OSHA 3148-06R 2016 Osha

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ecapworkio encevPreventinrofsenGuidelighcarefor Healt Serviceialand SocWorkersOSHA 3148-06R 2016of LaborwU.S.wDepartmentw.osh a.govwww.osha.gov

Occupational Safety and Health Act of 1970“To assure safe and healthful working conditions forworking men and women; by authorizing enforcementof the standards developed under the Act; by assistingand encouraging the States in their efforts to assuresafe and healthful working conditions; by providing forresearch, information, education, and training in the fieldof occupational safety and health.”This publication provides a general overview of worker rightsunder the Occupational Safety and Health Act (OSH Act).This publication does not alter or determine complianceresponsibilities which are set forth in OSHA standards and theOSH Act. Moreover, because interpretations and enforcementpolicy may change over time, for additional guidance on OSHAcompliance requirements the reader should consult currentadministrative interpretations and decisions by the OccupationalSafety and Health Review Commission and the courts.Material contained in this publication is in the public domainand may be reproduced, fully or partially, without permission.Source credit is requested but not required.This information will be made available to sensory-impairedindividuals upon request. Voice phone: (202) 693-1999;teletypewriter (TTY) number: 1-877-889-5627.

Guidelines for PreventingWorkplace Violencefor Healthcare and SocialService WorkersU.S. Department of LaborOccupational Safety and Health AdministrationOSHA 3148-06R 2016

This guidance document is advisory in nature and informationalin content. It is not a standard or regulation, and it neither createsnew legal obligations nor alters existing obligations created by theOccupational Safety and Health Administration (OSHA) standardsor the Occupational Safety and Health Act of 1970 (OSH Act or Act).Pursuant to the OSH Act, employers must comply with safety andhealth standards and regulations issued and enforced either byOSHA or by an OSHA-approved state plan. In addition, the Act’sGeneral Duty Clause, Section 5(a)(1), requires employers to providetheir workers with a workplace free from recognized hazards thatare causing or likely to cause death or serious physical harm. Inaddition, Section 11(c)(1) of the Act provides that “No person shalldischarge or in any manner discriminate against any employeebecause such employee has filed any complaint or instituted orcaused to be instituted any proceeding under or related to thisAct or has testified or is about to testify in any such proceeding orbecause of the exercise by such employee on behalf of himself orothers of any right afforded by this Act.” Reprisal or discriminationagainst an employee for reporting an incident or injury relatedto workplace violence, related to this guidance, to an employeror OSHA would constitute a violation of Section 11(c) of the Act.In addition, 29 CFR 1904.36 provides that Section 11(c) of the Actprohibits discrimination against an employee for reporting a workrelated fatality, injury or illness.

Table of ContentsOverview of the Guidelines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1Violence in the Workplace: The Impact of Workplace Violenceon Healthcare and Social Service Workers . . . . . . . . . . . . . . . . . 2Risk Factors: Identifying and Assessing WorkplaceViolence Hazards . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3Violence Prevention Programs. . . . . . . . . . . . . . . . . . . . . . . . . . . . 51. Management Commitment and Worker Participation. . . . . 62. Worksite Analysis and Hazard Identification . . . . . . . . . . . . 83. Hazard Prevention and Control. . . . . . . . . . . . . . . . . . . . . . . 124. Safety and Health Training. . . . . . . . . . . . . . . . . . . . . . . . . . . 245. Recordkeeping and Program Evaluation. . . . . . . . . . . . . . . 27Workplace Violence Program Checklists. . . . . . . . . . . . . . . . . . 30Bibliography. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40Workers’ Rights . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46OSHA Assistance, Services and Programs . . . . . . . . . . . . . . . . . 46NIOSH Health Hazard Evaluation Program . . . . . . . . . . . . . . . . 50OSHA Regional Offices. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51How to Contact OSHA. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53

