ASIS SHRM Maturity Assessment

Workplace Violence Prevention and Intervention Program Maturity Assessment

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5 Establishing Multidisciplinary Involvement

5.1 Top Management Management Commitment to Workplace Violence Prevention and Intervention program and management.

There is no demonstrable senior management commitment to the Workplace Violence Prevention and Intervention program.

Management has not aligned the Workplace Violence strategy with corporate strategy.

Senior management’s participation in the Workplace Violence Prevention and Intervention program is informal, but senior management recognizes the value of such program.

Management understands the Workplace Violence Prevention and Intervention strategy.

Senior management’s responsibility has been defined, but they are not consistently held accountable.

Management has informally aligned with the Workplace Violence Prevention and Intervention strategy with corporate strategy.

Senior management is consistently held accountable for the Workplace Violence Prevention and Intervention program.

Management has formally aligned with the Workplace Violence Prevention and Intervention Program strategy with the corporate strategy or external threats.

Senior Management’s commitment to the Workplace Violence Prevention and Intervention program is ongoing.

A strategy is in place to incorporate Workplace Violence Prevention and Intervention controls into the processes of the organization, and addresses the organization's high level safety and security objectives.

Program is updated periodically as a result of risk assessment.


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5.2 Other Key Stakeholders and Participants

Ensures the Workplace Violence Prevention and Intervention Program has Stakeholders for creating a safe & secure working environment.

Key stakeholders responsibilities and procedures are not established.

Key stakeholder responsibilities and procedures are informal.

Key stakeholder responsibilities and procedures are formal, but not all engagements are consistent.

Key stakeholder responsibilities and procedures are formal, and all engagements are consistent.

Key stakeholder responsibilities and procedures are formal, and all engagements are consistent.

Roles are defined, documented, repeatable and engagement is assessed periodically.

5.2.1 Human Resources HR responsibility for supporting the development and implementation of the Workplace Violence Prevention and Intervention Program.

There is no designated HR resource responsible for supporting the development and implementation of the Workplace.

HR resource is identified and support of the Workplace Violence Prevention and Intervention Program is informal.

HR resource is identified role is defined but they are not held consistently accountable for support of the Workplace Violence Prevention and Intervention Program.

HR resource is consistently held accountable for the support of the Workplace Violence Prevention and Intervention Program.

HR resource is committed to the support and development of the support of the Workplace Violence Prevention and Intervention Program.

HR resource is an active participant.


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5.2.2 Security Security responsibility for supporting the development and implementation of the Workplace Violence Prevention and Intervention Program.

There is no designated Security resource responsible for supporting the development and implementation of the Workplace.

Security resource is identified and support of the Workplace Violence Prevention and Intervention Program is informal.

Security resource is identified role is defined but they are not held consistently accountable for support of the Workplace Violence Prevention and Intervention Program.

Security resource is consistently held accountable for the support of the Workplace Violence Prevention and Intervention Program.

Security resource is committed to the support and development of the support of the Workplace Violence Prevention and Intervention Program.

Security resource is an active participant.

5.2.3 Legal Counsel Legal responsibility for supporting the development and implementation of the Workplace Violence Prevention and Intervention Program.

There is no designated Legal resource responsible for supporting the development and implementation of the Workplace.

Legal resource is identified and support of the Workplace Violence Prevention and Intervention Program is informal.

Legal resource is identified role is defined but they are not held consistently accountable for support of the Workplace Violence Prevention and Intervention Program.

Legal resource is consistently held accountable for the support of the Workplace Violence Prevention and Intervention Program.

Legal resource is committed to the support and development of the support of the Workplace Violence Prevention and Intervention Program

Legal resource is an active participant.


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5.2.4 Occupational Safety and Health Personnel

Compliance responsibility for supporting the development and implementation of the Workplace Violence Prevention and Intervention Program.

There is no designated Compliance resource responsible for supporting the development and implementation of the Workplace.

Compliance resource is identified and support of the Workplace Violence Prevention and Intervention Program is informal.

