This appendix incorporates NIST Policy and Procedures for the Prevention of Violence in the Workplace and the related decision matrixes for Gaithersburg and Boulder.

The National Institute of Standards and Technology (NIST), as an employer, is responsible for ensuring a safe, healthy, and productive work environment for its employees. Concurrent with this responsibility, and in light of the fact that threats and violence in the workplace are an increasing concern to all, NIST issues the following policy guidance. NIST is committed to preventing the occurrence of violence, threats, or other abusive behavior in our workplace. This document is meant to clearly set forth NIST's position on threats and violence in the workplace, and provide a process for the appropriate response to a threatening or violent incident should it occur.

I. POLICY STATEMENT

It is NIST's policy to promote a safe environment for its employees. NIST is committed to working with its employees to maintain a work environment free from violence, threats of violence, harassment, intimidation, and other disruptive behavior. While this kind of conduct is not pervasive at NIST, no agency is immune. Disruptive behavior at one time or another will affect every agency.

Violence, threats, harassment, intimidation, and other disruptive behavior in our workplace will not be tolerated; that is, all reports of incidents will be taken seriously and will be dealt with appropriately. Such behavior can include oral or written statements, gestures, or expression that communicate a direct or indirect threat of physical harm. Individuals who commit such acts may be removed from the premises and may be subject to disciplinary action, criminal penalties, or both.

We need your cooperation to implement this policy effectively and maintain a safe working environment. Do not ignore violent, threatening, harassing, intimidating, or other disruptive behavior. If you observe or experience such behavior by anyone on agency premises, whether he or she is an agency employee or not, report it immediately to a supervisor or manager. Supervisors and managers who receive such reports must seek advice from the Human Resources Management Division (HRMD) at Gaithersburg (301-975-3000) or the MASC Human Resources Division at Boulder (303-497-5061) regarding investigating the incident and initiating appropriate action.

PLEASE NOTE: Threats or assaults that require immediate attention by the Police should be reported first to the Police Force. If the incident is at Gaithersburg call x2222; at Boulder call x7777.

II. DEFINITION OF TERMS

Violence - physical or verbal aggression toward others; verbalization, writing, gestures or other forms of expression that could be interpreted by a reasonable person to communicate a direct, indirect or potential threat to self or others.

Threat - a verbal or physical expression of intent to cause physical harm, pain or damage to persons or property.

Intimidate - to frighten, alarm or scare another person or persons. To attempt to inhibit or discourage another person or persons by, or as if by, threats.

Harass - to create a hostile work environment through use of unwelcomed words, actions or physical contact that does not result in physical harm. Verbal harassment may include insults, disparaging remarks, shouting, slurs, unreasonable or excessive name-calling, or use of other abusive language. Physical harassment may include holding, impeding or blocking movement, touching, or any other inappropriate physical advances.

Assault - to attack someone physically, causing bodily or emotional injury, pain and/or distress. Assault may or may not include the use of a weapon, and include actions such as hitting, punching, pushing, poking, kicking or any other physically aggressive expression of emotion.

III. IMPLEMENTATION OF POLICY

A. Preventive Measures

1. Weapons

NIST is a federal facility; therefore, possession or use of firearms and other dangerous weapons on the property (owned or leased, including grounds and buildings) of the facility is illegal. Federal law states in part that:

--Whoever knowingly possesses or causes to be present a firearm or other dangerous weapon in a federal facility, or attempts to do so, shall be imprisoned not more than one year or fined.

--Whoever, with intent that a firearm or other dangerous weapon be used in the commission of a crime, knowingly possesses or causes to be present such firearm or dangerous weapon, in a federal facility, or attempt to do so, shall be imprisoned not more than five years or fined.

2. Physical Security

NIST uses a variety of security measures to restrict access to agency facilities. These include:

--identification badges and personal recognition;
--police force and receptionist assistance in registering and directing visitors;
--police force and all employees, questioning unbadged or suspicious individuals; and
--police patrolling grounds and facilities, and responding to emergencies.

Employees should notify the Police of unbadged, suspicious, or unauthorized individuals on NIST property.

3. Workplace Education, Counseling, And Stress Management

Education is an important component of the NIST program to prevent violence and threats in the workplace. Training is available to each member of the work force. Courses are available in conflict resolution and stress management. (Information on all courses is available electronically through the Administrative Calendar.) Supervisors are expected to develop and improve their skills in these areas as well as employee relations, alternative dispute resolution, influencing/negotiating, oral and written communication, problem solving and interpersonal skills. In addition the Employee Assistance Program (EAP) offers special seminars that expand on stress management courses and are designed to meet special needs.

