and Procedures for Recovering From a Workplace Violence Emergency This is a very crucial step in an agency’s program. Although the hope is that violence will not occur, if it does, agencies must be prepared to deal with the situation, to help in the healing process, and to get the workforce back to productivity.

Following a violent incident, employees experience three stages of “crisis reactions” to varying degrees:

Stage One. In this stage, the employee experiences emotional reactions characterized by shock, disbelief, denial, or numbness. Physically, the employee experiences shock or a fight-or- flight survival reaction in which the heart rate increases, perceptual senses become heightened or distorted, and adrenaline levels increase to meet a real or perceived threat.

Stage Two. This is the “impact” stage where the employee may feel a variety of intense emotion, including anger, rage, fear, terror, grief, sorrow, confusion, helplessness, guilt, depression, or withdrawal. This stage may last a few days, a few weeks, or a few months.

Stage Three. This is the “reconciliation stage” in which the employee tries to make sense out of the event, understand its impact, and through trial and error, reach closure of the event so it does not interfere with his or her ability to function and grow. This stage may be a long-term process.

While it is difficult to predict how an incident will affect a given individual, several factors influence the intensity of trauma. These factors include the duration of the event, the amount of terror or horror the victim experienced, the sense of personal control (or lack thereof) the employee had during the incident, and the amount of injury or loss the victim experienced (i.e., loss of property, self-esteem, physical well-being, etc.). Other variables include the person’s previous victimization experiences, recent losses such as the death of a family member, and other intense stresses.

• Evaluation. Agencies should have in place a mechanism to evaluate what took place to determine if everything was done that could have been done to have prevented the incident and what can be done to prevent it from happening again. The threat assessment and emergency response teams should be part of this process.

• Employee Assistance Program. EAP counselors should not be the first to intervene in situations which are hostile or dangerous. In those situations, law enforcement personnel should be the first to intervene. In the event of a violent incident, the EAP can advise management of the best ways to help employees cope with the emotional impact of the incident.

• Equal Employment Opportunity Commission Guidelines. The Equal Employment Opportunity Commission (EEOC) has issued guidelines that address potentially violent misconduct by employees with psychiatric and other disabilities. Agencies may discipline an employee with a disability who has violated a written or non-written rule that is job related and consistent with business necessity, as long as the agency would impose the same discipline on an employee without a disability.

An agency is never required to excuse past misconduct as a reasonable accommodation. A reasonable accommodation is a change to the workplace that helps an employee perform his or her job and may be required, along with discipline, when the discipline is less than removal. The servicing human resources management office can provide assistance to supervisors on determining proper reasonable accommodation.

6. Disclosure of Information

Employee Assistance Program

EAP counselors are prohibited by the confidentiality regulations (42 CFR Part 2) from disclosing information obtained from employees without their written consent. An exception to this prohibition however, is if an employee specifically threatens another person. In that case, the counselor generally will advise the employee that the information will be reported to appropriate authorities, regardless of whether a written consent is provided.

Threat Assessment Team

Information obtained during a threat assessment will be released to individuals needing the information in order to conduct an appropriate investigation into the situation, protect agency personnel, or confront the person making the threat. Typically, this includes security staff, employee relations staff, medical personnel as necessary, and management/supervisory personnel.

Critical Incident Stress Debriefing

Normally, this type of debriefing is conducted by EAP counselors or other mental health professionals. Information shared in the debriefing should remain confidential among the group present. This allows the employees a chance to recover from severe stress, talk about what they have gone through, and compare their reactions with those of others.

Dealing With the Media

Questions from the news media relating to incidents of workplace violence should be forwarded to the appropriate public affairs staff for your office.

Resources

Publications

1. "Dealing with Workplace Violence, a Guide for Agency Planners," Office of Personnel Management.

2. "Combating Workplace Violence, Guidelines for Employees and Law Enforcement," Defense Personnel Security Research Center, Private Sector Liaison Committee of the International Association of Chiefs of Police.

3. "Violence in the Workplace, Intervention Handbook," Department of the Air Force.

4. USDA Workplace Violence Policy.

5. “Preventing Workplace Violence,” handbook of the American Federation of State, County and Municipal Employees.

6. “Helping the Employee Recover from the Trauma of Workplace Violence,” Kenneth Wolf et al., EAP Digest.

7. “What You Should Know About Coping With Threats and Violence in the Federal Workplace,” Federal Protective Service, General Services Administration.

Websites

1. General Services Administration -

2. Office of Personnel Management -

3. Minnesota Center Against Violence and Abuse -

4. Workplace Solutions -

- - - - - - - - -

The U.S. Department of Agriculture (USDA) prohibits discrimination in all its programs and activities on the basis of race, color, national origin, gender, religion, age, disability, political beliefs, sexual orientation, and marital or family status. (Not all prohibited bases apply to all programs.) Persons with disabilities who require alternative means for communication of program information (such as Braille, large print, audiotape) should contact USDA’s Target Center at (202) 720-2600 (voice and TDD).

To file a complaint of discrimination, write USDA, Director, Office of Civil Rights, Room 326- W, Whitten Building, 14th and Independence Avenue, SW, Washington, DC 20250-9410 or call (202) 720-5964 (voice and TDD). USDA is an equal opportunity provider and employer.

December 1998

______________________________________________________________________________________

AREA IV: QUESTIONS WITH KEY

Introduction

This part of the CSHM Preparation Guide presents approximately 2000 questions representative of those that can be expected on the CSHM exam. Do not attempt to memorize these questions as a strategy for study. Rather, focus on being familiar with the various subject areas.

An enormous amount of information is presented that closely mirrors the subject matter within the exam. Answering these questions, as one form of study, may be quite helpful in determining your academic strengths and weaknesses.

Certification Examinations

The Institute’s CSHM certification examination is administered nation-wide a minimum of three times a year. Examination application deadlines and dates are posted at the Institutes website (.). The examination consists of 150 multiple-choice questions, each with four possible answers. Three hours are allotted to complete the examination. A passing or cut score is determined using the expert judgments of a standards setting panel. This score will vary depending on the actual examination form utilized.

The certification examination measures an individual’s mastery of the body of knowledge deemed appropriate as a result of a Job Practice Analysis conducted by the Institute. Preparation for the examination is best accomplished by mastering the body of knowledge recognized as appropriate for safety managers. The Institute uses exclusively four option multiple-choice items in its certification examinations for a number of reasons:

• 1. They are flexible and adaptable.

• 2. They tend to be more reliable than other formats.

• 3. They can accommodate a wide range of skills, knowledge and abilities to be measured.

• 4. They provide good sampling.

• 5. They have low chance scores.

• 6. They can be machine scored.

Multiple-choice items consist of three parts:

1. Stem - The stem states the problem or question to be answered.

2. Correct Answer - The correct answer is one of four potential options which represents the only correct response or the best correct response. (“Best” means a panel of experts would agree to this judgment.)

3. Distractors - Three distracters serve as incorrect responses. They are plausible, yet wrong, or not the best possible option.

The following is an example of the parts of a multiple-choice item:

|Stem: Typically, the most unreliable tool utilized in the selection process is a(n): |

| |Correct Answer: |A. employment interview |

| |Distractor: |B. selection test |

| |Distractor: |C. physical examination |

| |Distractor: |D. background check |

Items used on the Institute’s certification examinations were developed by certified safety and health managers who volunteer their services. A final review of each examination form was conducted by the Institute’s Board of Directors. Each examination form is carefully evaluated by the Board before being certified for use.

The three-step process of item development, item review and validation and examination review ensures that items are:

• clear, unambiguous and grammatically proper

• technically correct

• appropriate in terms of fairness--geographically, ethnically or culturally

• important for human resource professionals to know, and

• correctly coded to the ISHM Content Outline

Examination Preparation Methods, Strategies, and Resources

An important issue for examinees is preparation. There are a number of methods available in preparing for the ISHM examination. The selection of a method is a matter of individual preference based upon what best fits into one’s lifestyle. In the future, methods will range from the highly informal individual self-study to highly structured courses and workshops offered by professional organizations such as the National Safety Council, American Society of Safety Engineers, OSHA Training Network, and the National Safety Management Society.

Likewise, the strategy used to prepare for the certification examinations is equally important. Just like a world class athlete must “peak” at the precise moment of competition, so must an examinee on examination day. In addition to being able to master the safety management body of knowledge, the examinee should be both mentally and physically prepared to sit for the examination. Strategy is a critical element of preparation. The resources used to prepare are also critical elements of preparation. Sometimes the resources utilized will be a function of the preparation method selected. Other times, the potential examinee will have to select an appropriate resource from a wide range of possibilities. A mistake in selecting resources can significantly impact an examinee’s score.

Source: ISHM Electronic Certification Guide

Area IV. Topic A. Workers' Compensation

1. Prior to the introduction of workers' compensation law, employers could not claim there was no negligence on their part using common law defense: (Brauer, 43)

a. Assumption of risk

b. Comparative negligence

c. The fellow servant rule

d. Contributory negligence

2. Prior to the introduction of workers' compensation law, the employer used this defense by arguing an employee was negligent and caused the injury to the victim: (Brauer, 43)

a. Assumption of risk

b. Comparative negligence

c. The fellow servant rule

d. Contributory negligence

3. The employer used this defense, prior to the introduction of workers' compensation law, by arguing the victim acted carelessly, and therefore action against the employer was inappropriate: (Brauer, 43)

a. Assumption of risk

b. Comparative negligence

c. The fellow servant rule

d. Contributory negligence

4. Prior to the introduction of workers' compensation law, the employer used this defense by arguing the victim assumed the risk, therefore action against the employer was inappropriate: (Brauer, 43)

a. Assumption of risk

b. Comparative negligence

c. The fellow servant rule

d. Contributory negligence

5. The first constitutionally acceptable workers' compensation law was passed in: (Brauer, 44)

a. 1892

b. 1911

c. 1916

d. 1930

6. Workers' compensation laws were not declared constitutional by the U.S. Supreme Court until: (NSC, APM - A&P, p. 194)

a. 1892

b. 1911

c. 1916

d. 1930

7. Workers' compensation was not provided to all states until Mississippi enacted its first law in: (NSC, APM - A&P, p. 194)

a. 1892

b. 1911

c. 1930

d. 1948

8. Under workers' compensation law, employers are: (Brauer, 44)

a. able to counter sue the employee as a defense

b. able to settle out of court if employee is injured

c. allowed to sue the insurer for employee injury

d. no longer liable for negligence resulting in worker injury

9. Which of the following is not a federal government workers' compensation program? (Brauer, 44)

a. District of Columbia Workmen's Compensation Act (DCWCA)

b. Longshoremen's and Harbor Workers Act (LHWA)

c. Occupational Workers' Compensation Act (OWCA)

d. Federal Employees Compensation Act (FECA)

10. Which kind of workers' compensation law requires each employer to accept its provisions and provide for benefits as specified? (Brauer, 44)

a. compulsory law

b. administrative law

c. elective law

d. statutory law

11. Which kind of workers' compensation law gives the employer the right to accept or reject participation? (Brauer, 44)

a. compulsory law

b. administrative law

c. elective law

d. statutory law

12. All of the following are objectives of workers' compensation law, except: (Brauer, 45)

a. Restore worker earning capacity

b. Relieve public and private charities

c. Provide multiple remedies without delay

d. Encourage employer interest in safety

13. All of the following are objectives of workers' compensation law, except: (Brauer, 45)

a. Provide a single remedy

b. Provide rehabilitation to workers

c. Encourage employer interest in safety

d. Ensure financial relief to employers

14. Today, workers' compensation laws cover about ________ of all wage and salary employees: (Brauer, 45)

a. 60 percent

b. 70 percent

c. 80 percent

d. 90 percent

15. The main purpose of workers' compensation law is to: (Brauer, 45)

a. compensate the worker

b. relieve employer burden

c. excuse liability

d. ensure smooth administration

16. Originally, the term 'injury' referred to: (Brauer, 46)

a. immediate trauma or illness

b. physical damage to the body

c. physical or psychological harm

d. major physical trauma

17. During the 1980s claims increased significantly for this injury category: (Brauer, 46)

a. violence

b. stress

c. cumulative trauma

d. falls

18. During the 1990s claims increased significantly for this injury category: (Brauer, 46)

a. violence

b. stress

c. cumulative trauma

d. falls

19. Which of the following disability classes is not recognized by most states? (Brauer, 46)

a. Temporary total disability

b. Temporary partial disability

c. Permanent partial disability

d. Permanent total disability

20. This disability applies to a worker who is completely unable to work for a time because of a job-related injury: (Brauer, 46)

a. Temporary total disability

b. Temporary partial disability

c. Permanent partial disability

d. Permanent total disability

21. This disability applies to a worker who is unable to perform regular job duties during the recovery period but is able to work at a job requiring lesser capabilities: (Brauer, 46)

a. Temporary total disability

b. Temporary partial disability

c. Permanent partial disability

d. Permanent total disability

22. This disability applies to a worker who endures a permanent reduction of work capability, but is still able to retain gainful employment: (Brauer, 46)

a. Temporary total disability

b. Temporary partial disability

c. Permanent partial disability

d. Permanent total disability

23. This disability applies to a worker who is no longer able to work, even after medical and rehabilitative treatment: (Brauer, 47)

a. Temporary total disability

b. Temporary partial disability

c. Permanent partial disability

d. Permanent total disability

24. Which of the following is not an expense compensated by workers' compensation laws? (Brauer, 47)

a. Loss of insurance

b. Loss of wages

c. Burial expenses

d. Payments for impairments

25. Which of the below is not one of the three major theories to determine the amount of workers' compensation? (Brauer, 48)

a. Equivalent wages theory

b. Lost wages theory

c. Whole-man theory

d. Loss of potential earnings theory

26. This workers' compensation theory considers only the functional effect of the loss - its impact on normal functions and abilities: (Brauer, 48)

a. Equivalent wages theory

b. Lost wages theory

c. Whole-man theory

d. Loss of potential earnings theory

27. This workers' compensation theory considers the actual loss in wages relative to a standard that estimates what the individual would have earned: (Brauer, 48)

a. Equivalent wages theory

b. Lost wages theory

c. Whole-man theory

d. Loss of potential earnings theory

28. This workers' compensation theory is the most common approach for paying compensation: (Brauer, 48)

a. Equivalent wages theory

b. Lost wages theory

c. Whole-man theory

d. Loss of potential earnings theory

29. Due to the difficulty in determining compensation for permanent partial disability, this practice has become widespread: (Brauer, 48)

a. schedules

b. standard payouts

c. payout formulas

d. compensation equations

30. These establish in advance the value of each kind of disability: (Brauer, 48)

a. schedules

b. standard payouts

c. payout formulas

d. compensation equations

31. Lost wages and payments for impairment are usually based on: (Brauer, 48)

a. daily wages

b. annual salaries

c. average weekly earnings

d. monthly wages and benefits

32. Which of the following is not one of the standard methods of providing workers' compensation insurance to employers? (Brauer, 48)

a. self-insured benefits

b. private insurance

c. state-operated insurance

d. federal insurance

33. Large corporations may use this strategy to reduce administrative costs for workers' compensation: (Brauer, 48)

a. self-insured benefits

b. private insurance

c. state-operated insurance

d. federal insurance

34. In the U.S. most workers' expenditures are for: (Brauer, 49)

a. administrative fees

b. medical care expenses

c. compensation payments

d. legal services

35. Units of workers' compensation premiums are dollars per: (Brauer, 49)

a. average weekly payroll

b. standard state schedules

c. $100 of payroll

d. 100 payroll hours worked

36. This agency sets basic workers' compensation premium rates for most states: (Brauer, 49)

a. National Council of Compensation Insurance (NCCI)

b. Federal Workers' Compensation Administration (FWCA)

c. American Workers' Compensation Standards Agency (AWCSA)

d. Department of Labor: Workers' Compensation Division (DOL-WCD)

