workplace violence and the business continuity plan · workplace violence and the business ......

October 29-30, 2012 • Hotel Pennsylvania

Workplace Violence and the Business Continuity Plan

- Robert Noonan CBCP, Managing Director of Business Continuity Management



• As Business Continuity professionals, we plan for many types of scenario impacts that can affect our staff and business operations. Natural disasters such as hurricanes and winter storms, biological impacts such as Bird Flu and SARS and manmade impacts such as terrorism and cyber intrusions are examples of scenarios that have been traditionally considered.

• Added to the list of manmade impacts we could also consider our response plans for workplace violence which is now recognized as a specific category of violent crime that calls for distinct responses from employers, law enforcement, and the community. In this session we will explore the different types of workplace violence events and discuss response and planning strategies that can be employed to minimize the impacts to staff and business operations.

http://creative.gettyimages.com/source/Search/1','1','2','


Why review WV?• Economic realities have forced many firms to downsize creating a climate for

WPV?

• Increase in WPV incidents have created more focus (copy cat?)

• Increased concern among management to be prepared to respond to an WPV incident and support staff

• This topic may be different in nature from typical BCP scenarios so planning has typically been sparse

• Goal – better our understanding of this complicated scenario and identify possible areas for planning opportunities

• Assumption – is that we are not all experts in BCM or Corporate Security so as such, this session is targeted to mid-level audience


Agenda• Define the profiles and types of WPV• Share some of the response approaches to a WPV incident• Review risk factor indicators• Crisis / response management overview• Examples of response protocols• WPV and the response plan• Linking the WPV incident and your corporate BCP• Active shooter• WPV prevention | planning | awareness & training | simulations• Government information

For this session: Interactive exchange of experiences and ideas!

Reference materials contained within have been researched from NY State; the NYPD, US Department of Homeland Security / FEMA and Société Générale libraries.


Workplace violence defined

• Workplace violence is any act or threat of physical violence, harassment, intimidation, bullying, or other threatening disruptive behavior that occurs at the work site

• It ranges from ~– Non-physical violence (intimidation, verbal abuse, threats etc.) to -

– Physical violence (punching, kicking, pushing etc.) to -

– Aggravated physical violence (use of weapons, e.g. guns, knives, furniture, bottles, glasses, etc.)

~ and can affect and involve employees, clients, customers and visitors

• A study by the US Department of Labor reported that 50% of firms with more than 1,000 employees have had an incident of workplace violence.

• In another study the Bureau of Labor Statistics reported that more than 1.7 million employees are victims of workplace assaults annually

• Violence in all its forms is a concern for staff and management alike.

– For employers, violence can lead to poor morale and a poor image for the organization, making it difficult to recruit and keep staff

– It can also mean extra costs, such as those associated with absenteeism, higher insurance premiums and legal fees fines and compensation payments where negligence is proven

When standards of conduct are violated


Types of WPV• Criminal violence by strangers - Violence perpetrated by individuals who have

no relationship with the organization or victim. Normally their aim is to accesscash, stock, drugs, or perform some other criminal or unlawful act. Violence bystrangers is responsible for the majority of fatal injuries related to workplaceviolence.

• Violence by customers, clients or service providers - Violence perpetrated byindividuals who are recipients of a service provided in the workplace or by thevictim. This often arises through frustration with service delivery or someother by-product of the organizations core business activities.

• Worker-on-worker violence - Violence perpetrated by individuals workingwithin the organization; colleagues, supervisors, managers etc. This is oftenlinked to protests against enforced redundancies, grudges against specificmembers of staff, or in response to disciplinary action that the individualperceives as being unjust.

• Violence by personal relations - Violence perpetrated by individuals, outside ofthe organization, but who have a relationship with an employee e.g. partner,spouses or acquaintances. This is often perpetrated within the work setting,simply because the offender knows where a given individual is during thecourse of a working day.


Risk Factor indicators

– Poor relationships with coworkers or management– Sudden and persistent complaining about being treated unfairly– Blaming of others for personal problems– Sudden change in behavior, deterioration in job performance– Statement he/she would like something bad to happen to supervisor or another

coworker– Paranoid behavior– Sudden increased absenteeism– Sexually harassing or obsessing about a coworker: sending unwanted gifts, notes,

unwanted calling, stalking– Increased demand of supervisor’s time– Alcohol or drug abuse– Instability in family relationships– Financial problems combined with not receiving a raise or promotion– History of violent behavior– Previous threats, direct or indirect– Carrying a concealed weapon or flashing one around– Sudden mood swings, depression– Sudden refusal to comply with rules or refusal to perform duties– Inability to control feelings, outbursts of rage, swearing, slamming doors, etc.