Supervisors should be sensitive to stress generated by the workplace and consider changes that could alleviate work-related stress. They should also encourage employees showing signs of stress to attend appropriate courses or to contact the EAP. If employees see signs of stress in others, they are encouraged to discuss this directly with their supervisor or talk to others in the supervisory chain.

Ignoring an employee who exhibits threatening behavior is the worst possible action to take. Ignoring such behavior only reinforces the behavior and sends a message to the employee that such behavior is acceptable. Addressing problems early is the best way to prevent threatening situations and create a safe work environment for all employees.

IV. ROLES AND RESPONSIBILITIES

A. Employees

Each member of the work force:

1. is accountable for his/her own behavior;

2. is expected to interact responsibly with fellow employees and supervisors; and

3. should report to their supervisor any threatening situation, unauthorized individuals in the workplace, or threats from non-employees.

B. Immediate (First-line) Supervisor

The immediate supervisor is responsible for:

1. taking immediate action to ensure the safety of subordinates and for the care of those affected, and maintaining the continuity of the agency's mission;

2. communicating information regarding the incident or behavior to his/her immediate supervisor and upper management;

3. contacting the appropriate specialists: employee relations (ER); Police; Employee Assistance Program Counselor; and/or emergency medical team; and

4. taking whatever action is necessary to resolve the issue.

C. Second-line and Upper Management

1. During a threatening situation, the most important role of management above the first-line supervisor is to provide support to the supervisor dealing directly with the threatening employee. Support may include meeting with the first-line supervisor while he/she obtains statements from witnesses and the threatening employee; arranging for and/or participating in counseling and/or disciplinary sessions of employees; temporarily relieving supervisor of regular duties while dealing with the threatening situation, etc. This list is not all-inclusive.

2. At all times, management has the responsibility to identify and address underlying workplace situations that may give rise to stress and/or violence.

D. Employee Relations Specialist

The ER Specialist consults and advises management throughout the process. Additional responsibilities include: assessing and analyzing evidence, advising management on appropriate administrative action, preparing disciplinary/adverse action letters, ensuring that evidence exists to support action taken, informing the generalist or relevant personnel servicing team of pending action, coordinating with the Office of the General Counsel and other offices, as appropriate, coordinating the Critical Incident Team (CIT), and leading the CIT debriefing process.

E. Police Force

The Police Force responds and investigates potential criminal activity, ensures the immediate safety of the workforce, coordinates responses with the ER Specialist, Fire Protection Group, NIST Medical Doctor, other state and local officials, as appropriate, and the Employee Assistance Program Counselor.

F. Emergency Medical Technicians (EMTs)

The EMTs from the Fire Protection Group at Gaithersburg, or the local community (as at Boulder or when necessary at Gaithersburg) will respond as necessary to render proper medical aid to any injured personnel. They will provide needed documentation to the Police for necessary report completion.

G. Employee Assistance Program (EAP)

The EAP Counselor is available to assess the behavior of the threatening employee, make appropriate referrals when necessary, provide support and consultation to victims and supervisors, and participate in debriefing sessions regarding the incident.

V. PROCEDURES FOR DEALING WITH VARIOUS BEHAVIOR

Decision matrixes for Gaithersburg and Boulder are included with this appendix to assist supervisors and employees when confronted with a potential workplace violence incident.

A. VIOLENT BEHAVIOR

1. If firearms or other weapons are involved:

a. If possible, evacuate all personnel from the area and prevent any further entry into the area.

b. Call, or have someone else call, the Police (x2222 at Gaithersburg; x7777 at Boulder). Do not ignore reports or your own observation that a person has used, is threatening to use, or has in his/her possession, a gun or any other weapon. Do not try to disarm or confront the person.

c. Make as many observations as you can on the person's behavior and appearance including whether there is any indication that he/she might be under the influence of alcohol or drugs. Write down all the observations when safely possible and date the notes. If other people are present, have them record their observations as well. Give copies of all notes to HRMD, the Police, and/or the local law enforcement officials, as appropriate. These notes may provide valuable information, and they will be useful when proposing or taking corrective or precautionary measures.

d. The Police will remove the person from the area and confiscate all evidence. If appropriate, the person's building pass and keys must be confiscated to ensure that the person cannot enter the worksite again without agency permission. In addition, steps may be undertaken by the Police, in coordination with the ER Specialist, to bar the employee from the NIST grounds.

e. If the person is an employee, contact HRMD for assistance in determining an appropriate course of action. If it is determined that the employee should be restricted from the worksite for a period of time, HRMD can provide assistance with the procedural requirements for taking this action.