37. This workers' compensation premium rate is the same for all insurance companies within a state: (Brauer, 49)

a. Experience rate

b. Manual rate

c. Schedule rate

d. Computed rate

38. Under this workers' compensation experience rating, an employer's accident record influences future premiums: (Brauer, 49)

a. Retrospective rating

b. Manual rating

c. Prospective rating

d. Computed rating

39. This workers' compensation premium rate is no longer used because it was difficult and expensive to monitor compliance: (Brauer, 49)

a. Experience rate

b. Manual rate

c. Schedule rate

d. Computed rate

40. Under this workers' compensation experience rating, the employer and insurer agree to a set of adjustments in premium within upper and lower limits: (Brauer, 50)

a. Retrospective rating

b. Manual rating

c. Schedule rating

d. Computed rating

41. Under this workers' compensation rating method, manual rates apply and premiums are modified annual based on losses of all businesses within the state for that employment classification: (Brauer, 50)

a. Retrospective rating

b. Manual rating

c. Experience rating

d. Fixed rate premiums

42. Under this workers' compensation rating method, future premiums may be influenced by the experience of an individual employer: (Brauer, 49)

a. Retrospective rating

b. Manual rating

c. Experience rating

d. Fixed rate premiums

43. To avoid excessive fluctuation, how many years is used to compute an employer's workers' compensation experience rating? (Brauer, 49)

a. two years

b. three years

c. four years

d. five years

44. Which of these programs is probably least effective in dealing with possible behavioral and psychological aspects of worker post-injury recovery: (Brauer, 50)

a. Drug Free Workplace Program (DFW)

b. Employee Assistance Program (EAP)

c. Light Duty - Early Return to Work (ERW) Program

d. Post-injury Wellness Program

45. An employer with experience modification rates (MOD) of 1.2, 1.3, and .92 over the last three years. When would the employer's workers' compensation premium reflect the .92 MOD rate: (Brauer, 50)

a. next year

b. in two years

c. in three years

d. in four years

46. Under workers' compensation law, employees are least likely to be able to initiate a third party lawsuit against: (Brauer, 50)

a. other employer or organization

b. co-workers

c. manufacturers

d. the worker's employer

47. What is the MOST practical strategy to manage losses due to workplace injuries and illnesses?

a. Good labor contracts

b. Aggressive claims handling

c. Proactive safety programs

d. Changing state laws

48. Which of the following three goals is LEAST important in a workers' compensation program plan of action? (NSC, APP-AP, p.204)

a. prevent accidents

b. control costs

c. discipline often

d. respond to accidents promptly

49. If an employer in a common law court argues that the injured employee knew a perceived workplace danger existed and that they were liable for their own injury, what defense is the employer using? (Brauer, p.43)

a. Strict Liability

b. Assumption of Risk

c. Rule of No-Fault

d. Contributory Negligence

50. Which of the following does NOT meet eligibility criteria for workers' compensation? (NSC, APP-AP, p.196)

a. Injury

b. Illness

c. Employment

d. Mental impairment

51. Which of the following does NOT meet eligibility criteria for workers' compensation? (NSC, APP-AP, p.196)

a. Injury

b. Illness

c. Employment

d. Mental impairment

52. Which of the following is true concerning the OSHA 300 Log of Work-Related Injuries and Illnesses? (OSHA)

a. does not require record of needlestick injuries

b. exempts small employers

c. forbids computerized injury and illness records

d. requires domestic employee certification

53. Which of the following is true concerning the OSHA 300 Log of Work-Related Injuries and Illnesses? (OSHA)

a. does not require record of needlestick injuries

b. exempts small employers

c. forbids computerized injury and illness records

d. requires domestic employee certification

54. Which of the following injuries or illness are probably NOT OSHA recordable? (OSHA)

a. broken leg at company picnic soccer game

b. workplace injury requiring follow-up treatment

c. illness from chemical exposure at work

d. loss of consciousness while on the job

55. Which of the following does NOT meet eligibility criteria for workers' compensation? (NSC, APP-AP, p.196)

a. Injury

b. Illness

c. Employment

d. Mental impairment

Area IV. Topic B. Risk Management

1. According to Roger Brauer, to reduce uncertainty in describing factors that contribute to accidents, injuries, illnesses and death is a goal of: (Brauer, 528)

a. risk identification

b. risk analysis

c. risk evaluation

d. risk containment

2. According to Roger Brauer, which of the following is NOT one of the five general components or activities of risk management? (Brauer, 527-528)

a. financing risks

b. identifying risks

c. evaluating risks

d. eliminating risks

3. Which of the following is not one of the four steps of chemical risk assessment identified by the National Academy of Sciences? (Brauer, 533)

a. Hazard identification

b. Dose-response assessment

c. Risk reduction

d. Exposure assessment

4. A flood at a food processing plant damages the three processing lines. One of the lines must shut down as a result of the fire. The MOST serious loss the company will have to endure will most likely be:

a. Personal loss

b. Net income loss

c. Property loss

d. Liability loss

5. The National Academy of Sciences identified four steps in every complete chemical risk assessment. Which of the following is not one of those steps? (Brauer, 533)

a. Hazard evaluation

b. Dose - response assessment

c. Exposure assessment

d. Risk characterization

6. According to Pope, until the early 1960s, risk, as a management function, was limited to: (Pope, 112)

a. exposure risk

b. security risk

c. pure risk

d. financial risk

7. Controlling conditions that can be responsible for a loss is called: (Brauer, 527)

a. exposure risk

b. security risk

c. pure risk

d. financial risk

8. The idea of risk implies: (Brauer, 527)

a. any kind of risk to a business

b. specific security risk

c. financial risks

d. risk of injury or illness

9. Which of the following in not a preloss risk management objective? (Brauer, 528)

a. reducing worry over potential losses

b. meeting safety regulations

c. meeting the demands of good citizenship

d. returning to full operations

10. Keeping earnings stable through continued operations is an example of this risk management objective? (Brauer, 528)

a. postloss

b. transloss

c. preloss

d. nonloss

11. Which of the following is not one of the techniques used to identify risks? (Brauer, 528-529)

a. historical analysis

b. cost-benefit analysis

c. specialists

d. checklists

12. According to Brauer, it is not possible to ____ all risks. (Brauer, 529)

a. summarize

b. categorize

c. quantify

d. qualify

13. When many risks exist at once, it is most important to do which of the following? (Brauer, 529)

a. tackle one at a time

b. prioritize the risks

c. cost-benefit analysis

d. list according to date discovered

14. Two important factors to consider when prioritizing risks are: (Brauer, 530)

a. cost to implement and severity

b. resulting penalty and severity

c. degree of severity and cost

d. cost to implement and degree of reduction

15. All of the following are examples of effective tools to quantify risk, except: (Brauer, 530-532)

a. Risk assessment matrix

b. Risk summary worksheet

c. Risk management data sheet

d. Nomograms

16. According to Brauer, methods to pay for risks include all of the following, except: (Brauer, 531-532)

a. do nothing

b. develop a cash reserve

c. enter a risk pool

d. purchase insurance

17. According to Brauer, the final step in the risk management process is: (Brauer, 533)

a. accepting the process

b. adopting the process

c. analyzing the process

d. administering the process

18. Which of the following is not administering the risk management process? (Brauer, 533)

a. developing risk potentials

b. setting acceptable levels of risk

c. assigning resources to the process

d. selecting methods to track items

19. According to Brauer, all of the following should be tracked when administering the risk management process, except: (Brauer, 533)

a. items analyzed

b. hazards identified

c. control measures

d. decisions made

20. According to Brauer, which of the following is not involved in the risk assessment portion of risk management? (Brauer, 533)

a. synthesis

b. identification

c. analysis

d. evaluation

21. Which of the following is not one of the techniques used to identify risks? (Brauer, 528-529)

a. historical analysis

b. payback period

c. specialists

d. checklists

22. Which of the following is not one of the five components of Risk Management mentioned by Brauer? (Brauer, 528)

a. Eliminating or reducing

b. Enforcing at risk behaviors

c. Risk analysis

d. Risk identification

23. According to Brauer, risk evaluation includes: (Brauer, 533)

a. risk aversion and risk acceptance

b. risk acceptance and risk reduction

c. risk aversion and risk reduction

d. risk acceptance and risk removal

24. Which of the following is not a step in administering the risk management process: (Brauer, 531-532)

a. developing risk potentials

b. setting acceptable levels of risk

c. assigning resources to the process

d. selecting methods to track items

25. Reducing risk in the workplace usually involves finding solutions to all of the following except:

a. Hazardous conditions

b. Who was to blame

c. Unsafe work practices

d. Weaknesses in the safety program

26. Conditions and behaviors described in a problem statement represent the _________ of a safety management system that may have somehow failed.

a. structure

b. inputs

c. processes

d. outputs

27. The National Academy of Sciences identified four steps in every complete chemical risk assessment. Which of the following is not one of those steps? (Brauer, 533)

a. Hazard identification

b. Dose - response assessment

c. Exposure assessment

d. Risk calculation

28. Projecting frequency and severity is considered: (Brauer, 533)

a. risk management

b. risk assessment

c. risk estimation

d. risk evaluation

29. Risk assessment techniques that evaluate the probability of events occurring and the probability of their severity describes: (Brauer, 533)

a. Risk Management (RM)

b. Probablistic Risk Assessment (PRA)

c. Risk Projection (RP)

d. Risk Estimation (RE)

30. The goal of this activity is to reduce uncertainty in describing factors that contribute to accidents, injuries, illnesses and death: (Brauer, 528)

a. Risk management

b. Probablistic risk assessment

c. Risk projection

d. Risk identification

31. Which of the following equations can be used to compute a cost justification based on the relationship among risk, consequence, (Brauer, 535)

a. R = C x E x P

b. J = R/(C x E)/P

c. R = C/(E x P)

d. R = (C x P)/E

32. Which of the following is not listed as a factor that will increase risk or the uncertainty of loss imposed by a particular hazard? (Petersen, TSM, 191)

a. probability

b. consequences

c. exposure

d. duration

33. This activity involves describing the quantitative relationship between the amount of exposure and the extent of toxic injury or disease: (Brauer, 534)

a. Exposure assessment

b. Dose - Response Assessment

c. Risk analysis

d. Risk identification

34. This activity involves the nature and size of populations exposed to an agent and the magnitude and duration of the exposures: (Brauer, 534)

a. Exposure assessment

b. Dose - Response Assessment

c. Risk analysis

d. Risk identification

35. This activity integrates data and analysis to determine if people will experience effects of exposure: (Brauer, 534)

a. Exposure assessment

b. Risk Characterization

c. Risk analysis

d. Risk identification

36. All of the following are factors in determining a numerical risk score, EXCEPT: (Petersen, TSM, 192)

a. likelihood

b. exposure

c. Conditions, behaviors, systems

d. consequences

Area IV. Topic C. General Liability/Product Safety

1. A manufacturer or seller of a product being held liable for all injuries resulting from a product is an example of this form of liability: (Brauer, 54)

a. negligence

b. warranty

c. absolute

d. strict

2. This theory of liability deals with characteristics of products that are unreasonably dangerous: (Brauer, 54)

a. negligence

b. warranty

c. absolute

d. strict

3. This theory of liability involves the conduct or behavior of a person or corporate body, something they did or failed to do: (Brauer, 54)

a. negligence

b. warranty

c. absolute

d. strict

4. This theory of liability addresses performance of a product regarding implied or explicit claims made for it by the manufacturer or seller: (Brauer, 54)

a. negligence

b. warranty

c. absolute

d. strict

5. Wrongful acts, injuries or damages for which civil action can be brought are called: (Brauer, 54)

a. negligent acts

b. statutes

c. torts

d. criminal behavior

6. Under this legal concept complaints about products usually were ignored: (Brauer, 54)

a. negligence

b. caveat emptor

c. absolute liability

d. absolute liability

7. This doctrine further protected the manufacturer of products by limiting the parties involved in the transaction to the buyer and seller: (Brauer, 55)

a. warranty

b. caveat emptor

c. torts

d. privity of contract

8. Under this legal theory, which that emerged in 1962, a manufacturer is liable when an article he places on the market, knowing it is to be used without inspection for defects, proves to have a defect that causes injury to a person: (Brauer, 55)

a. strict liability

b. caveat emptor

c. torts

d. privity of contract

9. The vast majority of product liability suits are handled under this theory: (Brauer, 55)

a. torts

b. caveat emptor

c. strict liability

d. privity of contract

10. Under strict liability, the plaintiff in a products lawsuit must prove all of the following, EXCEPT: (Brauer, 55)

a. Defect existed when if it left defendant's hands

b. Defect was not identified or obvious

c. Defect was proximate and caused injury or harm

d. Defendant was negligent in duty toward plaintiff

11. Under the theory of negligence, the plaintiff must provide evidence required by strict liability and additional evidence. Which of the following below describes additional evidence required by the theory of negligence? (Brauer, 55)

a. Defendant failed in his duty toward plaintiff

b. Defect existed when if it left defendant's hands

c. Defect was proximate and caused injury or harm

d. Product was defective

12. Under the theory of warranty, the plaintiff must prove which of the following? (Brauer, 55)

a. Defendant failed in his duty toward plaintiff

b. Defect existed when if it left defendant's hands

c. Defect was proximate and caused injury or harm

d. Product failed to meet implied or expressed claims

13. Which of the following is not a typical defense in products liability lawsuits? (Brauer, 55-56)

a. The danger was obvious

b. The product met government standards

c. The danger is not due to product defect

d. The plaintiff altered the product

14. Which of the following describe the two types of warranty? (Brauer, 56)

a. implicit and explicit

b. implied and express

c. strict and contributory

d. formal and informal

15. Through this code, adopted by nearly all states, the consumer receives some guarantee regarding the quality of a product? (Brauer, 56)

a. National Product Quality Code

b. Federal Product Quality Act

c. Uniform Commercial Code

d. American National Standards Code

16. This form of warranty occurs when a seller state claims or representations for a product that become the basis for the bargain: (Brauer, 57)

a. formal

b. express

c. implied

d. assumed

17. This form of warranty is breached if injury to the buyer results from the intended use of the product: (Brauer, 57)

a. formal

b. express

c. implied

d. assumed

18. The plaintiff in a strict liability lawsuit must: (Brauer, 57)

a. prove manufacturer negligence

b. prove the product was defective

c. prove seller negligence

d. prove breach of warranty

19. These are conditions that are NOT compensated for by the ultimate consumer and are unreasonably dangerous to the consumer: (Brauer, 57)

a. defects

b. hazards

c. liabilities

d. warranties

20. This occurs when a seller makes expressed claims or representations for a product that become a basis for the bargain: (Brauer, 57)

a. assumed liability

b. implied warranty

c. strict liability

d. express warranty

21. These are unreasonably dangerous characteristics of a product resulting from decisions, calculations, drawings or specifications: (Brauer, 57)

a. planning error

b. product liabilities

c. design defects

d. product failures

22. Which of the following is a design factor from which dangerous defects may result? (Brauer, 57)

a. selection of materials

b. management of energy

c. safety features

d. reliability features

23. Which of the following is not a purpose of the Uniform Product Safety Act? (US Code Title 15, Chap. 47 )

a. protect the public against injury from consumer products

b. promote criminal investigation of product-related deaths

c. assist consumers to evaluate the safety of products

d. develop uniform safety standards for consumer products

24. This defect can be identified by comparing a good product from the same manufacturer with a defective one: (Brauer, 58)

a. process defect

b. manufacturing defect

c. product defect

d. materials defect

25. This legal doctrine expresses the idea that the thing speaks for itself and is frequently applied to negligence cases involving manufacturing defects: (Brauer, 58)

a. etu brutea

b. caveat emptor

c. res ipsa loquitur

d. productus res ipsa

26. Under the theories of negligence and strict liability, a supplier has a duty to all of the following, EXCEPT: (Brauer, 59)

a. warn in the consumer's primary language

b. warn about dangers that remain

c. instruct on safe use of the product

d. warn about danger during product use

27. Which test do courts use cases involving misuse of products? (Brauer, 59)

a. warranty

b. negligence

c. strict liability

d. foreseeability

28. In order for product liability to exist, the defect must have existed at the time: (Brauer, 58)

a. the plaintiff purchased the product

b. the product was initially manufactured

c. the product left the defendant

d. the plaintiff used the product

29. Which of the following is not one of the three main steps in a liability law suit? (Brauer, 59)

a. sentence

b. complaint

c. discovery

d. trial

30. This person's primary role is to remove unreasonable dangers from products and environments and prevent defects from reaching the marketplace: (Brauer, 62)