Identifying symptoms that may signal the risk potential of violent episodes:


Risk Factors Indicators (cont)

Identifying the risk factors and symptoms of workplace violence

• Oftentimes, violence in the workplace is committed by someone from the outside– The spouse or partner of an employee who is in an abusive relationship

– Rejected suitors, partners involved in divorce or separation procedures

• Increased times of stress

– During times of increased stress there are many factors that can contribute to the risk of Workplace Violence.

• exhaustion levels, pressures and emotions

If an employee begins demonstrating any or a combination of indicators, it is important management refers him or her to the employee assistance program (EAP) or other counseling services as soon as possible.


Workplace Violence crisis response management


Business Continuity and WPVTypical practices of a BCM program

Pre developed scenario plan/s for recovery from interruption and

resumption of critical business activities

Organization and approach to measure impacts, take critical

decisions and activate response plans or the BCP as needed

Business Continuity Planning

Testing, Training and Simulations

Crisis / Response Management

– Continual validation of all arrangements

Testing of the business continuity plans, the technical infrastructure and

organizational crisis preparedness

Presents safety or security issues that jeopardizes the welfare of our staff

Leads to material impact on customer relations, market reputation, profitability or the stability of our franchise

Crisis Definition


Crisis management model

Response Phase: Immediate steps taken following an incident

Activate crisis teams

The 1st priority is to address life-safety issues – use all resources: Security, trained Safety

Teams, Building Management, 911

Determine the essential elements of information – who, what, where, when and how long

Measure impacts to staff and operations and determine if a BCP activation is possible based on

situation– safe to move staff to recovery site?– Is time of day a factor?

Provide communication to all relevant parties

• Status to all stakeholders ; to Staff ; Update in intervals

Example of corporate crisis structure and approach

Recovery Phase: Recovering open intra-day/in-flight business activities

Activate existing plans or develop an ad-hoc response- business relocation/technical recovery

Resumption Phase: Re-establishment of critical activities based on situation


Examples of response protocols• Threat of violence – Internal assessment (Security and HR) and effort made

to defuse situation and determines the need for law enforcementinvolvement.

• Violence (non-weapon) – Internal assessment (Security and HR) and effortmade to defuse situation and determines the need for law enforcementinvolvement.

• Hostage Situation – May defer to the local law enforcement hostagenegotiation team and be prepared to support the response with hostageinformation, floor plans, monitoring (image recordings) support

• Active Shooter – Defer to local law enforcement response teams and beprepared to support the response with staff information, floor plans,monitoring (image recordings) support (further discussion ahead)

Plans can and should be prepared in advance!


WPV and the Crisis Response Plan

Most firms may have at a minimum some form of a crisis response plan for WV?

• Security response protocols

• Human resources procedures

• Relationships with with Civil Authorities

• Key emergency contact information documented

But what about the impacts to operations and the continuance of business?


Workplace Violencethe Business Continuity Plan


Impacts to operations

• WPV incident may / may not be isolated to a single firm

• Marketplaces active, risk of non-participation could be high

• In some cases, market participation is mandatory

• Evacuation, crime scene activation, re-entry to conduct vital activities


BCP activation

– Loss of access BCP activation is straight forward

– Well documented and rehearsed in most firms today

– Other issues then come to the forefront

• Staffing issues – many situationsare possible here:

Succession plan activation

• Crime scene – loss of access to operating environment:

BCP activation for areas closed

– Availability / trauma injury– Willingness to return to scene– Lost of trust in firm / management– Lack of feeling secure


Succession planningImpacts from WPV – example: recovery skills matrix

Strategy/RTO: Recover allactivities by H+2 or face strict fines.