2. If there has been a physical attack:

a. Call the Police (x2222 at Gaithersburg; x7777 at Boulder).

b. If you can safely do so, keep the involved parties calm and separated until help arrives. In some cases they should be removed from the worksite or the building. Do not try to touch or physically restrain the person. Your ER Specialist and the Police can answer questions about barring an employee from the worksite for an extended period of time, if necessary.

c. Make as many observations as you can on the person's behavior and appearance including whether there is any indication that he/she might be under the influence of alcohol or drugs. Write down all the observations when safely possible and date the notes. If other people are present, have them record their observations as well. Give copies of all notes to HRMD, the Police, and/or the local law enforcement officials, as appropriate. These notes may provide valuable information, and they will be useful when proposing or taking corrective or precautionary measures.

d. If the person is an employee, contact HRMD for assistance in determining an appropriate course of action. If it is determined that the employee should be restricted from the worksite for a period of time, HRMD can provide assistance with the procedural requirements for taking this action.

If it is determined that it is not necessary to keep that employee from the worksite, HRMD can provide advice concerning other corrective or precautionary measures that may be appropriate.

e. The HRMD staff can provide information about referring an employee to the EAP. When a referral is made based on specific instances of performance or misconduct, it is advisable for management to consult with the EAP Counselor prior to making the referral.

3. If an employee's violent conduct occurred off-duty:

If you learned of the conduct through police reports, the media, or other sources, discuss with HRMD, who will include the Police in the determination of whether the conduct requires an agency action to restrict the employee from the worksite, or if any other corrective or precautionary measures are warranted.

B. POTENTIAL VIOLENCE

There may be situations where an employee has not exhibited violent or strange behavior at the worksite, but you receive warnings that indicate a future risk of violence. Some examples are:

1. Notification by a doctor or a family member that an employee is suffering from mental illness and has made violent statements about others;

2. Notification from a family member that an employee has been using drugs or alcohol and is acting irrationally;

3. Comments about suicide to a supervisor or coworker that create concern about an employee's personal safety.

In these situations, it is prudent to call HRMD to help you determine your course of action. Under no circumstances should you ignore these warnings, even if you think they are not serious.

C. THREATENING, INTIMIDATING, OR HARASSING REMARKS OR BEHAVIOR

With increasing reports of violence in the workplace and warnings not to ignore the signals of potential violence-like threats, supervisors and employees have to balance workplace safety with the rights of individuals to be treated fairly. Deciding if a particular statement of action constitutes a "threat" or creates a hostile working environment is difficult. Supervisors and employees must exercise good judgment in making such determinations. They should immediately consult with HRMD and/or the Police, as appropriate, for assistance in making the determinations and deciding what action(s) may be warranted.

D. DIRECT OR VEILED THREATENING STATEMENTS

Statements may be direct threats like "I am going to kill you..." or veiled threats like "Something bad will happen to somebody," "I'm afraid I may hurt someone," or "I think about killing myself." Some of the ways people may receive threatening remarks include:

1. Remarks made directly to the target of the threat orally, either in person or through telephone calls;

2. Remarks to one person about another; or

3. Remarks made in letters, notes, or electronic messages.

When you are aware of such threatening remarks, do not ignore the information, even if you do not personally believe the threat is serious. You should consult with your supervisor to determine the severity of the threat and decide what, if any actions are warranted. HRMD and/or the Police can help you plan your actions and also inform the target(s) of the threats. They can also help you take steps to ensure the safety of employees at work.

E. INTIMIDATING OR HARASSING REMARKS

Intimidating or harassing remarks may not actually contain a threat. However, if anyone feels intimidated or frightened by remarks made at work or off-duty, they should report this to their supervisor or HRMD. Do not ignore this information. In consultation with HRMD, the supervisor must determine the seriousness of these remarks, and decide what, if any, action(s) may be appropriate.

F. INTIMIDATING OR HARASSING BEHAVIOR

Intimidating, harassing, or confrontational behavior can include such things as physically crowding, stalking, or directing menacing looks or gestures to create fear in other persons. Such actions are inappropriate to the workplace and should not be tolerated. You should consult with HRMD in dealing with these kinds of behaviors and deciding what, if any, corrective or precautionary measures may be warranted. In some cases, particularly those involving off-duty incidents, employees may be advised to contact local law enforcement authorities.

G. IRRATIONAL OR INAPPROPRIATE BEHAVIOR

Irrational or inappropriate behavior often bothers others and can be extremely disruptive. These behaviors may be a warning sign of potential hostility or violence, or may be indicative of other problems. When ignored, they can escalate to more serious problems. Determining if a particular instance of irrational or inappropriate behavior indicates a potential for future violence is difficult.

Examples of irrational or inappropriate behaviors may include unwelcome name-calling, obscene language, or other abusive behavior; intimidation through direct or veiled verbal threats; throwing objects regardless of the target of the object being thrown; physically touching another person in an unwelcome, intimidating, malicious, or sexually harassing manner such as hitting, slapping, poking, kicking, pinching, grabbing, pushing, etc.; or physically intimidating others including such acts as obscene gestures, "getting in your face," or fist-shaking.