a. accountant

b. engineer

c. attorney

d. safety manager

31. Consumer products, as defined by the Consumer Product Safety Act, are articles or components for sale to consumers for use in all of the following situations, except: (Grimaldi & Simonds, 521)

a. in the workplace

b. in or around a residence or school

c. in recreation or otherwise

d. personal use, consumption, enjoyment

32. Which of the following is considered a consumer product by the Consumer Product Safety Commission? (Grimaldi & Simonds, 521)

a. tobacco

b. fire arms

c. medical devices

d. bicycles

33. Product liability insurance protects the manufacturing, retail, or service business against claims bodily injury or property damage arising from: (Grimaldi & Simonds, 521)

a. characteristics of the product

b. use of the product

c. design of the product

d. unintentional product defect

34. Locating warning where they are likely to be seen o heard and where the danger is refers to which characteristic? (Brauer, 60)

a. Compatibility

b. Novelty

c. Placement

d. Practicality

35. Giving people additional or more detailed data about a warning or its importance through training sessions, operating manuals or other means refers to which characteristic of warnings? (Brauer, 60)

a. Reinforcement

b. Novelty

c. Placement

d. Practicality

36. The ability to heed or comply with a warning in light of behavior that is normally expected or given a normal context for the warning describes which warning characteristic? (Brauer, 60)

a. Reinforcement

b. Novelty

c. Placement

d. Practicality

37. Which warning characteristics is defined as the ability to resist environmental conditions, such as abrasion, wear, wetness, chemicals, sunlight and so forth? (Brauer, 60)

a. Reinforcement

b. Novelty

c. Durability

d. Practicality

38. Which warning characteristic is particularly applicable to visual and audio warning devices that must act when a danger is present? (Brauer, 60)

a. Reliability

b. Novelty

c. Durability

d. Practicality

39. Which warning characteristic is concerned with the use of pictorials or symbolics and Braille to ensure that the message is received? (Brauer, 60)

a. Reliability

b. Novelty

c. Readability

d. Practicality

40. Which of the following is not a reason for naming a person or organization as a defendant in a complaint? (Brauer, 61)

a. The potential defendant has a contributory stake in the outcome

b. The potential defendant has a duty toward the plaintiff

c. The defendant may have a role in a defect causing injury to the plaintiff

d. The defendant has the ability to pay damages

41. In a trial involving product liability, engineers are often called as expert witnesses to testify about all of the following, EXCEPT: (Brauer, 61)

a. Product defects

b. design alternatives

c. non-compliance with OSHA standards

d. use of the product

42. A product may meet all necessary standards of design and contain no production flaws, yet it may be unreasonably dangerous for all of the following reasons, EXCEPT: (Brauer, 59)

a. Instructions do not list manufacturer information

b. Instructions did not adequately explain proper use

c. Warnings were not clearly state dangers of use

d. Warnings do not explain dangers of misuse

43. A product may meet all necessary standards of design and contain no production flaws, yet it may be unreasonably dangerous for all of the following reasons, EXCEPT: (Brauer, 59)

a. Instructions do not list manufacturer information

b. Instructions did not adequately explain proper use

c. Warnings were not clearly state dangers of use

d. Warnings do not explain dangers of misuse

44. These identify dangers inherent to the product or dangers that may result from its use or misuse: (Brauer, 59)

a. Instructions

b. Warnings

c. Notes

d. Cautions

45. These explain what actions one must take to eliminate or reduce the likelihood of injury from a product's dangers: (Brauer, 59)

a. Instructions

b. Warnings

c. Notes

d. Cautions

46. These explain how to use a product effectively or safely: (Brauer, 59)

a. Instructions

b. Warnings

c. Notes

d. Cautions

47. Under this theory, a supplier has a duty to warn of dangers that remain in a product or could during its use: (Brauer, 59)

a. implied liability

b. negligence

c. strict liability

d. both a and c above

48. Which of the following is a common mistake employers make when writing instructions? (Brauer, 59)

a. they are imperative statements

b. they describe what the product does

c. describe the steps to follow

d. describe a step-by-step order

49. Which of the following would be helpful in reviewing the quality of warnings and labels? (Brauer, 59)

a. legal experts

b. human factors experts

c. users

d. all of the above

50. All of the following are characteristics of effective instructions and warnings, EXCEPT: (Brauer, 60)

a. Durability

b. Effectiveness

c. Readability

d. Integrity

Area IV. Topic D. Fleet Safety

1. Which of the following is the standard formula to compute an annual fleet accident frequency rate? (NSC, APP-A&P, p. 224)

a. no. of drivers x 1 mil. miles / 1 mil. miles

b. no. of accidents x 1 mil. miles / 1 mil. miles

c. no. of drivers x 1 mil. miles / annual miles driven

d. no. of drivers x 1 mil. miles / number of drivers

2. Too often, this management responsibility is ignored by the safety professional? (Petersen, TSM, 317)

a. accountability system

b. fleet management

c. incentives and recognition

d. occupational health

3. According to the NSC, which of the following two areas should be the primary focus in a effective fleet safety program? (NSC, APP-A&P, p. 221)

a. driver error and maintenance

b. driver error and vehicle failure

c. mechanical error and maintenance

d. external conditions and vehicle maintenance

4. Statistics demonstrate that, across the board in many states, this is the number one cause of occupational death - the number one industrial killer: (Petersen, TSM, 317)

a. falls from elevation

b. forklifts accidents

c. the industrial truck

d. the motor vehicle

5. According to the NSC, an effective accident investigation in a fleet safety program should include all of the following, except: NSC, (APP-A&P, p. 222)

a. follow-up to prevent future accidents

b. investigation to determine liability

c. effective accident reporting and analysis

d. determination of corrective actions

6. According to Petersen, safety specialists may not be able to extend their influence to the fleet because: (Petersen, TSM, 318)

a. they may think fleet safety is different than plant safety

b. usual safety approaches will not work

c. they feel uncomfortable in fleet safety work

d. all of the above

7. According to the NSC, an effective driver education in a fleet safety program should include all of the following, except: NSC, (APP-A&P, p. 222)

a. driver selection process

b. driver training

c. safety-controlling activities

d. Proper supervision and implementation

8. According to Petersen, fleet safety is different from plant safety in two major ways. Which of the following is one of those ways? (Petersen, TSM, 318)

a. lack of adequate supervision

b. lack of effective enforcement

c. lack of adequate resources

d. lack of effective training

9. According to the NSC, an effective fleet safety program should include all of the following, except: NSC, (APP-A&P, p. 222)

a. accident investigation to determine fault

b. driver safety program

c. preventive maintenance program

d. written policies enforced by management

10. According to the NSC, which of the following is not part of an effective driver safety program? NSC, (APP-A&P, p. 222)

a. driver training

b. require immediate reporting of accidents

c. develop standards for accident prevention

d. develop a disciplinary file for each driver

11. According to Petersen, this is the single most important control measure that management has in fleet safety? (Petersen, TSM, 319)

a. forced supervision

b. driver selection

c. training

d. highway safety

12. Fleet safety program managers should keep these on every driver to furnish a history of all accidents: NSC, (APP-A&P, p. 224)

a. training folder

b. fleet safety card

c. driver record card

d. disciplinary file

13. According to the NSC, when a driver becomes an accident repeater, management should make every effort to: NSC, (APP-A&P, p. 224)

a. discipline the driver

b. rehabilitate the driver

c. discharge the driver

d. transfer the driver

14. A useful accident control tool is monthly or quarterly computation of fleet accident rates per: NSC, (APP-A&P, p. 224)

a. 1000 manhours of driving

b. 1,000,000 miles driven

c. 200,000 total work hours

d. 200,000 miles driven

15. According to the NSC, which of the following is not a reason for keeping a monthly record of frequency rates? NSC, (APP-A&P, p. 224)

a. analysis of performance changes

b. record noncompliance rates

c. analysis to determine trends

d. compare fleet performance with others

16. According to the NSC, which of the following is not an effective method for checking an individual's safety record? NSC, (APP-A&P, p. 224)

a. interview co-workers

b. personal interview

c. consult former employers

d. check state motor vehicle departments

17. According to the NSC, the requirements of an effective driving test in traffic include all of the following, except: NSC, (APP-A&P, p. 226)

a. select a random test route

b. objective checklist of performance measures

c. test a sample typical driving situations

d. include a test of typical maneuvers

18. According to the NSC, effective safe driver training will include all of the following, except: NSC, (APP-A&P, p. 227)

a. state and federal driving rules

b. offensive driving strategies

c. what to do if an accident occurs

d. company safe driving rules

19. According to the NSC, to provide driver motivation directly or indirectly, a fleet safety program should include all of the following, except: NSC, (APP-A&P, p. 227)

a. brief report of serious accidents

b. driver interviews after each accident

c. safe driving performance recognition

d. continuous safety instruction and reminders

20. According to the NSC, which of the following is not one of the objectives of an effective preventive maintenance program? NSC, (APP-A&P, p. 230)

a. stabilize the workload

b. minimize vehicles down for repair

c. correct defects as they occur

d. prevent accidents and delays

21. U.S. DOT requires all drivers perform this activity: NSC, (APP-A&P, p. 230)

a. pretrip route analysis

b. pretrip vehicle inspection

c. break inspection every thousand miles

d. report of road conditions

22. A chock should be positioned:

a. to stop vehicle from moving downhill

b. to stop vehicle from moving forward

c. to stop vehicle from moving backward

d. to stop vehicle from moving uphill

23. What is the safe position of a load on a truck bed?

a. fully forward on the bed

b. over the front axle

c. over the rear axle

d. centered on the bed

24. The goal of the this Act is to improve highway safety by ensuring that drivers of large trucks and buses are qualified to operate those vehicles and to remove unsafe and unqualified drivers from the highways:

a. Uniform Commercial Drivers Act of 1973

b. Commercial Motor Vehicle Safety Act of 1986

c. National Commercial Safety Act of 1970

d. American Trucking Standards Act of 1945

25. Drivers have been required to have a CDL in order to drive a commercial motor vehicle since:

a. 1986

b. 1945

c. 1992

d. 1932

26. The Federal standard requires States to issue this class of CDL to drivers who drive any combination of vehicles with a GCWR of 26,001 or more pounds provided the GVWR of the vehicle(s) being towed is in excess of 10,000 pounds:

a. Class A

b. Class B

c. Class C

d. Class D

27. The Federal standard requires States to issue this class of CDL to drivers who drive any single vehicle, or combination of vehicles, that does not meet the definition of Class A or Class B, but is either designed to transport 16 or more passengers, including the driver, or is placarded for hazardous materials:

a. Class A

b. Class B

c. Class C

d. Class D

28. Which of the following is not information required on all CDLs?

a. driver's date of birth, sex, and height

b. name of the issuing federal agency

c. words 'Commercial Driver's License' or 'CDL'

d. driver's State license number

29. Formerly a part of the Federal Highway Administration, this agency's primary mission is to prevent commercial motor vehicle-related fatalities and injuries.

a. National Commercial Motor Carrier Administration

b. National Highway Safety Administration

c. Federal Motor Carrier Safety Administration

d. Federal Commercial Carrier Administration

30. In fleet safety, accident records are analyzed to compare company performance with its own previous accident rates and with the records of other companies. Which of the following equations describes an accident frequency rate? (Petersen, TSM, 323)

a. (total number of accidents x 1 million miles)/actual mileage driven.

b. annual gross revenue/annual dollar losses from vehicle accidents.

c. total number of accidents/number of drivers.

d. (actual mileage driven/1 million miles) x number of drivers.

Area IV. Topic E. Fire and Life Safety

1. Fire death rates are greatest for what age groups? (Brauer, 225)

a. children under 10, adults older than 20

b. children under 10, adults older than 40

c. children under 5, adults older than 20

d. children under 5, adults older than 40

2. How many victims are involved in most fires? (Brauer, 225)

a. 1 or 2

b. 2 or 3

c. three or more

d. five or more

3. This 1911 fire is one of the greatest fire-related events and resulted in many changes in fire safety management: (Brauer, 225)

a. Chicago's Iroquois Theater

b. Triangle Shirtwaste Factory

c. Barnum and Bailey Circus

d. Beverly Hills Supper Club

4. What is the leading cause of industrial fires? (Brauer, 226)

a. friction

b. combustion sparks

c. electrical wiring

d. arson

5. What is the leading cause of civilian fires? (Brauer, 226)

a. matches

b. smoking

c. cooking

d. arson

6. What organization publishes a wide range of standards related to fire prevention, protection, engineering and building design? (Brauer, 227)

a. Occupational Safety and Health Administration (OSHA)

b. National Fire Research Council (NFRC)

c. National Fire Protection Association (NFPA)

d. National Institute for Occupational Safety and Health (NIOSH)

7. What is the rapid oxidation of material in which heat and light are emitted? (Brauer, 227)

a. fire

b. combustion

c. ignition

d. flame

8. What is an exothermic, self-sustaining reaction involving a solid fuel, a gaseous fuel or both? (Brauer, 227)

a. fire

b. combustion

c. ignition

d. flame

9. What is the initiation of combustion called? (Brauer, 227)

a. fire

b. combustion

c. ignition

d. flame

10. What is the minimum temperature that must be reached for ignition to occur? (Brauer, 227)

a. ignition temperature

b. lower flammability limit (LFL)

c. minimum combustion temperature

d. lower combustion temperature

11. Which of the following is not a term that describes the ignition process when there is no external source? (Brauer, 227)

a. autoignition

b. spontaneous ignition

c. piloted ignition

d. spontaneous combustion

12. All of the following may occur when heat builds up as a result of oxidation of organic material, except: (Brauer, 227)

a. autoignition

b. spontaneous ignition

c. piloted ignition

d. spontaneous combustion

13. Which of the following is not one of the three necessary components for fire or combustion? (Brauer, 227)

a. humidity

b. oxygen

c. fuel

d. heat

14. Which of the following is not one of the three components of the fire triangle? (Brauer, 227)

a. hydroxl radicals

b. oxygen

c. fuel

d. heat

15. A better model to help remember the components involved in combustion is called the: (Brauer, 228)

a. fire triangle

b. fire cube

c. fire pyramid

d. fire ball

16. This fire model also describes the production of hydroxyl (OH) radicals: (Brauer, 228)

a. fire triangle

b. fire cube

c. fire pyramid

d. fire ball

17. In addition to listing fuel, oxygen, and heat, this fire model also includes the production of hydroxyl (OH) radicals: (Brauer, 228)

a. fire triangle

b. fire cube

c. fire pyramid

d. fire ball

18. Combustion of ordinary hydrocarbons occurs at this temperature: (Brauer, 228)

a. 500 deg F.

b. 1000 deg F.

c. 2000 deg F.

d. 3000 deg F.

19. Combustion of some metals may occur at this temperature or higher: (Brauer, 228)

a. 5000 deg F.

b. 3000 deg F.

c. 2000 deg F.

d. 1000 deg F.