Compliance resource is identified role is defined but they are not held consistently accountable for support of the Workplace Violence Prevention and Intervention Program.

Compliance resource is consistently held accountable for the support of the Workplace Violence Prevention and Intervention Program.

Compliance resource is committed to the support and development of the support of the Workplace Violence Prevention and Intervention Program.

Compliance resource is an active participant.

5.2.5 Union Leaders Union Leaders responsibility for supporting the development and implementation of the Workplace Violence Prevention and Intervention Program.

There is no designated Union Leader resource responsible for supporting the development and implementation of the Workplace.

Union Leader resource is identified and support of the Workplace Violence Prevention and Intervention Program is informal.

Union Leader resource is identified role is defined but they are not held consistently accountable for support of the Workplace Violence Prevention and Intervention Program.

Union Leader resource is consistently held accountable for the support of the Workplace Violence Prevention and Intervention Program.

Union Leader resource is committed to the support and development of the support of the Workplace Violence Prevention and Intervention Program.

Union Leader resource is an active participant.


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5.2.6 Employee Assistance Programs

EAP responsibility for supporting the development and implementation of the Workplace Violence Prevention and Intervention Program.

There is no designated EAP resource responsible for supporting the development and implementation of the Workplace.

EAP resource is identified and support of the Workplace Violence Prevention and Intervention Program is informal.

EAP resource is identified role is defined but they are not held consistently accountable for support of the Workplace Violence Prevention and Intervention Program.

EAP resource is consistently held accountable for the support of the Workplace Violence Prevention and Intervention Program.

EAP resource is committed to the support and development of the support of the Workplace Violence Prevention and Intervention Program.

EAP resource is an active participant.

5.2.7 Crisis Management Personnel

Crisis Management responsibility for supporting the development and implementation of the Workplace Violence Prevention and Intervention Program.

There is no designated Crisis Management resource responsible for supporting the development and implementation of the Workplace.

Crisis Management resource is identified and support of the Workplace Violence Prevention and Intervention Program is informal.

Crisis Management resource is identified role is defined but they are not held consistently accountable for support of the Workplace Violence Prevention and Intervention Program.

Crisis Management resource is consistently held accountable for the support of the Workplace Violence Prevention and Intervention Program.

Crisis Management resource is committed to the support and development of the support of the Workplace Violence Prevention and Intervention Program.

Crisis Management resource is an active participant.


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5.2.8 Risk Management Personnel

Risk management responsibility for supporting the development and implementation of the Workplace Violence Prevention and Intervention Program.

There is no designated Risk management resource responsible for supporting the development and implementation of the Workplace.

Risk management resource is identified and support of the Workplace Violence Prevention and Intervention Program is informal.

Risk management resource is identified role is defined but they are not held consistently accountable for support of the Workplace Violence Prevention and Intervention Program.

Risk management resource is consistently held accountable for the support of the Workplace Violence Prevention and Intervention Program.

Risk management resource is committed to the support and development of the support of the Workplace Violence Prevention and Intervention Program.

Risk management resource is an active participant.

5.2.9 Public Relations/Corporate Communications

Communication Team responsibility for supporting the development and implementation of the Workplace Violence Prevention and Intervention Program.

There is no designated Communication Team resource responsible for supporting the development and implementation of the Workplace.

Communication Team resource is and identified support of the Workplace Violence Prevention and Intervention Program is informal.

Communication Team resource is identified role is defined but they are not held consistently accountable for support of the Workplace Violence Prevention and Intervention Program.

Communication Team resource is consistently held accountable for the support of the Workplace Violence Prevention and Intervention Program.

Communication Team resource is committed to the support and development of the support of the Workplace Violence Prevention and Intervention Program.

Communication Team resource is an active participant.


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6 Planning a Workplace Violence Prevention and Intervention Program

6.1 Conducting a Needs Assessment

Workplace Violence Prevention and Intervention needs assessment is conducted to evaluate the presence of any specific risks of violence affecting the workplace and the organizations readiness to respond to threats and violent incidents.