When incidents of inappropriate behavior are observed or reported, document the incident and decide what action(s), if any, may be appropriate. You should consult with HRMD. Response to such behavior depends on a variety of factors, such as: (1) the effect on the employee's performance of their job; (2) the effect on other employees or clients, (3) violation of workplace rules and acceptable standards of conduct, or (4) your determination as to whether these actions indicate a potential for future violence.

VI. COPING WITH THREATS & VIOLENCE

A. For an angry or hostile encounter

- Stay calm. Listen attentively.
- Maintain eye contact.
- Be courteous. Be patient.
- Keep the situation in your control.

B. For a person shouting, swearing, and threatening

- Signal a coworker or supervisor that you need help.
- Do not make any calls yourself.
- Have someone call the Police (x2222 at Gaithersburg; x7777 at Boulder).

C. For someone with a weapon

- Stay calm.
- Maintain eye contact.
- Stall for time.
- Keep talking... but follow instructions from the person with the weapon.
- Don't risk harm to yourself or others.
- Don't ever try to be a hero.
- Never try to grab a weapon.
- Contact the Police (x2222 at Gaithersburg; x7777 at Boulder) immediately as soon as it is safe to do so.
- Escape, if possible.

D. TELEPHONED SUICIDE OR BOMB THREATS

- Stay calm. Keep talking.
- Do not hang up. Signal a coworker to call the Police (x2222 at Gaithersburg; x7777 at Boulder).
- Ask the caller to repeat the message, write it down.
- Repeat the questions, if necessary.
- For a bomb threat, ask where it is and when it will go off.
- Listen for background noises. Write down what you heard.
- Write down whether it is a man or woman; pitch of voice or accent; anything you notice.
- Try to get the person's name, location, and telephone number.

VII. CRITICAL INCIDENT TEAM PROCESS

A. The Critical Incident Team (CIT) is responsible for developing and implementing a plan to respond to a wide range of situations dealing with unusual, bizarre, disruptive or threatening employee behavior. The ER Specialist/HRMD will convene the CIT when he/she receives a report of threatening behavior.

B. Goal: To deal swiftly with the problem behavior of an employee

C. The Critical Incident Team membership consists of employees from the following organizational areas:

1. HRMD/ER Specialist (Team Coordinator)

2. Employee's Supervisor

3. Facility Services Division

--Emergency Services Coordinator
--Police (as the situation dictates)
--Emergency Medical Team (as the situation dictates)

4. Occupational Health and Safety Division

--NIST Medical Doctor (as the situation dictates)
--Employee Assistance Program Counselor (as the situation dictates)

5. Office of the General Counsel, Department of Commerce

6. At Boulder, the MASC ER Specialist and the EAP Counselor will be added to the team as necessary.

7. Other staff members may be consulted for assistance on a case-by-case basis.

D. Roles of Team Members

1. Manager/Supervisor - alerts the ER Specialist and Police when violence is an issue. The manager, with the assistance and support of the other Team members, in their areas of expertise, is responsible for determining the final administrative plan of action. The manager is also responsible for providing the employee with his/her decision concerning the employee's exhibited behavior and its impact on the work and the organization.

2. Employee Relations Specialist - provides the Team coordination because most incidents result in some type of disciplinary action. The ER Specialist in coordination with other Team members will provide the agency response in determining appropriate action taken as a result of problem behavior exhibited by an employee. The ER Specialist leads the team debriefing activity.

3. Emergency Services Coordinator - is a member of the CIT to orchestrate the involvement of the Police and the EMT organizations. Will track issues to determine trends and to evaluate the impact on the entire campus with respect to the total emergency planning process.

4. Police/Security - provide an assessment of the information available at the time an incident arises and determine whether a threatening situation exists and what security measures need to be taken. Will pursue criminal charges, if any, through the legal process/Magistrate's Court.

5. NIST Medical Doctor - may provide advice and assistance when medical conditions seem to be a factor in an employee's behavior.

6. Employee Assistance Program Counselor - provides advice and assistance in conflict resolution situations and helps clarify options and procedures for situations in which substance abuse or mental illness seems to be a factor. The EAP Counselor will also provide, when needed, brief intervention and support to transition the employee from emergency-centered interventions to more extensive mental health care.

7. Emergency Medical Team - provides emergency medical service as necessary.

VIII. POST-INCIDENT PROCEDURES

After the incident is investigated and resolved, the CIT meets to review the incident to determine whether preventive measures should be changed or added for responding to future incidents.

The EAP Counselor is available to provide post trauma/critical incident stress debriefings for employees affected by the incident.

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• 10.11 Appendix B (chart)