20. Each kind of fuel has an energy or heat value usually called: (Brauer, 228)

a. heat unit

b. heat of combustion

c. heat thermal unit

d. heat of reaction

21. The rate of heat produced during combustion is a function of: (Brauer, 228)

a. rate of combustion

b. nature of fuel

c. oxygen content

d. humidity

22. What happens to the rate of heat production when high pressure air or gases with an oxygen content are applied to combustion? (Brauer, 228)

a. increases

b. decreases

c. remains the same

d. truncates

23. What is the total heat produced during a fire involving 20 lbs of gasoline with a heat of combustion value of 19,000 BTU/lb? (Brauer, 228)

a. 90,500 BTU

b. 190,000 BTU

c. 380,000 BTU

d. 720,000 BTU

24. A fire involving 20 lbs of gasoline with a heat of combustion value of 19,000 BTU/lb would produce the same heat as: (Brauer, 228)

a. 10 lbs of oil with a heat of combustion of 10,000 BTU

b. 10 lbs of diesel fuel with a heat of combustion of 26,000 BTU

c. 30 lbs of wood with a heat of combustion of 5,5000 BTU

d. 50 lbs of paper with a heat of combustion of 7,2000 BTU

25. Which formula below is used to determine the total heat produced in a fire? (Brauer, 228)

a. fuel weight (lbs) x heat of combustion (BTU)

b. (fuel weight (lbs) x heat of combustion)/rate of combustion (min.)

c. (rate of combustion (sec) x heat of combustion)/weight of fuel (lbs.)

d. (rate of combustion (sec) x heat of combustion)/200,000

26. Heat is transferred from the fire to the surrounding area by all of the following, EXCEPT:

(Brauer, 228)

a. convection

b. transference

c. conduction

d. radiation

27. Heat is transferred from most fires to the surrounding area by: (Brauer, 228)

a. convection

b. transference

c. conduction

d. radiation

28. The upward movement of hot gases is driven by what condition? (Brauer, 228)

a. geometry

b. air flow

c. thermal gradient

d. temperature

29. Radiation of heat is highly dependent on which of the following? (Brauer, 228)

a. geometry

b. air flow

c. thermal gradient

d. temperature

30. A nearby building may actually burst into flames if too much heat is absorbed by: (Brauer, 228)

a. radiative transfer

b. rapid air flow

c. intense thermal gradient

d. rapid temperature rise

31. The fire triangle states we may extinguish a fire using any one of three approaches. Which of the following is not one of these approaches? (Brauer, 229)

a. cool the fire

b. limit the oxygen supply

c. decrease pressure

d. remove the fuel

32. Which of the following is the most common gas produced by incomplete combustion? (Brauer, 229)

a. hydrogen cyanide

b. carbon monoxide

c. carbon dioxide

d. sulfur dioxide

33. What type of fire suppression system works by applying gas-filled bubbles formed from water-based and other materials? (Brauer, 254)

a. carbon dioxide

b. halon

c. dry chemicals

d. foam

34. Which common gas produced by fires is a major cause of death and is lethal even at low levels? (Brauer, 229)

a. hydrogen cyanide

b. carbon monoxide

c. carbon dioxide

d. sulfur dioxide

35. Which common gas produced by fires kills by attaching to the hemoglobin of red blood cells? (Brauer, 229)

a. hydrogen cyanide

b. carbon monoxide

c. carbon dioxide

d. sulfur dioxide

36. Which common gas produced by fires may be found in fire fighters several days following a fire? (Brauer, 229)

a. acrolein

b. carbon monoxide

c. carbon dioxide

d. ammonia

37. Which of the following is not a factor affecting the vertical movement of gases in a fire? (Brauer, 230)

a. looseness of construction

b. external winds

c. difference between internal and external temperature

d. presence of vertical openings

38. Which common gas produced by fires is not typically harmful at low levels? (Brauer, 229)

a. acrolein

b. carbon monoxide

c. carbon dioxide

d. ammonia

39. Which gas produced by fires is a strong respiratory irritant that can cause death in small concentrations? (Brauer, 229)

a. acrolein

b. carbon monoxide

c. carbon dioxide

d. ammonia

40. Which gas produced by fires is an eye and nose irritant that can cause breathing difficulty? (Brauer, 229)

a. acrolein

b. carbon monoxide

c. carbon dioxide

d. ammonia

41. During a fire, why do hot gases and smoke rise above the flame? (Brauer, 229-230)

a. due to their lower density

b. due to their higher temperature

c. due to cooler gases below pushing up

d. due to increased vapor density

42. During a fire, why do hot gases expand in volume? (Brauer, 230)

a. due to their lower density

b. due to their higher temperature

c. due to cooler gases below pushing up

d. due to increased vapor density

43. What will a hot layer do once it is confined? (Brauer, 230)

a. increase in thickness

b. dissipate due to pressure

c. increase back pressure

d. push into cool levels above

44. Which of the following is not a factor affecting the vertical movement of gases in a fire? (Brauer, 230)

a. tightness of construction

b. external winds

c. difference between internal and external temperature

d. presence of horizontal openings

45. What is the effect called when pressure differentials cause cool air to rush in at the lowest level of a building and flow out at the top level? (Brauer, 230)

a. in and out

b. external push

c. stack effect

d. back pressure

46. Studies have shown that the amount of smoke produced is related to: (Brauer, 231)

a. temperature of the fire

b. perimeter of the fire

c. height of the clear zone of air

d. b and c above

47. The NFPA classification system for flammable and combustible liquids uses all of the following criteria, EXCEPT: (Brauer, 231)

a. flash point

b. vapor pressure

c. heat of combustion

d. anticipated ambient temperature conditions

48. The property of a liquid in a closed container is called: (Brauer, 231)

a. flash point

b. vapor pressure

c. vapor point

d. ambient pressure

49. The temperature at which the equilibrium vapor pressure of a liquid equals the total pressure on the surface: (Brauer, 231)

a. flash point

b. vapor pressure

c. vapor point

d. boiling point

50. What is the result if there is too much or too little fuel in a mixture of fuel and air? (Brauer, 233)

a. combustion will increase

b. combustion will not occur

c. combustion will be incomplete

d. combustion will not be affected

51. Which of the following describes the flash point of a flammable liquid? (Brauer, 233)

a. less than 100 deg F.

b. less than 73 deg F.

c. more than 100 deg F.

d. more than 140 deg F.

52. What is the minimum concentration of vapor-air below which propagation of a flame will not occur? (Brauer, 233)

a. lower flash limit (LFL)

b. lower flammable limit (LFL)

c. lower ignition limit (LIL)

d. lower combustion limit (LCL)

53. What is the maximum concentration of vapor-air above which propagation of a flame will not occur? (Brauer, 233)

a. upper flash limit (UFL)

b. upper combustion limit (UCL)

c. upper ignition limit (UIL

d. upper flammable limit (UFL)

54. Mixtures of fuel and oxygen said to be too rich exist above the: (Brauer, 233)

a. upper flash limit (UFL)

b. upper combustion limit (UCL)

c. upper ignition limit (UIL

d. upper flammable limit (UFL)

55. Mixtures of fuel and oxygen said to be too lean exist below the: (Brauer, 233)

a. lower flash limit (LFL)

b. lower flammable limit (LFL)

c. lower ignition limit (LIL)

d. lower combustion limit (LCL)

56. Mixtures of fuel and oxygen between the LFL and UFL are said to exist within the: (Brauer, 233)

a. flash region

b. flammable range

c. ignition range

d. combustion region

57. Those gases that exist at standard temperatures and pressures and will burn in normal concentrations of oxygen in air are called: (Brauer, 235)

a. reactive gases

b. combustible gases

c. flammable gases

d. inert gases

58. Those gases that do not burn in any concentration of air or oxygen are called: (Brauer, 235)

a. nonreactive gases

b. noncombustible gases

c. nonflammable gases

d. inert gases

59. Those gases that do not support combustion are called: (Brauer, 235)

a. nonreactive gases

b. noncombustible gases

c. nonflammable gases

d. inert gases

60. Those gases that react with other materials in processes other than combustion are called: (Brauer, 235)

a. reactive gases

b. combustible gases

c. flammable gases

d. inert gases

61. Which of the following is not one of the three categories of fire hazards developed by the NFPA: (Brauer, 236)

a. health hazard

b. safety hazard

c. flammability

d. reactivity

62. Which of the following numbers would designate the existence of no special hazards in the NFPA Diamond symbol system for identification of hazardous materials? (Brauer, 237)

a. 0

b. 1

c. 3

d. 4

63. Which of the following NFPA Diamond numbers would inform the reader that materials will rapidly or completely vaporize at normal ambient temperatures? (Brauer, 237)

a. 0

b. 1

c. 3

d. 4

64. Which of the following is not an objective of fire safety in buildings? (Brauer, 238)

a. getting occupants out safely

b. preserving evidence for later analysis

c. minimizing property loss

d. minimizing interruption of operations

65. The strategy to restrict horizontal and vertical movement of fire, smoke and heat is called: (Brauer, 241)

a. stratification

b. limited movement

c. confinement

d. compartmentation

66. Which of the following is not one of the three stages of a fire? (Brauer, 241)

a. creation

b. growth

c. full development

d. decay

67. The severity of a fire in terms of intensity and duration is a function of: (Brauer, 241)

a. quantity of combustibles available

b. burning rate of combustibles

c. air available for combustion

d. all of the above

68. The maximum heat released if all combustibles in a fire area burn, including heat from combustible contents and combustible interior finish, floor and structural materials is called: (Brauer, 241)

a. British Thermal Load (BTL)

b. total combustion load

c. heat load

d. fire load

69. Each of the following is described as a method to limit the spread of fire along horizontal construction, EXCEPT: (Brauer, 243-244)

a. curtain boards

b. fire walls

c. venting

d. alarms

70. Life safety deals with providing people with a reasonable degree of safety and opportunity to exit the facility if a fire occurs. Life safety is explained in detail within: (Brauer, 248)

a. NFPA 100

b. NFPA 101

c. NFPA 110

d. NFPA 111

71. Which of the following categories is not listed by life safety codes as a class of hazard? (Brauer, 248)

a. low

b. ordinary

c. high

d. extreme

72. There are three parts to the means of egress. Which of the following is not one of them? (Brauer, 248)

a. exit location

b. exit access

c. exit

d. exit discharge

73. This is a path leading to the entrance to an exit: (Brauer, 248)

a. exit location

b. exit access

c. exit

d. exit discharge

74. This is a protected zone of a building the leads outdoors at ground level: (Brauer, 248)

a. exit location

b. exit access

c. exit

d. exit discharge

75. This is bounded by one or more entrances to it and one or more doors to leave it at ground level: (Brauer, 249)

a. exit location

b. exit access

c. exit

d. exit discharge

76. This is located between the protected exit and outside ground where the doors do not open directly to the outside ground: (Brauer, 249)

a. exit location

b. exit access

c. exit

d. exit discharge

77. Exits are measured in terms of: (Brauer, 249)

a. exit location

b. exit units

c. exit access

d. exit discharge

78. Exit units are _______ inches wide, the average width of a man at shoulder height. (Brauer, 249)

a. 22

b. 28

c. 33

d. 38

79. The number of people expected to be present at one time in a building or floor for which exits are provided is called the: (Brauer, 249)

a. occupant capacity

b. occupant load

c. exit capacity

d. total exist units

80. How may routes of egress should be provided for each exit in effective exit design? (Brauer, 249)

a. 1

b. 2

c. 3

d. 4

81. Which of the following computations is used to determine occupant load? (Brauer, 250)

a. floor area / allowable capacity per exit unit

b. number of exit units x floor area

c. floor area / allowable occupant load

d. number of exit units / floor area

82. Which of the following computations is used to determine the number of necessary exit units? (Brauer, 250)

a. occupant load / allowable capacity per exit unit

b. number of exit units x floor area

c. floor area / allowable occupant load

d. number of exit units / floor area

83. All of the following are kinds of heat detectors, EXCEPT: (Brauer, 251)

a. fixed temperature detectors

b. variable humidity detectors

c. rate-of-rise detectors

d. rate compensation detectors

84. These detectors are designed to operate when a preset temperature is reached: (Brauer, 251)

a. fixed temperature detectors

b. flame detectors

c. rate-of-rise detectors

d. rate compensation detectors

85. These detectors respond to fires that flame up quickly but do not react to slower changes in ambient temperature that would normally be expected: (Brauer, 251)

a. fixed temperature detectors

b. smoke detectors

c. rate-of-rise detectors

d. rate compensation detectors

86. These detectors respond to a preset temperature, but is less sensitive to thermal lag than a fixed temperature device: (Brauer, 251)

a. fixed temperature detectors

b. smoke detectors

c. rate-of-rise detectors

d. rate compensation detectors

87. These detectors monitor for certain wavelengths in the field of view of the sensing device: (Brauer, 251)

a. flame detectors

b. smoke detectors

c. rate-of-rise detectors

d. rate compensation detectors

88. These detectors sense the presence of certain gases produced by combustion in most fires: (Brauer, 252)

a. flame detectors

b. smoke detectors

c. rate-of-rise detectors

d. gas detectors

89. What type of fire involves ordinary combustibles like wood, paper, and cloth? (Brauer, 253)

a. Class A

b. Class B

c. Class C

d. Class D

90. What type of fire involves electrical equipment fires? (Brauer, 253)

a. Class A

b. Class B

c. Class C

d. Class D

91. What type of fire involves flammable and combustible liquids, flammable gases, greases and oils? (Brauer, 253)

a. Class A

b. Class B

c. Class C

d. Class D

92. What type of fire involves combustible metals? (Brauer, 253)

a. Class A

b. Class B

c. Class C

d. Class D

93. What type of sprinkler system contains water under pressure at all times? (Brauer, 254)

a. wet-pipe system

b. dry-pipe system

c. deluge system

d. combined system

94. What type of sprinkler system contains air or nitrogen under pressure at all times? (Brauer, 254)

a. wet-pipe system

b. dry-pipe system

c. preaction

d. combined system

95. What type of sprinkler system has features of a dry-pipe system and a preaction system? (Brauer, 254)

a. wet-pipe system

b. dry-pipe system

c. deluge system

d. combined system

96. What type of sprinkler system is similar to the preaction system with all sprinklers being on all the time? (Brauer, 254)

a. wet-pipe system

b. dry-pipe system

c. deluge system

d. combined system

97. What type of sprinkler system is a special type of dry-pipe system in which pipes may or may not be under pressure and sensors are located at the sprinkler heads? (Brauer, 254)

a. wet-pipe system

b. preaction system

c. deluge system

d. combined system

98. What type of fire suppression system works by reducing the oxygen content of air and by cooling, and is most suitable for Class B fires? (Brauer, 254)

a. carbon dioxide

b. halon

c. dry chemicals

d. foam

99. What type of fire suppression system employ a number of chemicals and are most effective in suppressing Class B and C fires? (Brauer, 254)

a. carbon dioxide

b. halon

c. dry chemicals

d. foam

100. What type of fire suppression system works by interrupting the hydroxl radical of combustion? (Brauer, 254)

a. carbon dioxide

b. halon

c. dry chemicals

d. foam

Area IV. Topic F. Health and Wellness

1. Health-promotion programs educate employees on how to maintain health. Which of the following is true concerning health-promotion programs? (NSC, OHS, 275)

a. they may be comprehensive

b. they may focus on a single risk factor

c. they may enhance both psychological and physical health

d. all of the above are true

2. Which type of health-promotion program shows greater cost efficacy? (NSC, OHS, 275)

a. a comprehensive program

b. a focused (single risk factor) program

c. a program assigned to an external contractor

d. a program conducted by employees

3. This type of health-promotion program identifies organizational risk factors, such as environmental toxins, in addition to individual risk factors: (NSC, OHS, 275)

a. a comprehensive program

b. a focused (single risk factor) program

c. a program assigned to an external contractor

d. a program conducted by employees

4. This type of health-promotion program focus on the early detection of and behavioral intervention into one of more detectable risk factors: (NSC, OHS, 275)

a. a comprehensive program

b. a focused (single risk factor) program

c. a disease prevention program

d. a program conducted by employees

5. This type of health-promotion program focus on the early detection of and behavioral intervention into one of more detectable risk factors: (NSC, OHS, 275)

a. a comprehensive program

b. a focused (single risk factor) program

c. a disease prevention program

d. a program conducted by employees

6. This health-promotion program addresses problems through policy-level organizational changes, and personal treatments and referrals: (NSC, OHS, 275)

a. a comprehensive program

b. a focused (single risk factor) program

c. a disease prevention program

d. an ergonomics program

7. In an organization with a simple structure (see Are I, Section E), the success or failure of a health-promotion may depend on: (NSC, OHS, 276)

a. policy formulation

b. interest of the CEO

c. matrix decision-making

d. labor-management collaboration

8. Health-promotion and disease-prevention programs derive their empirical and clinical base from the academic discipline of: (NSC, OHS, 276)

a. behavior-based safety

b. homeopathy

c. behavioral medicine

d. industrial psychology

9. This academic discipline seeks to fuse the best medical and behavioral interventions to create a more health- and cost-effective approach to health-promotion program management: (NSC, OHS, 276)

a. behavior-based safety

b. homeopathy

c. behavioral medicine

d. industrial psychology

10. All of the following are relatively objective risk factors representing the focus of the majority of evaluations of health-promotion programs, EXCEPT: (NSC, OHS, 280)

a. smoking

b. stress

c. blood pressure

d. physical fitness

11. The Centers for Disease Control and Prevention estimate that _____ of all premature deaths in adults in the United States are from lifestyle-related causes: (CDC)

a. 10%

b. under 20 percent

c. over half

d. virtually all

12. The Centers for Disease Control and Prevention estimate that _____ of premature deaths are from problems that are treatable through traditional medical care: (CDC)