Ensures the Workplace Violence Prevention and Intervention tolerance and assessment process is established and maintained.

Workplace Violence Prevention and Intervention tolerance has not been established.

Workplace Violence Prevention and Intervention needs assessment have not been conducted.

Workplace Violence Prevention and Intervention risk tolerance is established using no process or results from previous assessments.

Workplace Violence Prevention and Intervention needs assessment is established informally using no processes or previous results.

Workplace Violence Prevention and Intervention tolerance is established informally using processes or results from previous assessments.

Workplace Violence Prevention and Intervention needs assessment is established informally using processes or results from previous assessments

Workplace Violence Prevention and Intervention needs assessment are informally conducted.

Workplace Violence Prevention and Intervention tolerance is established formally using processes or results from previous assessments.

Workplace Violence Prevention and Intervention needs assessment established formally using processes or results from previous assessments

Workplace Violence Prevention and Intervention needs assessment are formally conducted.

Workplace Violence Prevention and Intervention tolerance is established formally using processes or results from previous assessments and continuously reevaluated based upon assessment results.

Workplace Violence Prevention and Intervention needs assessments are formally and consistently conducted.


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6.1.1 General Approach Workplace Violence Prevention and Intervention needs assessment evaluates factors related to possible loss events resulting from violence, impact to employee welfare, the organization, policies, practices and structures as they relate to the organizations ability to prevent violence and intervene when threats and violent incidents occur.

Workplace Violence Prevention and Intervention needs assessment have not been created or formalized.

Workplace Violence Prevention and Intervention needs assessment is established, but does not take into consideration all relevant evaluation factors.

Workplace Violence Prevention and Intervention needs assessment is established and considers majority of relevant evaluation factors.

Workplace Violence Prevention and Intervention needs assessment is established and implemented. Needs assessments considers relevant evaluation factors.

Workplace Violence Prevention and Intervention needs assessment is established and implemented. Internal and external standards are applied. Evaluation factors are reviewed and updated on a periodic basis.

6.1.2 Assessing the Organization’s General Vulnerability to Violence

Workplace Violence Prevention and Intervention needs assessment examines general vulnerability to violence from external and internal sources. (OSHA workplace typology)


Workplace Violence Prevention and Intervention needs assessment is established but does not include a process to consider OSHA workplace typology.

Workplace Violence Prevention and Intervention needs assessment is established and considers OSHA workplace typology but no other factors that can affect exposure to possible violence.

Workplace Violence Prevention and Intervention needs assessment is established, considers OSHA workplace typology and other factors that can affect exposure to possible violence.

Workplace Violence Prevention and Intervention needs assessment is established, considers OSHA workplace typology and other factors that can affect exposure to possible violence. Factors are reviewed and updated on a periodic basis.


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6.1.3 Evaluating Current Prevention and Intervention Practices

Workplace Violence Prevention and Intervention needs assessment includes a detailed evaluation of its current practices.


Workplace Violence Prevention and Intervention needs assessment is established but does not include a process to consider current practices.

Workplace Violence Prevention and Intervention needs assessment is established and considers current practices, gaps are identified but not remediated.

Workplace Violence Prevention and Intervention needs assessment is established, considers current practices and gaps are identified and remediation is informal.

Workplace Violence Prevention and Intervention needs assessment is established, considers current practices, gaps are identified and remediation is formal. Gaps are effectively managed and monitored.

6.1.4 Evaluating Physical Security

Workplace Violence Prevention and Intervention needs assessment includes examining affective physical security practices.


Workplace Violence Prevention and Intervention needs assessment is established but does not include a process to consider physical security practices.

Workplace Violence Prevention and Intervention needs assessment is established and considers physical security practices, gaps are identified but not remediated.

Workplace Violence Prevention and Intervention needs assessment is established, considers physical security practices, gaps are identified and remediation is informal.

Workplace Violence Prevention and Intervention needs assessment is established, considers physical security practices, gaps are identified and remediation is formal. Gaps are effectively managed and monitored.


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6.2 Elements of a Formal Workplace Violence Prevention and Intervention Program

Workplace Violence Prevention and Intervention program includes policies, procedures and practices.