Assignments Business Process

Dedicated Recovery Seats

Remote Access

Trade confirmations

Trade Reconciliations

Ticket processing

Regulatory Reporting

Jill Fairchild Ded-33B @access

X X

JefferyBrown Ded-34B VPN

X X

JohnHuang Ded-35-B VPN

Anne Russo

standby - X X X

Paul Snowfield

standby - X X X


Active Shooterguidance from government bodies


Active ShooterNYPD STATISTICS

– Most AS incidents require Law Enforcement to end thesituation and usually result in the shooter taken down or insuicide

– The median number of deaths in cases included in the active shooter NYPD data set is 2, and the average is 3.0. The majority of attacks included in the active shooter data set resulted in 0 to 5 deaths. The median number of wounded is 2, and the average is 3.6

– Of the 202 incidents benchmarked by the NYPD, 93 wereresolved with applied force and 80 were resolved by suicideor attempted suicide. The remaining were resolved withoutforce. In only one case did the attacker flee.

– 29 of the 202 incidents occurred at an office building

Active shooterPersonal response strategies – DHS

Run, Hide, Fight…

● Evacuate (Run) have an escape route and plan in mind

Leave your belongings behind

Keep your hands visible

● Hide out (Hide) Hide in an area out of the shooters view

Lock or barricade (file cabinet) entry to your hiding place

Silence your electronic devices

● Take action (Fight) – as a last resort and ONLY if your life is

in danger Attempt to incapacitate the shooter

Act with physical aggression and throw items at the active

shooter

Or, move quickly away - A moving target is harder to hit; quickly

moving laterally and away may be the best option for escape

Seek cover (hide behind things that will stop bullets).

● Information – to provide to Law Enforcement or 911 Operator

CALL 911 ONLY WHEN IT IS SAFE TO DO SO!

Location of the active shooter

Number of shooters

Physical description of shooters

Number and types of weapons held by shooters

Number of potential victims at location

● When Law Enforcement Arrives

remain calm and follow instructions, do not appear as a threat to

the police!

Put down and items in your hands (bags, jackets)

Do not pick up any weapons discarded by the suspect

Raise hands and spread fingers, keep hands visible at all times

Lie flat on the floor and place your hands away from your body so

the officers can see that you have no weapons. - STAY DOWN

Keep out of the way; you might interfere with their clear shot at the

gunman and be struck by the bullets.

Avoid quick movements towards Officers such as holding onto

them for safety

Avoid pointing, screaming, or yelling

Do not stop to ask Officers for help or directions when evacuating

How to respond - If you hear shots fired, resist the temptation to investigate the cause. Do not

go to the area. Do not attempt to try to determine what is happening.

http://www.delval.edu/cms/tinymce/jscripts/tiny_mce/plugins/filemanager/files/public_safety/DHS_ActiveShooter_Response-Booklet.pdf


Active ShooterLaw Enforcements response

• The first officers to arrive to the scene will not stop to help injured persons. Expect rescue teams comprised of additional officers and emergency medical personnel to follow the initial officers. These rescue teams will treat and remove any injured persons. They may also call upon able-bodied individuals to assist in removing the wounded from the premises.

• Law enforcement’s purpose is to stop the active shooter as soon as possible. Officers will proceed directly to the area in which the last shots were heard.

• Officers usually arrive in teams of four (4)– Officers may wear regular patrol uniforms or external bulletproof vests, Kevlar

helmets, and other tactical equipment– Officers may be armed with rifles, shotguns, handguns – Officers may use pepper spray or tear gas to control the situation– Officers may shout commands, and may push individuals to the ground for their safety


Work Place Violenceprevention | preparedness | information


High level prevention strategiesTop 10 ways to prevent violence in the workplace

Foster a supportive, harmonious and respectful work environment – Creating a culture of mutual respect can help reduce harassment and

hostility in the workplace. In such a culture, employers strive to communicate openly, give employees adequate control in their work and provide them with support and recognition. Conflict and stress are lower when employees feel empowered to work independently and are motivated to work cooperatively.

Train supervisors and employees how to resolve conflicts – Conflict on the job can be reduced by developing employees’ skills in negotiating,

communicating effectively, team building and resolving disputes. Furthermore, programs that encourage respect for diversity can help to lessen interpersonal conflicts.

Develop effective policies to protect employees from harassment –The key is a company harassment policy that clearly denounces harassment

and states unequivocally it will not be tolerated. A thorough policy defines harassment, specifies how to report it, explains how complaints will be investigated and presents the consequences.