Overview of the GuidelinesHealthcare and social service workers face significant risks ofjob-related violence and it is OSHA’s mission to help employersaddress these serious hazards. This publication updatesOSHA’s 1996 and 2004 voluntary guidelines for preventingworkplace violence for healthcare and social service workers.OSHA’s violence prevention guidelines are based on industrybest practices and feedback from stakeholders, and providerecommendations for developing policies and procedures toeliminate or reduce workplace violence in a range of healthcareand social service settings.These guidelines reflect the variations that exist in differentsettings and incorporate the latest and most effective ways toreduce the risk of violence in the workplace. Workplace settingdetermines not only the types of hazards that exist, but also themeasures that will be available and appropriate to reduce oreliminate workplace violence hazards.For the purpose of these guidelines, we have identified fivedifferent settings: Hospital settings represent large institutional medical facilities; Residential Treatment settings include institutional facilitiessuch as nursing homes, and other long-term care facilities; Non-residential Treatment/Service settings include smallneighborhood clinics and mental health centers; Community Care settings include community-basedresidential facilities and group homes; and Field work settings include home healthcare workers orsocial workers who make home visits.Indeed, these guidelines are intended to cover a broad spectrumof workers, including those in: psychiatric facilities, hospitalemergency departments, community mental health clinics, drugabuse treatment centers, pharmacies, community-care centers,and long-term care facilities. Healthcare and social serviceworkers covered by these guidelines include: registered nurses,nurses’ aides, therapists, technicians, home healthcare workers,Guidelines for Preventing Workplace Violence for Healthcare and Social Service Workers1

social workers, emergency medical care personnel, physicians,pharmacists, physicians’ assistants, nurse practitioners, andother support staff who come in contact with clients with knownhistories of violence. Employers should use these guidelines todevelop appropriate workplace violence prevention programs,engaging workers to ensure their perspective is recognized andtheir needs are incorporated into the program.Violence in the Workplace: The Impactof Workplace Violence on Healthcareand Social Service WorkersHealthcare and social service workers face a significant risk ofjob-related violence. The National Institute for OccupationalSafety and Health (NIOSH) defines workplace violence as“violent acts (including physical assaults and threats ofassaults) directed toward persons at work or on duty.”1According to the Bureau of Labor Statistics (BLS), 27 out ofthe 100 fatalities in healthcare and social service settings thatoccurred in 2013 were due to assaults and violent acts.While media attention tends to focus on reports of workplacehomicides, the vast majority of workplace violence incidentsresult in non-fatal, yet serious injuries. Statistics based onthe Bureau of Labor Statistics (BLS) and National CrimeVictimization Survey (NCVS)2 data both reveal that workplaceviolence is a threat to those in the healthcare and social servicesettings. BLS data show that the majority of injuries fromassaults at work that required days away from work occurredin the healthcare and social services settings. Between 2011and 2013, workplace assaults ranged from 23,540 and 25,630annually, with 70 to 74% occurring in healthcare and socialservice settings. For healthcare workers, assaults comprise10-11% of workplace injuries involving days away from work, ascompared to 3% of injuries of all private sector employees.1CDC/NIOSH. Violence. Occupational Hazards in Hospitals. 2002.2Cited in the U.S. Department of Justice, Office of Justice Programs, Bureau of JusticeStatistics report, Workplace Violence, 1993-2009 National Crime Victimization Survey and theCensus of Fatal Occupational Injuries. March 2011. (www.bjs.gov/content/pub/pdf/wv09.pdf)Occupational Safety and Health Administration2

In 2013, a large number of the assaults involving days awayfrom work occurred at healthcare and social assistance facilities(ranging from 13 to 36 per 10,000 workers). By comparison, thedays away from work due to violence for the private sector asa whole in 2013 were only approximately 3 per 10,000 full-timeworkers. The workplace violence rates highlighted in BLS dataare corroborated by the NCVS, which estimates that between1993 and 2009 healthcare workers had a 20% (6.5 per 1,000)overall higher rate of workplace violence than all other workers(5.1 per 1,000).3 In addition, workplace violence in the medicaloccupations represented 10.2% of all workplace violenceincidents. It should also be noted that research has found thatworkplace violence is underreported—suggesting that theactual rates may be much higher.Risk Factors: Identifying and AssessingWorkplace Violence HazardsHealthcare and social service workers face an increasedrisk of work-related assaults resulting primarily from violentbehavior of their patients, clients and/or residents. While nospecific diagnosis or type of patient predicts future violence,epidemiological studies consistently demonstrate that inpatientand acute psychiatric services, geriatric long term care settings,3The report defined medical occupations as: physicians, nurses, technicians, and othermedical professionals.Guidelines for Preventing Workplace Violence for Healthcare and Social Service Workers3