There are ad hoc approaches to Workplace Violence Prevention and Intervention processes and practices. The process and policies are undefined.

Some aspects of the process are repeatable because of the individual expertise and some documentation and informal understanding of Workplace Violence Prevention and Intervention policies and practices may exist. Similar and common processes emerge, but are largely intuitive.

The process, policies and procedures are defined for all Workplace Violence Prevention and Intervention key activities. Usage of good practices emerges

All aspects of the Workplace Violence Prevention and Intervention process are documented and repeatable. Policies have been approved and signed off on my management. Standards for developing and maintaining the processes and procedures are adopted and followed. The process is sound and complete; internal best practice are applied.

Workplace Violence Prevention and Intervention process is documentation is evolved to automated workflows. Processes, policies and procedures are standardized and integrated to enable end to end management improvement. External best practices and standards are applied.

6.2.1 Work Place Violence Prevention Policy

Workplace Violence Prevention and Intervention program includes a “No threats, no violence” policy that is clearly communicated to employees at time of hire and during the course of employment.

Workplace Violence Prevention and Intervention policies and do not exist.

Workplace Violence Prevention and Intervention policy documentation has been initiated.

Workplace Violence Prevention and Intervention policies are partially documented, but are not always consistent with business needs.

Workplace Violence Prevention and Intervention policies area fully documented, and are consistent with business needs.

Workplace Violence Prevention and Intervention policies are maintained and continuously evaluated based on evolving business need.


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6.2.2 Interdisciplinary Threat Management Team

Workplace Violence Prevention and Intervention program includes an interdisciplinary team created and trained to respond to violence incidents or reports of troubling behavior made under the workplace violence prevention policy. (Called TAT)

Workplace Violence Prevention and Intervention program has not defined an interdisciplinary team.

Workplace Violence Prevention and Intervention program has not defined an interdisciplinary team, SMEs are known and engaged as needed.

Workplace Violence Prevention and Intervention program has defined an interdisciplinary team resources are identified and roles are defined but engagement is not consistent.

Workplace Violence Prevention and Intervention program has defined an interdisciplinary team resources are identified, roles are defined and engagement is consistent.

Workplace Violence Prevention and Intervention program has not defined an interdisciplinary team resources are identified, roles are defined, participation in TAT is part of core role and engagement consistent. TAT team is held accountable for their participation.

6.2.2.1 The Team Environment and the Use of External Experts

Workplace Violence Prevention and Intervention program supplements its internal expertise with outside experts.

The Workplace Violence Prevention and Intervention program does not utilize external experts.

The Workplace Violence Prevention and Intervention program utilized external experts during program build, but does not engage experts on an on-going basis.

The Workplace Violence Prevention and Intervention program has identified experts, utilizes experts in program establishment, refinement and active incidents. The engagement process is defined.

The Workplace Violence Prevention and Intervention program has identified experts, utilizes experts in program establishment, refinement and active incidents. Engagement process is formal and tracked.

The Workplace Violence Prevention and Intervention program has identified experts, utilizes experts in program establishment, refinement and active incidents. Engagement process is formal, tracked and reevaluated regularly.


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6.2.3 Incident Management Process

Workplace Violence Prevention and Intervention program includes a process in which the Threat Assessment Team investigates, manages, resolves reports of workplace violence.

Workplace Violence Prevention and Intervention program does not include a process to investigate, manage, or resolve reports of workplace violence.

Workplace Violence Prevention and Intervention program has established a process to investigate, manage and resolve reports of workplace violence but the process ownership is unclear.

Workplace Violence Prevention and Intervention program has a process to investigate, manage and resolve reports of workplace violence. Process is defined, documented and there is a clear owner.

Workplace Violence Prevention and Intervention program has process to investigate, manage and resolve reports of workplace violence. Process is defined documented, clear ownership is defined and a multidisciplinary team is in place.