Establish procedures for handling grievances – Employees need to: understand grievance procedures for reporting complaints of unfair treatment,

discrimination or harassment; believe those procedures will be followed; and feel confident concerns will be addressed promptly and confidently.

Provide personal counseling through an employee assistance program – Family, marital, financial and personal issues can have a profound

impact on employees’ work performance, as well as their social interaction at work. An employee assistance program provides employees with a free, easily accessible and confidential resource for addressing personal concerns

Implement security programs that protect employees – Employers have a variety of methods for ensuring workers’ safety, such as full-time or after-

hours security guards, high-tech monitoring systems, emergency warning systems, limited access key cards, strict visitor sign-in policies, new employee background screening, and safety awareness and training.

Provide employee safety education programs – In addition to making workers aware of company safety policies and employee support services,

employers can provide educational materials and seminars about ways to maximize safety at work.

Provide job counseling for employees who have been laid off or fired – Because a job is often closely tied to one’s identity, being laid off can

be traumatic. Employee counseling and support services can help workers develop job-seeking skills, learn how to cope with life changes, and personally and financially prepare for the future. These services also help existing employees feel the company cares about them. It is helpful to train supervisors to sensitively communicate layoffs and firings.

Train supervisors how to recognize signs of a troubled employee – One way to reduce the potential for workplace violence is to intervene before

an incident reaches a flash point. Supervisors can be given training about how to recognize signs and symptoms of a potentially violent employee, such as threatening behavior or preoccupation with violence.

Have a solid WPV crisis plan – Employers may consider developing a crisis plan for dealing with violent incidents. The plan can include details about how to

report the incident, which key internal managers and external authorities should be alerted, how to maintain the safety of unaffected workers and security precautions to prevent further trouble. Companies can also arrange to provide individual crisis counseling and support groups for affected employees soon after the incident occurs.


• Expand BCP to include real-time succession planning management• Create Emergency Response (crisis response?) plan

– Include: Communications, HR, facilities, security, property management, local law enforcement– Identify all tools and supplies needed such as crisis rooms, floor plans, emergency supplies etc…– EAP includes

• Method for reporting and responding to emergencies• Evacuation policy and procedure (regular drills)• Staff accounting procedures (home safe, missing etc)• Emergency escape procedures and route assignments (i.e.. Floor plans, safe areas)• Contact information• Local hospital/s information• Emergency Notification System

• Employee Care Team – best practice– Staff support for hospitalizations– Activation of staff support centers for all staff HR related topics (benefits, payroll etc…) – Targeting grief counseling – Employee Assistance Program (EAP) is key!

• Trained HR experts• Third party support

• Communication – a must!!!– Multiple / active communications tools to quickly distribute information to staff / families– Media management - Spokesperson/s identified

PreparednessPlanning | preparation | training | simulation


• Training and awareness program– Once plans have been established, take all stakeholders through training, table-top and

plan walkthrough exercises– Include local Law Enforcement where possible– Posters, websites and regular communications help keep the subject matter on focus

• Simulation exercises– Crisis and Response Teams should participate in regular simulation exercises in order to

establish a ‘Point of Reference’ for the intended scenario. – If just starting this program, a workshop to review current preparedness and the

identification of action plans to better prepare your organization can be executed first. – For staff, simulation exercises could include evacuation, assembly, shelter-in-place and

active shooter response techniques.

• AGAIN, communication is a must!!!– Regular staff notification, call-tree and accounting exercises absolutely necessary – Media management - Spokesperson/s training is also well spent time and money

Preparedness (cont)Planning | preparation | training and awareness | simulation


Government information

• New York State Public Employer Workplace Violence Prevention Law– On June 7, 2006, New York enacted legislation creating a new section of the New York State

Labor Law that requires public employers 1 to minimize the risk of workplace violence

• Department of Homeland Security– DHS pocket card, booklet, poster available On-line

• FEMA workplace violence traininghttp://emilms.fema.gov/IS106.12/index.htm

• Active shooter instructional videos

– “Shots Fired – When Lightning Strikes”

– Run, Hide, Fight - City of Houston

1 “Public employer“ NY state or one of it’s agencies at the city, county, or municipal or public corporation level.

http://emilms.fema.gov/IS106.12/index.htm



questions / comments?

workplace violence and the business continuity plan · workplace violence and the business ......

Documents