a. 10%

b. less than one fifth

c. over half

d. virtually all

13. This worksite-based program assists in the identification and resolution of productivity problems associated with employees impaired by personal concerns that may adversely affect employee job performance: (HHS)

a. health awareness program

b. drug free workplace

c. employee assistance program

d. employee healthful workplace

14. Modifiable risk factors medically relevant to wellness programs include all of the following, EXCEPT: (Grant & Brisbin, xii)

a. smoking

b. lack of physical exercise

c. group dynamics

d. diet

15. Modifiable risk factors medically relevant to wellness programs include all of the following, EXCEPT: (Grant & Brisbin, xii)

a. alcohol abuse

b. stress reduction

c. workstation design

d. drug abuse

16. The U.S. Preventive Health Services Task Force recommends _____ of aerobic exercise three to five times a week: (Grant & Brisbin, xiii)

a. 20-60 minutes

b. 1 hour

c. 90 minutes

d. 1-3 hours

17. The U.S. Preventive Health Services Task Force recommends 20 to 60 minutes of aerobic exercise: (Grant & Brisbin, xiii)

a. one to two times a day

b. once a week

c. one to three times a week

d. at least five times a week

18. Which of the following is not one of the benefits of regular exercise? (Grant & Brisbin, xiii)

a. lowered blood pressure

b. stable blood fat

c. stable body weight

d. lower cholesterol

19. All of the following are benefits of regular exercise, EXCEPT: (Grant & Brisbin, xiii)

a. lower perceived stress

b. stable blood sugar

c. stable body weight

d. higher cholesterol

20. Which of the following is true according to recent studies on the benefits of exercise? (Grant & Brisbin, xiii)

a. regular exercisers miss less work

b. increased productivity

c. greater concentration

d. all of the above are true

21. Stress in the workplace results in all of the following, EXCEPT: (Grant & Brisbin, xiv)

a. hypotension

b. headaches

c. back strain

d. asthma

22. Stress in the workplace results in all of the following, EXCEPT: (Grant & Brisbin, xiv)

a. hypertension

b. diabetes

c. neck strain

d. compression

23. Which of the following is not a characteristic of a healthy workplace? (Grant & Brisbin, 4)

a. clearly defined objectives

b. commitment to production first

c. respect and admiration for contributions

d. support for innovation

24. Which of the following is not a characteristic of a healthy workplace? (Grant & Brisbin, 4)

a. recognition of employees before peers

b. commitment to quality at the time of production

c. promotion of healthy lifestyles and activities

d. health policy with firm accountability

25. A wellness director needs a strong background in all of the following, EXCEPT: (Grant & Brisbin, 6)

a. business management

b. physical sciences

c. safety engineering

d. counseling

26. Which of the following is a critical wellness director strength? (Grant & Brisbin, 6-7)

a. ability to motivate

b. maintain tight control

c. ability to speak and write well

d. work cooperatively

27. To perform most effectively, the wellness director needs be a subject matter expert in all of the following areas, EXCEPT: (Grant & Brisbin, 12-15)

a. nutrition

b. smoking cessation

c. stress management

d. engineering controls

28. All of the following areas of expertise are important prerequisites for a wellness director, EXCEPT: (Grant & Brisbin, 12-15)

a. back care

b. production processes

c. weight management

d. drug and alcohol abuse

29. Which of the following program areas of a wellness program helps to slow the rapidly escalating rate of related workers' compensation claims? (Grant & Brisbin, 6-7)

a. stress management program

b. nutritional education and weight management

c. smoking cessation program

d. drug and alcohol education and rehabilitation

30. These programs are often initiated through employee assistance programs through the community, state, or federal government: (Grant & Brisbin, 15)

a. back care

b. production processes

c. weight management

d. drug and alcohol abuse

31. In order for a wellness program to be effective it must be: (Grant & Brisbin, 16)

a. owned by management

b. narrowly defined

c. comprehensive

d. managed by employees

32. The first step to implementing a workplace wellness program is the: (Grant & Brisbin, 17)

a. development of a policy statement

b. determine a budget

c. get bids from contractors

d. survey employees

33. All of the following would be a goal of the workplace wellness program, EXCEPT: (Grant & Brisbin, 17)

a. help employees achieve a lifestyle that promotes health

b. ensure injured employees return to work as soon as possible

c. develop a workforce conscious of health and safety practices

d. increase worker productivity

34. Historically, wellness programs have: (Grant & Brisbin, 18)

a. been mandatory

b. relied on negative reinforcement

c. been completely voluntary

d. met with little enthusiasm

35. A wellness program with mandatory requirements is thought by some employees to be: (Grant & Brisbin, 18)

a. less than adequate system design

b. ineffective in the long term

c. infringement of rights

d. appropriate with employee consent

36. To determine if the wellness program is making a difference, the employer should conduct a/an: (Grant & Brisbin, 18)

a. ask employees

b. management evaluation

c. attitude check

d. baseline analysis

37. To determine if the wellness program is making a difference, the employer should conduct a/an: (Grant & Brisbin, 18)

a. ask employees

b. management evaluation

c. attitude check

d. baseline analysis

38. The most effective wellness program will do all of the following, EXCEPT: (Grant & Brisbin, 19)

a. encourage full participation

b. require full participation

c. recognize full participation

d. educate all employees on the program

39. First-year wellness programs can experience as low as 10% participation. What is the most likely cause of a very low turnout? (Grant & Brisbin, 19)

a. the program is too narrowly focused

b. management disinterest

c. failure to discipline

d. a and b above

40. Each of the following is one of the three phases to a comprehensive workplace wellness program, EXCEPT: (Grant & Brisbin, 20)

a. needs and interest assessment

b. implementation of specific programs

c. monthly review of participation

d. conduct ongoing employee evaluation

41. A wellness program needs assessment will gather baseline data on all of the following, EXCEPT: (Grant & Brisbin, 20-21)

a. current lifestyle

b. employee interest in wellness

c. current employee productivity

d. accident history

42. A phase one wellness program needs assessment will gather baseline data on all of the following, EXCEPT: (Grant & Brisbin, 20-21)

a. current workers' compensation costs

b. current employee work schedules

c. current employee absenteeism

d. current health risk and fitness levels

43. Which of the following questionnaires would be used to acquire answers to phase one baseline data needs assessment: (Grant & Brisbin, 21)

a. force-field analysis

b. employee interest surveys

c. health and fitness assessment

d. b and c above

44. All of the following are typical components of an onsite fitness field test and health screening, EXCEPT: (Grant & Brisbin, 21)

a. percent body fat

b. blood pressure

c. heart rate

d. liver function

45. All of the following are typical components of an onsite fitness field test and health screening, EXCEPT: (Grant & Brisbin, 21)

a. aerobic capacity

b. muscle strength and endurance

c. skin rebound

d. flexibility

46. All of the following are typical components of an onsite fitness field test and health screening, EXCEPT: (Grant & Brisbin, 21)

a. triglycerides

b. posture

c. total cholesterol

d. blood glucose levels

47. Which of the following is not typically thought to be a general long term goal of an employer wellness program? (Grant & Brisbin, 22)

a. decrease program costs

b. design and implement a program

c. generate full participation in the program

d. improve health, fitness, and productivity

48. All of the following are benefits of conducting a wellness program employee interest survey, EXCEPT: (Grant & Brisbin, 25)

a. inexpensive way to start the program

b. uncovers most important program features

c. identifies volunteers and subject matter experts

d. reveals forces resisting change

49. This step in wellness program development identifies employee interests and desires so that they can be brought into line with their health needs: (Grant & Brisbin, 25)

a. budgetary review

b. health screening

c. training

d. evaluation

50. An effective method to ensure long term growth of a wellness program is to: (Grant & Brisbin, 26)

a. review budgetary requirements

b. conduct health screening

c. track program results

d. administer a survey

51. Studies indicate that employee participation in workplace wellness programs is severely reduced when: (Grant & Brisbin, 20-21)

a. no program director is assigned

b. employees lack time to participate

c. program costs are charged to employees

d. employees are not trained on programs

52. The full benefits of a wellness program cannot be realized without: (Grant & Brisbin, 30)

a. full employee participation

b. a fully funded exercise program

c. lack of variety

d. management controls

53. Recovering alcoholics and substance abuse addicts experience a greater degree of success in the recovery process when ___________ is included in their wellness program: (Grant & Brisbin, 33)

a. routine work

b. frequent feedback

c. regular exercise

d. close supervision

54. This is a critical characteristic of a long-term successful wellness program: (Grant & Brisbin, 33)

a. routine

b. variety

c. feedback

d. supervision

55. This activity is frequently the most popular component of a wellness program: (Grant & Brisbin, 37)

a. running

b. dance

c. walking

d. aerobics

56. This activity is should be considered a more advanced level of activity in a wellness program: (Grant & Brisbin, 37)

a. running

b. dance

c. walking

d. aerobics

57. This wellness program activity is conducted to increase flexibility and relaxation: (Grant & Brisbin, 40)

a. running

b. dance

c. walking

d. stretching

58. A stretching program can be quite effective in achieving all of the following, EXCEPT: (Grant & Brisbin, 41)

a. reduce stress

b. reduce repetitive motion injuries

c. varicose veins

d. improved productivity

59. This wellness activity integrates cardiovascular conditioning and resistance training into a class format: (Grant & Brisbin, 42-43)

a. aerobics

b. walking

c. circuit training

d. yoga

60. A disadvantage of an off-site fitness program is: (Grant & Brisbin, 44)

a. difficult to track results

b. loss of supervisory and management control

c. difficult to conduct follow-up assessment

d. all of the above

61. Which of the following is not a goal in a smoking cessation and tobacco education program? (Grant & Brisbin, 48)

a. encourage smokers to quit

b. discourage nonsmokers from starting

c. educating on secondhand smoke

d. restrict smoking areas

62. The wellness director should be aware of smoking cessation program challenges. All of the following are reasons a smoking cessation program might fail, EXCEPT: (Grant & Brisbin, 48)

a. most smokers don't want to quit

b. smokers feeling intimidated by a smoke-free policy

c. smokers feeling discriminated against

d. negative workplace environment

63. It is most effective to begin a weight management program by offering a general nutrition class. Which of the following is a benefit of this approach? (Grant & Brisbin, 55)

a. it avoids the risk generating animosity

b. it singles out those who are overweight

c. it addresses unobserved diet-related risk factors

d. both a and c above

64. Which of the following is not a focus area in a weight management program? (Grant & Brisbin, 56-57)

a. reduce diet-related health risks

b. weight loss through high protein-low carbohydrate diets

c. decrease heart disease

d. decrease incidence of cancer

65. This term is defined as any force or influence which causes one to feel anxious about one's ability to continue to perform one's job duties in a satisfactory manner: (Grant & Brisbin, 62)

a. anxiety

b. fear

c. stress

d. worry

66. Stress is always perceived as negative when a worker has no control over the _______ of the stressor or the _______ of its influence: (Grant & Brisbin, 62)

a. level, frequency

b. magnitude, duration

c. type, degree

d. force, magnitude

67. Which of the following should be interviewed by the wellness director when initially designing the stress management program? (Grant & Brisbin, 64)

a. psychology professionals

b. marriage counselors

c. medical doctors

d. safety managers

68. The only effective means that a prospective employer has to determine the physical limitations of an employee candidate is through the use of a: (Grant & Brisbin, 76)

a. job application

b. preemployment job interview

c. preemployment physical exam

d. referral process

69. The goal of this program is to fully rehabilitate the worker to his or her former position of productivity and responsibility: (Grant & Brisbin, 80)

a. job hazard analysis

b. preemployment interview

c. early return to work

d. medical management

70. Employee recognition for achievement in a wellness program activity should be focused primarily on: (Grant & Brisbin, 107)

a. individual performance

b. team performance

c. accident record

d. positive peer pressure

Area IV. Topic G. Security

1. The President's Commission on Law Enforcement and the Administration of Justice reported that, fear of crime led to ______ of the American population radically changing their lifestyles: (NSC, APM-SM, 7)

a. 10%

b. 30%

c. 50%

d. 70%

2. In 1993 NIOSH published an alert regarding workplace homicide that stated homicide accounted for ________ of all such deaths: (NSC, APM-SM, 8)

a. 10%

b. 12%

c. 20%

d. 250%

3. In 1993 NIOSH published an alert regarding workplace homicide that stated homicide was the leading cause of death from occupational injury among __________: (NSC, APM-SM, 8)

a. men

b. fast food employees

c. health care professionals

d. women

4. NIOSH published the 1993 Preventing Violence in the Workplace alert for all of the following reasons, EXCEPT: (NSC, APM-SM, 8)

a. Identify high-risk occupations and workplaces

b. Inform employers and workers about their risk

c. Require employers and workers to evaluate risk

d. Encourage researchers to gather detailed information

5. A 1996 National Institute of Justice study found that victims are seeking compensation from owners and managers of properties on which: (NSC, APM-SM, 8)

a. crimes take place with increasing frequency

b. crimes result in death

c. crimes are the result of employer negligence

d. crimes occur during hours of operation

6. In premises-liability cases, juries are told that crime was the result of a perpetrator's ability to: (NSC, APM-SM, 8)

a. commit a crime without being detected

b. repeated commit a crime on premises

c. take advantage of a lack of security

d. commit a crime during hours of operation

7. What is the lesson history has taught regarding crime? (NSC, APM-SM, 8)

a. crime is controlled when security measures are taken

b. crime will flourish where property is left to deteriorate

c. crime can occur anytime, anywhere

d. crime is inversely proportional to security measures

8. Society demands prompting the need for increased private security include all of the following, EXCEPT: (NSC, APM-SM, 8)

a. Increasing insurance rates

b. Demands for safer work environments

c. EPA regulatory requirements

d. Grow of private sector holdings

9. Society demands prompting the need for increased private security include all of the following, EXCEPT: (NSC, APM-SM, 8)

a. Increasing media coverage

b. Demands for safer work environments

c. OSHA regulatory requirements

d. Grow of private sector holdings

10. The U.S. Chamber of Commerce statistics indicate nearly 35% of all businesses failed because of: (NSC, APM-SM, 8)

a. poor business management

b. workers' compensation rates

c. internal theft and drug abuse

d. competition from overseas firms

11. The primary questions to answer when creating a security program in an organization includes all of the following except: (NSC, APM-SM, 25)

a. How can security improve profitability?

b. What must we do to protect main interests?

c. What programs are essential?

d. How to we maintain confidentiality?

12. The primary questions to answer when creating a security program in an organization includes all of the following except: (NSC, APM-SM, 25)

a. How can security improve profitability?

b. What must we do to prevent disclosure?

c. How much money is needed to fund programs?

d. How much staff is needed to carry out tasks?