Workplace Violence Prevention and Intervention program has process to investigate, manage and resolve reports of workplace violence. Process is defined documented, clear ownership is defined and a multidisciplinary team is in place. Process is reevaluated and updated on a continuous basis to meet changing business needs.

6.2.4 Protocols to Address Emergencies and Incidents that Generate Heightened Concern

Workplace Violence Prevention and Intervention program includes protocols for addressing incidents and reports that generate and immediate emergency.

Workplace Violence Prevention and Intervention program does not include protocols for addressing immediate emergency incidents.

Workplace Violence Prevention and Intervention program protocols for addressing immediate emergency incidents documentation has been initiated.

Workplace Violence Prevention and Intervention program protocols for addressing immediate emergency incidents are partially documented, but are not always consistent with business needs.

Workplace Violence Prevention and Intervention program protocols for addressing immediate emergency incidents fully documented, and are consistent with business needs.

Workplace Violence Prevention and Intervention program protocols for addressing immediate emergency incidents fully documented, maintained and continuously evaluated based on evolving business need.


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6.2.5 Training To ensure that employees, contractors and third party users are aware of the Workplace Violence Prevention and Intervention Program and concerns, their responsibilities and liabilities, and are equipped to support organizational Workplace Violence Prevention and Intervention policy in the course of their normal work, and to reduce the risk.

Workplace Violence Prevention and Intervention Awareness, Training and Education program is not provided.

The need for Workplace Violence Prevention and Intervention Awareness, Training and Education materials is recognized but informally applied.

Workplace Violence Prevention and Intervention Awareness, Training and Education activities exist, but are not consistently conducted or available to employees, contractors and third parties.

A formal Workplace Violence Prevention and Intervention Awareness, Training and Education program exists and is conducted or available to employees, contractors and third parties. Training is required for all Management/ supervisory, Human Resources and Security personnel. Training is conducted periodically.

Workplace Violence Prevention and Intervention Awareness, Training and Education program exists and is conducted or available to employees, contractors and third parties. Training is required for all employees, contractors and third parties and is conduced periodically

6.2.6 Specific Strategies for High-Risk Workplaces

To ensure organizations in high risk industries include the Fed-OSHA guidelines in the Workplace Violence Prevention and Intervention Program.

Fed-OSHA high-risk strategies are not included in the Workplace Violence Prevention and Intervention Program.

Fed-OSHA high-risk strategies have been identified and plans are in place to include guideline in the Workplace Violence Prevention and Intervention Program.

Fed-OSHA high-risk strategies are included in the Workplace Violence Prevention and Intervention Program.

Fed-OSHA high-risk strategies are included in the Workplace Violence Prevention and Intervention Program. Guidelines are reviewed and updated in alignment with changes to OSHA.

Fed-OSHA high-risk strategies are included in the Workplace Violence Prevention and Intervention program. Guidelines are reviewed and updated in alignment with changes to OSHA and program is continuously


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evaluated to ensure all business operations are identified.

6.2.7 Centralized Record Keeping

To ensure Workplace Violence Prevention and Intervention reports are recorded and tracked.

There is no process to record workplace violence incidents.

The process to record workplace violence incidents is informal, on-going monitoring of incidents does not occur.

The process to record workplace violence incidents in formal, incidents are inconsistently monitored to identify high-risk areas, customers, clients, or patients who repeatedly demonstrate problematic behavior.

The process to record workplace violence incidents is formal, on-going monitoring is consistent to identify high-risk areas, customers, clients, or patients who repeatedly demonstrate problematic behavior.

The process records, tracks and monitors workplace violence incidents. High-risk areas, customers, clients or patients who repeatedly demonstrate problematic behavior are monitored real-time.

6.2.8 Additional Prevention and Intervention Strategies and Protocols

Ensures the inclusion of additional risk-based security, employment and management practices in the Workplace Violence Prevention and Intervention Program.

Risk based prevention and intervention strategies do not exist.

Risk based Risk based prevention and intervention strategies/controls are informal.

Risk based prevention and intervention strategies/controls are in place, but not consistently implemented.

Risk based prevention and intervention strategies/controls are established.