high volume urban emergency departments and residential andday social services present the highest risks. Pain, devastatingprognoses, unfamiliar surroundings, mind and mood alteringmedications and drugs, and disease progression can also causeagitation and violent behaviors.While the individual risk factors will vary, depending on the typeand location of a healthcare or social service setting, as well asthe type of organization, some of the risk factors include:Patient, Client and Setting-Related Risk Factors Working directly with people who have a history of violence,abuse drugs or alcohol, gang members, and relatives ofpatients or clients; Transporting patients and clients; Working alone in a facility or in patients’ homes; Poor environmental design of the workplace that mayblock employees’ vision or interfere with their escape froma violent incident; Poorly lit corridors, rooms, parking lots and other areas;4 Lack of means of emergency communication; Prevalence of firearms, knives and other weapons amongpatients and their families and friends; and Working in neighborhoods with high crime rates.Organizational Risk Factors Lack of facility policies and staff training for recognizing andmanaging escalating hostile and assaultive behaviors frompatients, clients, visitors, or staff; Working when understaffed—especially during mealtimesand visiting hours; High worker turnover; Inadequate security and mental health personnel on site;4CDC/NIOSH. Violence. Occupational Hazards in Hospitals. 2002.Occupational Safety and Health Administration4

Long waits for patients or clients and overcrowded,uncomfortable waiting rooms; Unrestricted movement of the public in clinics andhospitals; and Perception that violence is tolerated and victims will not beable to report the incident to police and/or press charges.Violence Prevention ProgramsA written program for workplace violence prevention,incorporated into an organization’s overall safety and healthprogram, offers an effective approach to reduce or eliminatethe risk of violence in the workplace. The building blocksfor developing an effective workplace violence preventionprogram include:(1) Management commitment and employee participation,(2) Worksite analysis,(3) Hazard prevention and control,(4) Safety and health training, and(5) Recordkeeping and program evaluation.A violence prevention program focuses on developing processesand procedures appropriate for the workplace in question.Specifically, a workplace’s violence prevention program shouldhave clear goals and objectives for preventing workplaceviolence, be suitable for the size and complexity of operationsand be adaptable to specific situations and specific facilities orunits. The components are interdependent and require regularreassessment and adjustment to respond to changes occurringwithin an organization, such as expanding a facility or changes inmanagers, clients, or procedures. And, as with any occupationalsafety and health program, it should be evaluated andreassessed on a regular basis. Those developing a workplaceviolence prevention program should also check for applicablestate requirements. Several states have passed legislation anddeveloped requirements that address workplace violence.Guidelines for Preventing Workplace Violence for Healthcare and Social Service Workers5

1. M anagement Commitment andWorker ParticipationManagement commitment and worker participation are essentialelements of an effective violence prevention program. Theleadership of management in providing full support for thedevelopment of the workplace’s program, combined with workerinvolvement is critical for the success of the program. Developingprocedures to ensure that managementand employees are involved in theEffective managementcreation and operation of a workplaceleadership beginsviolence prevention program can beby recognizing thatachieved through regular meetings—5workplace violencepossibly as a team or committee.is a safety and healthEffective management leadershiphazard.begins by recognizing that workplaceviolence is a safety and health hazard.Management commitment, including the endorsement andvisible involvement of top management, provides the motivationand resources for workers and employers to deal effectively withworkplace violence. This commitment should include: Acknowledging the value of a safe and healthful, violence-freeworkplace and ensuring and exhibiting equal commitment tothe safety and health of workers and patients/clients; Allocating appropriate authority and resources to allresponsible parties. Resource needs often go beyondfinancial needs to include access to information, personnel,time, training, tools, or equipment; Assigning responsibility and authority for the various aspectsof the workplace violence prevention program to ensure thatall managers and supervisors understand their obligations; Maintaining a system of accountability for involvedmanagers, supervisors and workers; Supporting and implementing appropriaterecommendations from safety and health committees;5If employers take this approach, they should consult and follow the applicable provisionsof the National Labor Relations Act—29 U.S.C. 151-169.Occupational Safety and Health Administration6