13. Which of the below reflect the hierarchy upon which security programs are based? (NSC, APM-SM, 25-26)

a. environment, personnel, facility, corporate

b. personnel, environment, corporate facility

c. corporate, facility, personnel, environment

d. facility, personnel, corporate environment

14. Which of the following describes the basic strategy employed by security managers? (NSC, APM-SM, 26)

a. protect through levels of hierarchy

b. protect by setting up a series of barriers

c. protect by employing warnings, cautions, sign

d. protect through esoteric language

15. Which of the following describes the basic strategy employed by security managers? (NSC, APM-SM, 26)

a. protect through levels of hierarchy

b. protect by setting up a series of barriers

c. protect by employing warnings, cautions, sign

d. protect through esoteric language

16. The security manager must ensure all of the following are properly addressed, EXCEPT: (NSC, APM-SM, 26)

a. Determine security needs of the company

b. Determine availability of company resources

c. Develop an acceptable strategic response

d. Ensure appropriate reactive planning

17. The security manager must ensure all of the following are properly addressed, EXCEPT: (NSC, APM-SM, 26)

a. Obtain necessary budgetary approval

b. Organize approved resources

c. Focus on short-term responses

d. Establish company acceptance of plans

18. The security manager must ensure all of the following are properly addressed, EXCEPT: (NSC, APM-SM, 26)

a. Ensure adequate training

b. Reduce forces resisting change

c. Develop and implement adequate control systems

d. Implement required reporting and data management systems

19. The security manager must ensure all of the following are properly addressed, EXCEPT: (NSC, APM-SM, 26)

a. Ensure separation of management and labor

b. Select key areas of corporate staff responsibility

c. Ensure there is adequate backup support

d. Develop plans for active involvement by all management levels

20. The security manager must ensure all of the following are properly addressed, EXCEPT: (NSC, APM-SM, 26)

a. Ensure program results are evaluated regularly

b. Ensure an improvement process is coordinated

c. Develop active involvement in asset-protection activities

d. Select key external threats and weaknesses

21. This process is only as useful as the development of countermeasures used to insure the protection of company assets: (NSC, APM-SM, 27)

a. vulnerability analysis

b. job safety analysis

c. strategic plan

d. terrorism modeling

22. The major reasons losses occur include all of the following, EXCEPT: (NSC, APM-SM, 27)

a. failure to recognize vulnerabilities

b. not properly reacting after the loss

c. not responding to a changing environment

d. failure to use proper software, hardware or people

23. Which of the below informs and defines responsibilities for the security function within a company? (NSC, APM-SM, 28)

a. security strategy

b. security plan

c. security policy

d. security process

24. All of the following describe motivations for effective security programs, EXCEPT: (NSC, APM-SM, 28)

a. desire for reduced costs

b. create employee awareness

c. inform employees of their responsibilities

d. dissuade those who would commit crime

25. All of the following describe motivations for effective security programs, EXCEPT: (NSC, APM-SM, 28)

a. involve employees in loss preventions activities

b. gain market-share through reduced losses

c. modify values, behavior, or attitudes

d. desire to provide job enhancement

26. Which of the following is considered one of the critical problems in developing an effective security program? (NSC, APM-SM, 28)

a. lack of understanding

b. fear of change

c. goal ambiguity

d. turf battles

27. What is considered the most important aspect of the security management process? (NSC, APM-SM, 30)

a. cost/benefit of security activities

b. response to threats, risks, and vulnerabilities

c. anticipation of threats, risks, and vulnerabilities

d. post-response evaluation and improvement

28. Which of the following is management technique to increasingly used to develop best practices within the security function: (NSC, APM-SM, 30)

a. gap analysis

b. force-field analysis

c. cost/benefit analysis

d. benchmarking

29. The internal security consultant is becoming more common in corporations for all of the following reasons, EXCEPT: (NSC, APM-SM, 47)

a. enables minimum staffing

b. can ensure proper accountability

c. can serve as an emergency response source

d. can coordinate outside services

30. Which of the following defines 'risk' within the context of security? (NSC, APM-SM, 69-70)

a. the uncertainty of financial loss

b. variations between actual and expected results

c. possible occurrence of an undesirable event

d. probability that a loss has occurred or will occur

31. To prevent a crime or loss from occurring, an organization must do all of the following, EXCEPT: (NSC, APM-SM, 70)

a. react quickly when a loss does occur

b. anticipate that an event can occur

c. estimate or appraise the degree of risk associated with the event

d. initiate steps to lessen the chances of the event occurring

32. To prevent a crime or loss from occurring, an organization must do all of the following, EXCEPT: (NSC, APM-SM, 70)

a. anticipate that an event can occur

b. recognize and acknowledge that the even can occur

c. hope and pray the event does not occur

d. initiate steps to lessen the chances of the event occurring

33. Which of the below are the two distinct types of risk? (NSC, APM-SM, 70)

a. dynamic risk and pure risk

b. implied and assumed risk

c. actual and estimated risk

d. high and low

34. Which of the following defines dynamic risk? (NSC, APM-SM, 70)

a. risks that change with the business environment

b. risks that may result in a number of outcomes

c. risks associated with the cost of doing business

d. risks that carry no possibility of return on investment

35. Which of the following defines pure risk? (NSC, APM-SM, 70)

a. risks that change with the business environment

b. risks that may result in a number of outcomes

c. risks associated with the cost of doing business

d. risks that carry no possibility of return on investment

36. Crime and loss prevention concentrates on the assessment and control _____ factors: (NSC, APM-SM, 70)

a. pure risks

b. dynamic risks

c. static risks

d. assumed risks

37. For a crime or loss to occur, all of the following must exist at the same time, EXCEPT: (NSC, APM-SM, 70)

a. a target or victim

b. desire to commit the crime

c. lack of consequences

d. opportunity to commit the crime

38. Crimes can be grouped loosely into which two categories: (NSC, APM-SM, 70)

a. crimes against person or state

b. crimes against persons or property

c. crimes against persons or organizations

d. crimes against private or public persons

39. The more ways a particular criminal event can occur in given circumstances, the greater is the: (NSC, APM-SM, 71)

a. severity

b. risk

c. probability

d. certainty

40. Loss probability can be loosely grouped into all of the following categories, EXCEPT: (NSC, APM-SM, 71)

a. virtually certain

b. highly probable

c. improbable

d. uncertain

41. Loss probability can be loosely grouped into all of the following categories, EXCEPT: (NSC, APM-SM, 71)

a. probably certain

b. highly probable

c. moderately probable

d. probability unknown

42. Which of the following terms describes the negative impact a loss might have on an organization's assets? (NSC, APM-SM, 71)

a. risk

b. probability

c. criticality

d. severity

43. Criticality is defined as: (NSC, APM-SM, 71)

a. a sudden positive or negative change

b. a turning point

c. an unstable condition

d. all of the above

44. Which of the following does not describe a criticality category? (NSC, APM-SM, 71)

a. fatal

b. moderately serious

c. relatively unimportant

d. non-injury

45. Which of the following does not describe a criticality category? (NSC, APM-SM, 71)

a. fatal

b. relatively fatal

c. moderately serious

d. serious unknown

46. Which of the following does not describe a criticality category: (NSC, APM-SM, 71)

a. fatal

b. relatively unknown

c. very serious

d. serious unknown

47. This loss would have involve loss of key personnel and the loss of a facility or equipment necessary to the manufacture of a produce: (NSC, APM-SM, 71)

a. fatal

b. relatively fatal

c. moderately serious

d. serious unknown

48. This loss would require a major change in investment policy and have major impact on the balance sheet: (NSC, APM-SM, 71)

a. very serious

b. relatively fatal

c. moderately serious

d. serious unknown

49. This loss would include petty larcenies or small-scale fire in nonessential areas: (NSC, APM-SM, 71)

a. very serious

b. relatively unimportant

c. moderately serious

d. serious unknown

50. Within security risk analysis there is a close relationship between these two variables: (NSC, APM-SM, 71)

a. condition and exposure

b. probability and severity

c. probability and criticality

d. condition and severity

51. Which of the following is not one of the five ways the Small Business Administration recommends to manage pure risks: (NSC, APM-SM, 72)

a. avoidance

b. reduction

c. spreading

d. restricting

52. Which of the following is not one of the five ways the Small Business Administration recommends to manage pure risks: (NSC, APM-SM, 72)

a. confrontation

b. reduction

c. transference

d. acceptance

53. Purchasing insurance is one way to manage pure risk using this strategy: (NSC, APM-SM, 72)

a. confrontation

b. reduction

c. transference

d. acceptance

54. Installing security hardware is one way to manage pure risk using this strategy: (NSC, APM-SM, 72)

a. spreading

b. reduction

c. transference

d. acceptance

55. Considering and including losses due to crime as just apart of doing business is one way to manage pure risk using this strategy: (NSC, APM-SM, 72)

a. spreading

b. reduction

c. transference

d. acceptance

56. Removing a threatened object from a vulnerable location is one way to manage pure risk using this strategy: (NSC, APM-SM, 72)

a. spreading

b. avoidance

c. transference

d. acceptance

57. Keeping the drawer of a cash register open while the store is closed is one way to manage pure risk using this strategy: (NSC, APM-SM, 72)

a. spreading

b. avoidance

c. transference

d. reduction

58. An on-site security survey is an analysis and documentation of a location to do all of the following, EXCEPT: (NSC, APM-SM, 75)

a. determine foreseeability of crime

b. determine adequacy of existing physical security

c. assess response procedures and methods

d. reduce or remove physical opportunity for crime

59. Which of the following is not one of the three ways to manipulate opportunities for crime so that it can be reduced to an acceptable level? (NSC, APM-SM, 77)

a. deny access

b. discourage access

c. delay access

d. detect access

60. This activity is an exhaustive examination of general characteristics and minutiae for deficiencies in security and management: (NSC, APM-SM, 78)

a. on-site survey

b. on-site audit

c. on-site inspection

d. on-site investigation

Area IV. Topic H. Disaster Recovery/Emergency Response

1. The President's Commission on Law Enforcement and the Administration of Justice reported that, fear of crime led to ______ of the American population radically changing their lifestyles: (NSC, APM-SM, 7)

a. 10%

b. 30%

c. 50%

d. 70%

2. This plan is intended to provide preplanned response to whose unexpected or disastrous events that can strike any organization: (NSC, APM-A&P, 147)

a. Emergency Management Plan

b. Fire Safety Plan

c. Hazard Communication Plan

d. Emergency Response Plan

3. The best long-term strategy for protecting employees against unforeseen emergencies in the workplace is to develop: (NSC, APM-A&P, 147)

a. an Emergency Management Plan

b. a Fire Safety Plan

c. a Hazard Communication Plan

d. an Emergency Response Plan

4. It is most acceptable to assign emergency planning duties and responsibilities to: (NSC, APM-A&P, 147)

a. safety committee

b. senior line management

c. safety manager

d. local fire department

5. All of the following are steps in the emergency pre-planning process, EXCEPT: (NSC, APM-A&P, 147)

a. identifying potential emergency events

b. short-term and long-term needs of workers

c. methods of protecting property, operations, people

d. initiating follow-up response to crime

6. Which of the following is not a step in the emergency pre-planning process? (NSC, APM-A&P, 147)

a. conducting job hazard analyses

b. short-term and long-term needs of workers

c. methods of protecting property, operations, people

d. restoring business operations to normal

7. Which of the following is a common element in emergency operations? (NSC, APM-A&P, 148)

a. command functions

b. communications

c. emergency staff personnel

d. all of the above

8. Which of the following types of emergencies should be addressed by the emergency management plan? (NSC, APM-A&P, 148)

a. natural

b. technological

c. nuclear

d. all of the above

9. All of the following are natural disasters that may require an emergency response with no outside help, EXCEPT: (NSC, APM-A&P, 148)

a. tornado

b. flood

c. terrorist attack

d. hurricane

10. Once potential emergencies are identified, the next step in the emergency planning process is to prioritize each emergency for harm to each of the following, EXCEPT: (NSC, APM-A&P, 148)

a. people

b. profits

c. environment

d. property

11. Which of the following is not usually considered in development of the emergency management plan? (NSC, APM-A&P, 148)

a. probably warning times for potential emergencies

b. changes in company operations to meet potential emergencies

c. impact of company operations on the environment

d. estimation of potential damage to property

12. A basic emergency preparedness plan will address all of the following, EXCEPT: (NSC, APM-A&P, 148)

a. chain of command

b. alarm system

c. medical treatment

d. property inventory

13. A basic emergency preparedness plan will address all of the following, EXCEPT: (NSC, APM-A&P, 148)

a. shutdown procedures

b. committee organization

c. evacuation procedures

d. communications system

14. A basic emergency preparedness plan will address all of the following, EXCEPT: (NSC, APM-A&P, 148)

a. disciplinary policy

b. auxillary power systems

c. evacuation procedures

d. communications system

15. The ultimate determinant of the complexity of an emergency management plan is: (NSC, APM-A&P, 148)

a. size of the business and location

b. number of employees

c. type of facility and associated hazards

d. work process and number of employees

16. Choosing the correct type plan for a facility is important. Which of the following is not a common type of plan to address emergencies? (NSC, APM-A&P, 148)

a. action guides/checklists

b. response plans

c. emergency management plan

d. job analysis plan

17. Choosing the correct type plan for a facility is important. Which of the following is not a common type of plan to address emergencies? (NSC, APM-A&P, 148)

a. action guides/checklist

b. inspection plan

c. emergency management plan

d. mutual aid plan

18. This plan is generally a short and simple means to describe basic procedures that must be followed: (NSC, APM-A&P, 148)

a. action guides/checklist

b. response plan

c. emergency management plan

d. mutual aid plan

19. This plan is usually very detailed and tells all responsible individuals actions that must be taken: (NSC, APM-A&P, 148)

a. action guides/checklist

b. response plan

c. emergency management plan

d. mutual aid plan

20. Sometimes this plan is written for each type of possible hazard at the site: (NSC, APM-A&P, 148)

a. action guides/checklist

b. response plan

c. emergency management plan

d. mutual aid plan

21. This plan is intended to be a reminder and, therefore, should not be used by an untrained individual: (NSC, APM-A&P, 148)

a. action guides/checklist

b. response plan

c. emergency management plan

d. mutual aid plan

22. This plan is the most comprehensive plan used by business to respond to emergencies: (NSC, APM-A&P, 149)

a. action guides/checklist

b. response plan

c. emergency management plan

d. mutual aid plan

23. This plan addresses procedures before, during, and after a disaster: (NSC, APM-A&P, 149)

a. action guides/checklist

b. response plan

c. emergency management plan

d. mutual aid plan

24. This plan is developed with other nearby firms: (NSC, APM-A&P, 149)

a. action guides/checklist

b. response plan

c. emergency management plan

d. mutual aid plan

25. This plan calls for firms to share resources and help one another during an emergency: (NSC, APM-A&P, 149)

a. action guides/checklist

b. response plan

c. emergency management plan

d. mutual aid plan

26. All of the following are important sources of hazard information, EXCEPT: (NSC, APM-A&P, 149)

a. National Weather Service

b. Food and Drug Administration

c. U.S. Geological Survey studies

d. U.S. Hazard Vulnerability Community Analyses

27. Which of the following are potential environmental problems that may be produced by both small and large fires? (NSC, APM-A&P, 149)

a. production of toxic gas and dust from combustion and decomposition

b. thermal plumes that carry contamination great distances

c. disposal of contaminated water used to fight fire

d. all of the above

28. When a facility is located in a floodplain, it may most effectively use which of the following strategies to protect against a flood emergency, EXCEPT: (NSC, APM-A&P, 149)

a. sandbags

b. dikes of earth, concrete or brick

c. emergency evacuation procedures

d. any of the above

29. Which of the following is not considered an important precaution to consider in preparation for a flood? (NSC, APM-A&P, 150)

a. proper grounding to prevent from electrocution hazards

b. bracing or storing important equipment, materials, chemicals off the ground

c. employing pumps and emergency power sources

d. an emergency alarm system

30. Which of the following is not considered an important precaution to consider in preparation for a flood? (NSC, APM-A&P, 150)

a. flotation devices for critical equipment

b. protection against soil erosion that might cause structural damage

c. employing pumps and emergency power sources

d. protection of potable water supplies

31. Companies regularly exposed to hurricanes should develop a plan that includes all of the following strategies, EXCEPT: (NSC, APM-A&P, 150)

a. facility constructed to withstand destructive winds

b. planned shutdown of operations based on hurricane location

c. employing pumps and emergency power sources

d. a and b above

32. Tornado and hurricane experience indicates that emergency plans should include all of the following, EXCEPT: (NSC, APM-A&P, 150)

a. procedures for alerting and relocating personnel

b. assigned personnel to take care of electrical hazards

c. procedures for rapid recovery response

d. assigned personnel to remove wreckage to prevent injury

33. Experience indicates that emergency plans for tornado and hurricane disasters should include all of the following, EXCEPT: (NSC, APM-A&P, 150)

a. procedures for study and analysis of the phenomenon

b. assigned personnel to take care of electrical hazards

c. scheduling regular meals and rest for repair crews

d. assigned personnel to remove wreckage to prevent injury

34. Which of the following is a strategies to protect against earthquakes? (NSC, APM-A&P, 150)

a. earthquake-resistant construction

b. flexible utility lines and water mains

c. seismic bracing of equipment and machinery

d. all of the above

35. Principle earthquake dangers include all of the following, EXCEPT? (NSC, APM-A&P, 150)

a. failure of bridges and buildings

b. relocation of population centers

c. water shortages and contamination

d. damage to roads and highways

36. Which of the following actions should be taken by the employer prior to civil strife? (NSC, APM-A&P, 151)

a. statement of legal responsibility for the safety of employees

b. disclaimer of liability for injury or property damage

c. obtain a statement of employer rights to protect property

d. both a and c above

37. This act served to mobilize and organize our nation to secure the homeland from terrorist attacks.? (DHS)

a. U.S. Threat Assessment of 1999

b. OSHAct of 1970

c. Homeland Security Act of 2002

d. William-Steiger Security Act of 2001

38. The purpose of this act is to encourage the development and deployment of anti-terrorism technologies that will substantially enhance the protection of the nation? (DHS)