Risk based prevention and intervention strategies/controls are established and continuously evaluated and updated.


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7 Implementing the Program

7.1 Designate a Group to Design and Implement the Program

Workplace Violence Prevention and Intervention program Coordination.

Workplace Violence Prevention and Intervention program driven by the business and a formal program does not exist.

There are not representatives from the multi-disciplinary team to support the program.

It is recognized that business requirements must be incorporated into the Workplace Violence Prevention and Intervention program and that representatives from multi-disciplinary team are identified to support the program.

Workplace Violence Prevention and Intervention programs are driven by the business requirements, multi-disciplinary team representatives are being identified to support the design and implementation of the program.

Workplace Violence Prevention and Intervention programs are driven by business requirements through adherence to a formalized process; multi-disciplinary team representatives are on boarded and the program is designed and implemented.

Workplace Violence Prevention and Intervention programs are continuously evaluated to ensure alignments with the business requirements. The program is designed and implemented.

Workplace Violence Prevention and Intervention activities are coordinated by representatives from all parts of the organization with relevant roles and job functions.

7.2 Design the Program and Establish a Plan for Its Implementation

Workplace Violence Prevention and Intervention program considers Industry Standards & Best Practices, legal regulatory and contractual agreements.

Industry Standards & Best Practices, Legislative and/or regulatory, and contractual requirements have not been addressed.

Industry Standards & Best Practices, Legislative and/or regulatory, and contractual requirements have been identified.

There is a process in place for addressing Industry Standards & Best Practices, Legislative and/or regulatory, and contractual requirements, but is not practiced consistently.

The process for addressing applicable Industry Standards & Best Practices, Legislative and/or regulatory, and contractual requirements is practiced consistently.

Controls have been defined to avoid breaches of any law, statutory, regulatory or contractual obligations, and of any Workplace Violence Prevention and Intervention requirements.


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7.3 Establish Elements Essential to Incident Management

Establishment of TAT, Incident Management and training for the TAT as defined in 6.2.2, 6.2.3 & 6.2.4.

Essential elements for incident management have not been established.

Essential elements for incident management are informal.

Essential elements for incident management are in place, but not consistently implemented.

Essential elements for incident management are implemented.

Essential elements for incident management are implemented and continuously evaluated and updated.

7.4 Develop and Disseminate the Workplace Violence Prevention Policy

Workplace Violence Prevention and Intervention Policy is developed, reviewed and disseminated.

Workplace Violence Prevention and Intervention process are not disseminated nor implemented.

Workplace Violence Prevention and Intervention process dissemination and implementation has been initiated.

Workplace Violence Prevention and Intervention process are not consistently disseminated and implemented.

Workplace Violence Prevention and Intervention process are consistently disseminated and implemented.

Implementation of Workplace Violence Prevention and Intervention process are disseminated, implemented and continuously monitored for evolving business needs.

7.5 Conduct Training Throughout the Organization

Workplace Violence Prevention and Intervention awareness, training, and education.

Employees, contractors, and third parties to do not receive Workplace Violence Prevention and Intervention awareness, training, and education (updates in organizational policies and procedures) information.

All employees, contractors, and third parties receive Workplace Violence Prevention and Intervention awareness, training, and education information informally.

Employees, contractors, and third parties are not

All employees, contractors, and third parties receive Workplace Violence Prevention and Intervention awareness, training, and education information formally.

Employees, contractors, and third parties are held accountable for

All employees, contractors, and third parties receive Workplace Violence Prevention and Intervention awareness, training, and education information formally, there is a process that defines applicability for new hire, annual, and ongoing information.

All employees, contractors, and third parties receive Workplace Violence Prevention and Intervention awareness, training, and education information formally, there is a process that defines applicability for new hire, annual, and ongoing information.


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held accountable for completing assigned activities.

completing assigned activities.

The information is updated regularly and assigned based on job relevancy.

7.6 Implement Additional Prevention and Intervention Strategies and Protocols

Implementation of additional risk based security, employment and management practices in the Workplace Violence Prevention and Intervention Program. (As defined in 6.2.8)

Risk based prevention and intervention strategies have not been implemented.