Establishing a comprehensive program of medical andpsychological counseling and debriefing for workers who haveexperienced or witnessed assaults and other violent incidentsand ensuring that trauma-informed care is available; and Establishing policies that ensure the reporting, recording, andmonitoring of incidents and near misses and that no reprisalsare made against anyone who does so in good faith.Additionally, management should: (1) articulate a policy andestablish goals; (2) allocate sufficient resources; and (3) upholdprogram performance expectations.Through involvement and feedback, workers can provide usefulinformation to employers to design, implement and evaluatethe program. In addition, workers with different functionsand at various organizational levels bring a broad range ofexperience and skills to program design, implementation,and assessment. Mental health specialists have the ability toappropriately characterize disease characteristics but may needtraining and input from threat assessment professionals. Directcare workers, in emergency departments or mental health, maybring very different perspectives to committee work. The rangeof viewpoints and needs should be reflected in committeecomposition. This involvement should include: Participation in the development, implementation,evaluation, and modification of the workplace violenceprevention program; Participation in safety and health committees that receivereports of violent incidents or security problems, makingfacility inspections and responding to recommendations forcorrective strategies; Providing input on additions to or redesigns of facilities; Identifying the daily activities that employees believe putthem most at risk for workplace violence; Discussions and assessments to improve policies andprocedures—including complaint and suggestion programsdesigned to improve safety and security;Guidelines for Preventing Workplace Violence for Healthcare and Social Service Workers7

Ensuring that there is a way to report and recordincidents and near misses, and that issues are addressedappropriately; Ensuring that there are procedures to ensure that employeesare not retaliated against for voicing concerns or reportinginjuries; and Employee training and continuing education programs.2. Worksite Analysis and Hazard IdentificationA worksite analysis involves a mutual step-by-stepassessment of the workplace to find existing or potentialhazards that may lead to incidents of workplace violence.Cooperation between workersand employers in identifying andCooperation betweenassessing hazards is the foundationworkers and employersof a successful violence preventionprogram. The assessment should bein identifying andmade by a team that includes seniorassessing hazards ismanagement, supervisors andthe foundation of aworkers. Although management issuccessful violenceresponsible for controlling hazards,prevention program.workers have a critical role to playin helping to identify and assessworkplace hazards, because of theirknowledge and familiarity with facility operations, processactivities and potential threats. Depending on the size andstructure of the organization, the team may also includerepresentatives from operations; employee assistance;security; occupational safety and health; legal; and humanresources staff. The assessment should include a recordsreview, a review of the procedures and operations for differentjobs, employee surveys and workplace security analysis.Once the worksite analysis is complete, it should be used toidentify the types of hazard prevention and control measuresneeded to reduce or eliminate the possibility of a workplaceviolence incident occurring. In addition, it should assist in theidentification or development of appropriate training. Theassessment team should also determine how often and underOccupational Safety and Health Administration8

what circumstances worksite analyses should be conducted.For example, the team may determine that a comprehensiveannual worksite analysis should be conducted, but require thatan investigative analysis occur after every incident or near miss.Additionally, those conducting the worksite analysis shou

Occupational Safety and Health Administration (OSHA) standards or the . Occupational Safety and Health Act of 1970 (OSH Act or Act). Pursuant to the OSH Act, employers must comply with safety and health standards and regulations issued and enforced either by OSHA or by an OSHA-approved state plan. In addition, the Act’s

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