a. SAFETY Act of 2002

b. OSHAct of 1970

c. Homeland Security Act of 2002

d. William-Steiger Security Act of 2001

39. The purpose of this act is to encourage the development and deployment of anti-terrorism technologies that will substantially enhance the protection of the nation? (See Note 1) (DHS)

a. SAFETY Act of 2002

b. OSHAct of 1970

c. Homeland Security Act of 2002

d. William-Steiger Security Act of 2001

40. Plans to manage panic in the workplace include all of the following, EXCEPT: (NSC, APM-A&P, 151)

a. auxillary medical treatment areas

b. methods for notifying employees

c. rapid dispersement of employees

d. methods for accounting for employees

41. Plans to manage panic in the workplace include all of the following, EXCEPT: (NSC, APM-A&P, 151)

a. auxillary medical treatment areas

b. methods for notifying employees

c. rapid dispersement of employees

d. methods for accounting for employees

42. Which of the following is not one of the reasons for the increase in emergencies due to workplace accidents? (NSC, APM-A&P, 151)

a. complexity of processes

b. proliferation of hazardous chemicals

c. close proximity of facilities to residential areas

d. deteriorating condition of facilities

43. Risk assessment techniques are required by various regulations. Which of the following is not a requirement in the risk assessment process? (NSC, APM-A&P, 151)

a. labor and management analysis team

b. identify hazards

c. calculate probability of occurrence

d. develop means to respond

44. Which of the following regulations require analysis to identify hazards, calculate their probability of occurrence, and development of means of response? (see Notes 1,2, and 4) (NSC, APM-A&P, 151)

a. 40 CFR Parts 330 and 335, Extremely Hazardous Substance List and Emergency Planning and Release Notification Requirements

b. 29 CFR 1910.120, Hazardous Waste Operations and Emergency Response (HAZWOPER)

c. 29 CFR 1910.1200 append. E, Hazard Communication Guidelines for Employer Compliance

d. all of the above

45. Which of the following regulations require analysis to identify hazards, calculate their probability of occurrence, and development of means of response? (see Note 3) (NSC, APM-A&P, 151)

a. 40 CFR 1926, Emergency Planning in the Construction Industry

b. 29 CFR 1910.146, Permit Required Confined Spaces

c. 29 CFR 1910.666, Homeland Security and Emergency Preparedness

d. Public Law No. 99-499, Emergency Planning and Community Right-To-Know Act

46. During an emergency shutdown of machinery, it is important that all of the following should be accomplished, EXCEPT: (NSC, APM-A&P, 154)

a. brief effective counter-measures for fires

b. continually inspect maintenance and special operations

c. prepare a emergency shutdown checklist

d. supervise any gas welding and cutting

47. Which of the following is not true concerning radioactive material? (NSC, APM-A&P, 154)

a. it cannot cause fires

b. it cannot be destroyed by fire

c. it's state can be changed by fire

d. fire renders radioactive material less dangerous

48. Which of the following is not true concerning a radioactive substance? (NSC, APM-A&P, 154-155)

a. being radio active does not affect its physical properties

b. the substance will be easier to control when its state is changed

c. being radio active does not affect is behavior when heated

d. the substance will change state (solid, liquid, gas) normally

49. If radioactive material is spilled or splashed, which of the following emergency procedures should be immediately accomplished? (NSC, APM-A&P, 155)

a. use absorbent materials such as powder, earth, or sand

b. dampen the material with a neutralizing spray

c. vacuum the material into a safe container

d. if possible, apply heat the material

50. If solid radioactive material is spilled or spread, which of the following emergency procedures should be immediately accomplished? (NSC, APM-A&P, 155)

a. use absorbent materials such as powder, earth, or sand

b. dampen the material with a water spray

c. vacuum the material into a safe container

d. if possible, apply heat the material

51. Which of the following describes the most dangerous and likely route of entry for radioactive dust, aerosols, fumes or gases? (NSC, APM-A&P, 155)

a. ingestion

b. absorption

c. inhalation

d. injection

52. Once the risk assessment of potential emergencies has been completed, what is the next step in the planning process? (NSC, APM-A&P, 156)

a. preparing a plan of action

b. coordination with local authorities

c. prioritizing potential emergencies

d. networking with similar organizations

53. Which of the following should be involved in preparing an emergency program plan of action? (NSC, APM-A&P, 156)

a. local police and fire departments

b. production or maintenance representative

c. legal staff

d. all of the above

54. All of the following are important criteria for an effective emergency action plan, EXCEPT: (NSC, APM-A&P, 156)

a. must be a written set of plans for action

b. must be written in advance

c. developed locally within the company

d. developed in isolation from neighboring businesses

55. All of the following are important elements within a written emergency action plan, EXCEPT: (NSC, APM-A&P, 156)

a. policies, purposes, authority

b. organizational chart

c. related government regulations

d. description of potential or expected disasters

56. All of the following are important elements within a written emergency action plan, EXCEPT: (NSC, APM-A&P, 156)

a. map of the facility

b. material safety data sheets

c. list of cooperating agencies

d. central communications center

57. Which of the following is not considered an important element within a written emergency action plan? (NSC, APM-A&P, 156-157)

a. phone numbers of key employees

b. plant warning system

c. shutdown procedures

d. meeting minutes

58. Which of the following is not considered an important element within a written emergency action plan? (NSC, APM-A&P, 157)

a. locally related and necessary items

b. list of available equipment and resources

c. prepared news releases

d. procedures for handling visitors and media

59. Which of the following is not considered an important element within a written emergency action plan? (NSC, APM-A&P, 157)

a. locally related and necessary items

b. list of available equipment and resources

c. prepared news releases

d. procedures for handling visitors and media

60. The director or coordinator of an emergency planning program should be appointed based on:? (NSC, APM-A&P, 157)

a. ability to respond under stress

b. position in the organization

c. rank of the director

d. ability to work well with authorities

61. What has experience demonstrated regarding the chain of command within the disaster plan? (NSC, APM-A&P, 157)

a. wide chain of command works best under stress

b. parallel chain is most effective

c. shared responsibility ensure quick decisions

d. a small chain of commend is most effective in crisis

62. All of the following is true concerning the emergency director, EXCEPT: (NSC, APM-A&P, 157-158)

a. the director be tested

b. the director should be a member of top management

c. the director should be the ranking manager

d. the director must be able to speak for the organization

63. The director of emergency management is responsible for all of the following, EXCEPT: (NSC, APM-A&P, 158)

a. emergency operation center management

b. inspection plan

c. firefighting plan

d. rescue operations

64. The director of emergency management is responsible for all of the following, EXCEPT: (NSC, APM-A&P, 158)

a. transportation

b. rescue operations

c. security and law enforcement

d. job analysis

65. Which of the following is not one of the usual responsibilities of the director of emergency management? (NSC, APM-A&P, 158)

a. damage assessment

b. mitigation and investigation

c. software and hardware selection

d. public information and media briefings

66. Which of the following is not one of the usual responsibilities of the director of emergency management? (NSC, APM-A&P, 158)

a. damage assessment

b. rumor control

c. on-scene safety functions

d. internal surveillance

67. Which of the following is not one of the usual responsibilities of the director of emergency management? (NSC, APM-A&P, 158)

a. Notifying DOL authorities

b. utilities and engineering functions

c. sheltering, feeding and counseling functions

d. morgue establishment and notification of survivors

68. This emergency director responsibility is one of the most important to ensure proper application of policies, plans, and procedures? (NSC, APM-A&P, 158)

a. accountability

b. training

c. supervision

d. resources

69. Team captain duties in a disaster plan include all of the following, EXCEPT: (NSC, APM-A&P, 158)

a. supervision of training personnel

b. providing equipment

c. selecting personnel

d. all of the above

70. This OSHA regulation addresses many aspects of safety and health at hazardous waste sites: (NSC, APM-A&P, 158)

a. 29 CFR 1910.330

b. 29 CFR 1910.120

c. 29 CFR 1926.147

d. 29 CFR 1940.1200

71. OSHA regulation, 29 CFR 1910.120, Hazardous Waste Operations and Emergency Response, requires employers to addresses many aspects of safety and health at all of the following locations, EXCEPT: (NSC, APM-A&P, 159)

a. hazardous waste sites

b. treatment, storage, and disposal facilities

c. manufacturing facilities

d. hazardous materials emergency locations

72. Which of the following is not one of the three categories of employees requiring training by OSHA regulation, 29 CFR 1910.120, Hazardous Waste Operations and Emergency Response? (NSC, APM-A&P, 159)

a. hazardous waste site workers

b. safety committee representatives

c. treatment, storage, and disposal workers

d. emergency responders to hazardous releases

73. This team consists of an organized group of employees, designated by the employer, who are expected to perform work to handle and control actual of potential leaks of spills of hazardous substances? (NSC, APM-A&P, 159)

a. HAZCOM Team

b. Emergency Response Team

c. HAZMAT Team

d. Emergency Waste Rescue Team

74. This employee may be an inspector, engineer, or technician that is not likely to be exposed over permissible exposure limits (PEL) and requires 24 hours of off-site instruction: (NSC, APM-A&P, 159)

a. Hazardous waste site workers

b. Occasional hazardous waste site workers

c. Treatment, storage, and disposal (TSD) workers

d. Hazardous materials emergency responders

75. This employee work on site full time and probably have been exposed to a hazardous chemical or situation (PEL) and requires 40 hours of hands-on classroom instruction followed by three days of actual field experience under a trained supervisor: (NSC, APM-A&P, 159)

a. Hazardous waste site workers

b. Occasional hazardous waste site workers

c. Treatment, storage, and disposal (TSD) workers

d. Hazardous materials emergency responders

76. After completing the 40-hour HAZMAT team training course, this employee must have eight hours of specialized training covering site safety plans, personal protective equipment selection, and health monitoring: (NSC, APM-A&P, 159)

a. Hazardous waste site workers

b. Occasional hazardous waste site workers

c. Treatment, storage, and disposal (TSD) workers

d. Hazardous waste site supervisor

77. HAZMAT team workers who only attempt to identify the involved hazardous material and then notified more qualified personnel require this training: (NSC, APM-A&P, 160)

a. 4- to 8-hour first responder operations training

b. 8-hour first responder awareness training

c. 24-hour hazardous materials technician training

d. hazard materials specialist training

78. HAZMAT team workers who need to be competent in the chemical, toxicological, and radiological behavior of particular materials must complete this training: (NSC, APM-A&P, 160)

a. 24-hour first responder operations training

b. 4- to 8-hour first responder awareness training

c. 24-hour hazardous materials technician training

d. hazard materials specialist training

79. HAZMAT team workers who perform the actual plugging, patching or sealing of a container leaking a hazardous substance must complete this training after completing the 24-hour First Responder Operations course: (NSC, APM-A&P, 160)

a. 24-hour incident commander training

b. 4- to 8-hour first responder awareness training

c. 24-hour hazardous materials technician training

d. hazard materials specialist training

80. The HAZMAT team member required to complete a recommended 24-hour course and be a graduate of the 24-hour First Responder Operations course is called the: (NSC, APM-A&P, 161)

a. first responder

b. incident commander

c. hazardous materials technician

d. hazardous materials specialist

Area IV. Topic I. Workplace Violence

1. Successful company violence prevention programs usually start by forming a ____________:

a. Security detail

b. Safety committee

c. Emergency response team

d. Planning group

2. This type of violence involves verbal threats, threatening behavior or physical assaults by an assailant who has no legitimate business relationship to the workplace:

a. Type I

b. Type II

c. Type III

d. Type IV

3. In this type of violence, the individual may be seeking revenge for what is perceived as unfair treatment by management:

a. Type I

b. Type II

c. Type III

d. Type IV

4. In Type II violence, the person causing violence may be all of the following, except:

a. client

b. passenger

c. customer

d. employee

5. A ______________ is a condition or circumstance that may increase the likelihood of violence occurring in a particular setting:

a. HAZOP Situation I

b. risk factor

c. problematic reference

d. dangerous event

6. Studies indicate that all of the below increase the probability of violence in the workplace, except:

a. exchange of money

b. delivery of goods

c. work in a union shop

d. contact with the public

7. Which of the following is not listed as an acceptable policy regarding visitor access within facilities?

a. Require visitors to sign in and out

b. Limit access

c. Wear an identification badge

d. Conduct body searches

11. Definitions of workplace violence are:

a. restrictive and may create legal problems

b. inclusive and may create legal problems

c. too vague to be of any real use

d. too simplistic to be an use in a legal forum

12. To best clarify the scope of your organization's terms in the workplace violence prevention policy, you could:

a. define terms

b. use examples

c. limit definitions

d. use legal jargon

13. All of the following are considered negative consequences from using the term zero tolerance, except:

a. could create legal problems

b. perceived as an unreasonable goal

c. limit definitions

d. discourages intervention

14. It is _______ advisable to rely on profiles or early warning signs to predict violent behavior:

a. always

b. usually

c. seldom

d. never

15. The FBI Profiling and Behavioral Assessment Unit has identified all of the following as indicators of increased risk of violent behavior, except:

a. Direct or veiled threats of harm

b. Intimidating, belligerent, harassing, bullying

c. Subtle changes in behaviors

d. Statements indicating desperation

16. Installing surveillance cameras, silent alarms, metal detectors, or bullet-proof glass are examples of _______________:

a. engineering controls

b. work practice controls

c. personal protective equipment

d. interim measures

17. Work practice or management controls include all of the following except:

a. Improved lighting around parking lots.

b. Establishing sign-in procedures for visitors.

c. Developing employee assistance programs

d. Arranging escorts for employees

18. It would be effective to consider using any one of the following prevention measures for Type I (Criminal Violence), except:

a. Obtain restraining orders

b. Leave a clear, unobstructed view of cash register from street

c. Training (include de-escalation techniques)

d. Post signs stating cash register only contains minimal cash

19. According to the text, it would be effective to consider using any one of the following prevention measures for potential Type III (Employee Relationship) violence, except:

a. effective policy for disciplinary actions

b. Provide security personnel

c. Restraining orders

d. Post signs stating cash register only contains minimal cash

20. The primary type of training that may be beneficial to all employees is that which concentrates on ________.

a. conflict anticipation

b. conflict resolution

c. conflict determination

d. conflict reaction

21. In workplace violence prevention training, as a minimum all employees should be trained in how to ________:

a. manage anger

b. report incidents

c. spot likely violent employees

d. react to a hostile employee

22. Which of the following should be included in incident response team training to minimize confusion during an actual incident?

a. group discussion

b. videos

c. written tests

d. practice exercises

23. All of the following strategies would be useful to de-escalate potentially violent situations in interactions with people, except:

a. encourage the person to talk and listen patiently

b. maintain a relaxed yet attentive posture

c. attempt to bargain with a threatening individual

d. acknowledge the person's feelings

24. Within the workplace violence prevention program, this report is used to assess the safety of the workplace, and to decide upon a plan of action:

a. OSHA Form 300

b. Threat Incident Report

c. Accident Investigation Report

d. OSHA 301 Form

25. Investigation categories in the violence prevention program include all of the following, except:

a. Threat assessment investigation

b. Incident/Accident investigation

c. Administrative investigation

d. Criminal investigation

26. Which of the following is the most critical requirement for administrative investigations?

a. management should ensure human resources administers discipline

b. actions should be accomplished by a line supervisor

c. actions taken should be timely

d. actions should not compromise a potential criminal prosecution

27. Immediately after an assault occurs in the workplace, an employer should focus first on providing for the ___________ and __________ needs of all affected employees:

a. physical, psychological

b. emotional, physical

c. medical, psychological

d. financial, medical

28. Which of the following is not a primary reason to include all employees during a incidence of violence in the workplace?

a. discuss the cause of the violent act

b. address a plan of action

c. coordinate with law enforcement agencies

d. identify those needing further help

29. To show their support of the victims of violence in the workplace, employers should support prosecution of offenders in all of the following ways, except:

a. help the victim make court appearances

b. help the victim work with prosecutors

c. cooperate with law enforcement authorities

d. allow the victim to join a protected witness program

30. Since management bears the brunt of responsibility after a violent incident, and can find itself dealing with unfamiliar challenges under high stress, this program can be very helpful in facilitating an optimal response:

a. early return to work program

b. employee assistance program

c. police cadet program

d. formal observation program

31. Which of the following workplace violence prevention elements is least important to evaluate after an incident occurs?

a. ability to provide increased worksite protection

b. quality of disciplinary procedures

c. consideration of costs and benefits

d. counseling potential victims

Answer Key

Area IV. Topic A. Workers' Compensation

1. b. Comparative negligence

2. c. The fellow servant rule

3. d. Contributory negligence

4. a. Assumption of risk

5. b. 1911

6. c. 1916

7. d. 1948

8. d. no longer liable for negligence resulting in worker injury

9. c. Occupational Workers' Compensation Act (OWCA)

10. a. compulsory law

11. c. elective law

12. c. Provide multiple remedies without delay

13. d. Ensure financial relief to employers

14. d. 90 percent

15. a. compensate the worker

16. b. physical damage to the body

17. d. falls

18. c. cumulative trauma

19. b. Temporary partial disability

20. a. Temporary total disability

21. b. Temporary partial disability

22. c. Permanent partial disability

23. d. Permanent total disability

24. a. Loss of insurance

25. a. Equivalent wages theory

26. c. Whole-man theory

27. b. Lost wages theory

28. d. Loss of potential earnings theory

29. a. schedules

30. a. schedules

31. c. average weekly earnings

32. d. federal insurance

33. a. self-insured benefits

34. c. compensation payments

35. c. $100 of payroll

36. a. National Council of Compensation Insurance (NCCI)

37. a. Experience rate

38. c. Prospective rating

39. c. Schedule rate

40. a. Retrospective rating

41. d. Fixed rate premiums

42. c. Experience rating

43. c. four years

44. a. Drug Free Workplace Program (DFW)

45. c. in three years

46. d. the worker's employer

47. c. Proactive safety programs

48. c. discipline often

49. b. Assumption of Risk

50. d. Mental impairment

51. d. Mental impairment

52. b. exempts small employers

53. b. exempts small employers

54. a. broken leg at company picnic soccer game

55. d. Mental impairment

Area IV. Topic B. Risk Management

1. a. risk identification

2. c. evaluating risks

3. c. Risk reduction

4. d. Liability loss

5. a. Hazard evaluation

6. c. pure risk

7. c. pure risk

8. a. any kind of risk to a business

9. d. returning to full operations

10. a. postloss

11. b. cost-benefit analysis

12. c. quantify

13. b. prioritize the risks

14. d. cost to implement and degree of reduction

15. b. Risk summary worksheet

16. c. enter a risk pool

17. d. administering the process

18. a. developing risk potentials

19. c. control measures

20. a. synthesis

21. b. payback period

22. b. Enforcing at risk behaviors

23. a. risk aversion and risk acceptance

24. a. developing risk potentials

25. b. Who was to blame

26. d. outputs

27. d. Risk calculation

28. c. risk estimation

29. b. Probablistic Risk Assessment (PRA)

30. d. Risk identification

31. a. R = C x E x P

32. d. duration

33. c. Risk analysis

34. a. Exposure assessment

35. b. Risk Characterization

36. c. Conditions, behaviors, systems

Area IV. Topic C. General Liability/Product Safety

1. c. absolute

2. d. strict

3. a. negligence

4. b. warranty

5. c. torts

6. b. caveat emptor

7. d. privity of contract

8. a. strict liability

9. c. strict liability

10. b. Defect was not identified or obvious

11. a. Defendant failed in his duty toward plaintiff

12. d. Product failed to meet implied or expressed claims

13. a. The danger was obvious

14. b. implied and express

15. c. Uniform Commercial Code

16. b. express

17. c. implied

18. b. prove the product was defective

19. a. defects

20. d. express warranty

21. c. design defects

22. d. reliability features

23. b. promote criminal investigation of product-related deaths

24. b. manufacturing defect

25. c. res ipsa loquitur

26. a. warn in the consumer's primary language

27. d. foreseeability

28. c. the product left the defendant

29. a. sentence

30. b. engineer

31. a. in the workplace

32. d. bicycles

33. b. use of the product

34. c. Placement

35. a. Reinforcement

36. d. Practicality

37. c. Durability

38. a. Reliability

39. c. Readability

40. a. The potential defendant has a contributory stake in the outcome

41. c. non-compliance with OSHA standards

42. a. Instructions do not list manufacturer information

43. a. Instructions do not list manufacturer information

44. b. Warnings

45. a. Instructions

46. a. Instructions

47. d. both a and c above

48. b. they describe what the product does

49. d. all of the above

50. d. Integrity

Area IV Topic D. Fleet Safety

1. b. no. of accidents x 1 mil. miles / 1 mil. miles

2. b. fleet management

3. b. driver error and vehicle failure

4. d. the motor vehicle

5. b. investigation to determine liability

6. d. all of the above

7. c. safety-controlling activities

8. a. lack of adequate supervision

9. a. accident investigation to determine fault

10. d. develop a disciplinary file for each driver

11. b. driver selection

12. c. driver record card

13. b. rehabilitate the driver

14. b. 1,000,000 miles driven

15. b. record noncompliance rates

16. a. interview co-workers

17. a. select a random test route

18. b. offensive driving strategies

19. a. brief report of serious accidents

20. c. correct defects as they occur

21. b. pretrip vehicle inspection

22. a. to stop vehicle from moving downhill

23. d. centered on the bed

24. b. Commercial Motor Vehicle Safety Act of 1986

25. c. 1992

26. a. Class A

27. c. Class C

28. b. name of the issuing federal agency

29. c. Federal Motor Carrier Safety Administration

30. a. (total number of accidents x 1 million miles)/actual mileage driven.

Area IV. Topic E. Fire and Life Safety

1. d. children under 5, adults older than 40

2. a. 1 or 2

3. b. Triangle Shirtwaste Factory

4. c. electrical wiring

5. b. smoking

6. c. National Fire Protection Association (NFPA)

7. a. fire

8. b. combustion

9. c. ignition

10. a. ignition temperature

11. c. piloted ignition

12. c. piloted ignition

13. a. humidity

14. a. hydroxl radicals

15. c. fire pyramid

16. c. fire pyramid

17. c. fire pyramid

18. d. 3000 deg F.

19. a. 5000 deg F.

20. b. heat of combustion

21. a. rate of combustion

22. a. increases

23. c. 380,000 BTU

24. d. 50 lbs of paper with a heat of combustion of 7,2000 BTU

25. a. fuel weight (lbs) x heat of combustion (BTU)

26. b. transference

27. a. convection

28. c. thermal gradient

29. a. geometry

30. a. radiative transfer

31. c. decrease pressure

32. b. carbon monoxide

33. d. foam

34. b. carbon monoxide

35. b. carbon monoxide

36. b. carbon monoxide

37. a. looseness of construction

38. c. carbon dioxide

39. a. acrolein

40. d. ammonia

41. a. due to their lower density

42. b. due to their higher temperature

43. a. increase in thickness

44. d. presence of horizontal openings

45. c. stack effect

46. d. b and c above

47. c. heat of combustion

48. b. vapor pressure

49. d. boiling point

50. b. combustion will not occur

51. a. less than 100 deg F.

52. b. lower flammable limit (LFL)

53. d. upper flammable limit (UFL)

54. d. upper flammable limit (UFL)

55. b. lower flammable limit (LFL)

56. b. flammable range

57. c. flammable gases

58. c. nonflammable gases

59. d. inert gases

60. a. reactive gases

61. b. safety hazard

62. a. 0

63. d. 4

64. b. preserving evidence for later analysis

65. d. compartmentation

66. a. creation

67. d. all of the above

68. d. fire load

69. d. alarms

70. b. NFPA 101

71. d. extreme

72. a. exit location

73. b. exit access

74. c. exit

75. c. exit

76. d. exit discharge

77. b. exit units

78. a. 22

79. b. occupant load

80. a. 1

81. c. floor area / allowable occupant load

82. a. occupant load / allowable capacity per exit unit

83. b. variable humidity detectors

84. a. fixed temperature detectors

85. c. rate-of-rise detectors

86. d. rate compensation detectors

87. a. flame detectors

88. d. gas detectors

89. a. Class A

90. c. Class C

91. b. Class B

92. d. Class D

93. a. wet-pipe system

94. b. dry-pipe system

95. d. combined system

96. c. deluge system

97. b. preaction system

98. a. carbon dioxide

99. c. dry chemicals

100. b. halon

Area IV. Topic F. Health and Wellness

1. d. all of the above are true

2. a. a comprehensive program

3. a. a comprehensive program

4. c. a disease prevention program

5. c. a disease prevention program

6. a. a comprehensive program

7. b. interest of the CEO

8. c. behavioral medicine

9. c. behavioral medicine

10. b. stress

11. c. over half

12. b. less than one fifth

13. c. employee assistance program

14. c. group dynamics

15. c. workstation design

16. a. 20-60 minutes

17. a. one to two times a day

18. b. stable blood fat

19. d. higher cholesterol

20. d. all of the above are true

21. a. hypotension

22. d. compression

23. b. commitment to production first

24. d. health policy with firm accountability

25. c. safety engineering

26. b. maintain tight control

27. d. engineering controls

28. b. production processes

29. a. stress management program

30. d. drug and alcohol abuse

31. c. comprehensive

32. a. development of a policy statement

33. b. ensure injured employees return to work as soon as possible

34. c. been completely voluntary

35. c. infringement of rights

36. d. baseline analysis

37. d. baseline analysis

38. b. require full participation

39. d. a and b above

40. c. monthly review of participation

41. d. accident history

42. b. current employee work schedules

43. b. employee interest surveys

44. d. liver function

45. c. skin rebound

46. b. posture

47. a. decrease program costs

48. d. reveals forces resisting change

49. b. health screening

50. c. track program results

51. c. program costs are charged to employees

52. a. full employee participation

53. c. regular exercise

54. b. variety

55. c. walking

56. a. running

57. d. stretching

58. c. varicose veins

59. c. circuit training

60. c. difficult to conduct follow-up assessment

61. d. restrict smoking areas

62. a. most smokers don't want to quit

63. d. both a and c above

64. b. weight loss through high protein-low carbohydrate diets

65. c. stress

66. b. magnitude, duration

67. a. psychology professionals

68. c. preemployment physical exam

69. c. early return to work

70. a. individual performance

Area IV. Topic G. Security

1. c. 50%

2. b. 12%

3. d. women

4. c. Require employers and workers to evaluate risk

5. a. crimes take place with increasing frequency

6. c. take advantage of a lack of security

7. b. crime will flourish where property is left to deteriorate

8. c. EPA regulatory requirements

9. a. Increasing media coverage

10. c. internal theft and drug abuse

11. d. How to we maintain confidentiality?

12. b. What must we do to prevent disclosure?

13. c. corporate, facility, personnel, environment

14. b. protect by setting up a series of barriers

15. b. protect by setting up a series of barriers

16. d. Ensure appropriate reactive planning

17. c. Focus on short-term responses

18. b. Reduce forces resisting change

19. a. Ensure separation of management and labor

20. d. Select key external threats and weaknesses

21. a. vulnerability analysis

22. b. not properly reacting after the loss

23. b. security plan

24. d. dissuade those who would commit crime

25. b. gain market-share through reduced losses

26. c. goal ambiguity

27. b. response to threats, risks, and vulnerabilities

28. d. benchmarking

29. b. can ensure proper accountability

30. c. possible occurrence of an undesirable event

31. a. react quickly when a loss does occur

32. c. hope and pray the event does not occur

33. a. dynamic risk and pure risk

34. c. risks associated with the cost of doing business

35. d. risks that carry no possibility of return on investment

36. a. pure risks

37. c. lack of consequences

38. b. crimes against persons or property

39. c. probability

40. d. uncertain

41. a. probably certain

42. c. criticality

43. d. all of the above

44. d. non-injury

45. d. serious unknown

46. b. relatively unknown

47. c. moderately serious

48. a. very serious

49. b. relatively unimportant

50. c. probability and criticality

51. d. restricting

52. a. confrontation

53. c. transference

54. a. spreading

55. d. acceptance

56. b. avoidance

57. d. reduction

58. c. assess response procedures and methods

59. b. discourage access

60. d. on-site investigation

Area IV. Topic H. Disaster Recovery/Emergency Preparation

1. c. 50%

2. a. Emergency Management Plan

3. a. an Emergency Management Plan

4. b. senior line management

5. d. initiating follow-up response to crime

6. a. conducting job hazard analyses

7. d. all of the above

8. d. all of the above

9. c. terrorist attack

10. b. profits

11. c. impact of company operations on the environment

12. d. property inventory

13. c. evacuation procedures

14. a. disciplinary policy

15. c. type of facility and associated hazards

16. d. job analysis plan

17. b. inspection plan

18. a. action guides/checklist

19. b. response plan

20. b. response plan

21. a. action guides/checklist

22. c. emergency management plan

23. c. emergency management plan

24. d. mutual aid plan

25. d. mutual aid plan

26. b. Food and Drug Administration

27. d. all of the above

28. b. dikes of earth, concrete or brick

29. d. an emergency alarm system

30. a. flotation devices for critical equipment

31. d. a and b above

32. c. procedures for rapid recovery response

33. a. procedures for study and analysis of the phenomenon

34. d. all of the above

35. b. relocation of population centers

36. d. both a and c above

37. c. Homeland Security Act of 2002

38. a. SAFETY Act of 2002

39. a. SAFETY Act of 2002

40. c. rapid dispersement of employees

41. c. rapid dispersement of employees

42. d. deteriorating condition of facilities

43. a. labor and management analysis team

44. d. all of the above

45. d. Public Law No. 99-499, Emergency Planning and Community Right-To-Know Act

46. c. prepare a emergency shutdown checklist

47. d. fire renders radioactive material less dangerous

48. b. the substance will be easier to control when its state is changed

49. a. use absorbent materials such as powder, earth, or sand

50. b. dampen the material with a water spray

51. c. inhalation

52. a. preparing a plan of action

53. d. all of the above

54. d. developed in isolation from neighboring businesses

55. c. related government regulations

56. b. material safety data sheets

57. d. meeting minutes

58. c. prepared news releases

59. c. prepared news releases

60. a. ability to respond under stress

61. d. a small chain of commend is most effective in crisis

62. c. the director should be the ranking manager

63. b. inspection plan

64. d. job analysis

65. c. software and hardware selection

66. d. internal surveillance

67. a. Notifying DOL authorities

68. b. training

69. d. all of the above

70. b. 29 CFR 1910.120

71. c. manufacturing facilities

72. b. safety committee representatives

73. c. HAZMAT Team

74. b. Occasional hazardous waste site workers

75. a. Hazardous waste site workers

76. a. Hazardous waste site workers

77. a. 4- to 8-hour first responder operations training

78. d. hazard materials specialist training

79. c. 24-hour hazardous materials technician training

80. b. incident commander

Area IV. Topic I. Workplace Violence Prevention

1. d. Planning group

2. a. Type I

3. c. Type III

4. c. customer

5. b. risk factor

6. c. work in a union shop

7. d. Conduct body searches

8. a. True

9. d. demonstrates employee commitment

10. a. the policy covers only acts of physical violence upon employees

11. a. restrictive and may create legal problems

12. b. use examples

13. b. perceived as an unreasonable goal

14. c. seldom

15. c. Subtle changes in behaviors

16. a. engineering controls

17. a. Improved lighting around parking lots.

18. a. Obtain restraining orders

19. d. Post signs stating cash register only contains minimal cash

20. b. conflict resolution

21. b. report incidents

22. d. practice exercises

23. c. attempt to bargain with a threatening individual

24. b. Threat Incident Report

25. b. Incident/Accident investigation

26. d. actions should not compromise a potential criminal prosecution

27. c. medical, psychological

28. c. coordinate with law enforcement agencies

29. d. allow the victim to join a protected witness program

30. b. employee assistance program

31. b. quality of disciplinary procedure

................
................