Implementation of risk based risk based prevention and intervention strategies/controls are informal.

Risk based prevention and intervention strategies/controls are in place, but not consistently implemented.

Risk based prevention and intervention strategies/controls are implemented.

Risk based prevention and intervention strategies/controls are implemented and continuously evaluated and updated.

7.7 Monitor and Evaluate

To ensure the Workplace Violence Prevention and Intervention Program is periodically assesses the effectiveness of the program and revise policies, procedures and training as necessary.

Workplace Violence Prevention and Intervention Program is not monitored and evaluated.

Workplace Violence Prevention and Intervention Program monitoring and evaluation is informal or only occurs post incident.

Workplace Violence Prevention and Intervention Program monitoring and evaluation process is implemented.

Workplace Violence Prevention and Intervention Program monitoring and evaluation process is implemented. Program is continuously monitored and evaluated.

Workplace Violence Prevention and Intervention Program monitoring and evaluation process is implemented. Program is continuously monitored and evaluated and updated based on results.

8 Threat Response and Incident Management

8.1 Warning Signs and Their Significance to

Ensures the Workplace Violence Prevention and Intervention

There is no process to identify, report and assess violence warning signs.

Process to respond and assess workplace violence warning signs is informal.

Process to respond and assess workplace violence warning signs is documented,

There is a formal process to respond and assess workplace violence warning

There is a formal process to respond and assess workplace violence warning


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the Incident Management

Program utilizes qualified professionals conduct a formal violence risk assessment on reported violence warning signs.

but not consistently applied.

signs and it is consistently applied.

sings, it is consistently applied and evaluated for applicability and improvement.

8.2 Encouraging the Reporting of Problematic Behavior

Ensures the Workplace Violence Prevention and Intervention Program defines a process to report to report workplace violence concerns

A process for all employees, contractors, and third parties to report workplace violence concerns is not established.

A process for all employees, contractors, and third parties to report workplace violence concerns is informal.

A process for all employees, contractors, and third parties to report workplace violence concerns is formal, but not consistently practiced.

A process for all employees, contractors, and third parties to report workplace violence concerns is formal, and consistently practiced.

A process for all employees, contractors, and third parties to report workplace violence concerns is formal, and consistently practiced. Process is reevaluated for effectiveness and applicability.

8.3 Overview of the Incident Management Process

Ensures a Workplace Violence Prevention and Intervention Incident Management Process is established.

A workplace violence prevention and intervention incident management process does not exist.

A workplace violence prevention and intervention incident management process is not defined, however incident management activities take place informally.

A workplace violence prevention and intervention incident management process has been defined, but is not consistently followed.

A workplace violence prevention and intervention incident management process has been defined, and is consistently followed.

A workplace violence prevention and intervention incident management process has been defined, documented and is consistently followed. Process is reevaluated for


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effectiveness and applicability.

8.3.1 The Incident Management Process in Non-Urgent or Non-Emergency situations

To ensure a consistent approach is applied to the management of non-urgent or non-emergency situations.

The incident management process for non-urgent non-emergency situations does not exist.

The incident management process for non-urgent non-emergency situations is informal, not all incidents are investigated or reported.

The incident management process for non-urgent non-emergency situation is formal, incidents are investigated.

The incident management process for non-urgent non-emergency situations is formal, incidents and investigated and recommended response actions are provided.

A formal procedure for the investigation, violence risk screening, and response to workplace violence incidents is consistently applied. Process is evaluated for effectiveness and process improvement.

8.3.2 The Incident Management Process in Urgent and Emergency situations

To ensure a consistent approach is applied to the management of urgent or emergency situations.

The incident management process for urgent or emergency situations does not exist.

The incident management process for urgent or emergency situations is informal, not all incidents are investigated or reported.

The incident management process for urgent or emergency situation is formal, incidents are investigated.

The incident management process for urgent or emergency situations is formal, incidents and investigated and recommended response actions are provided.

A formal procedure for the investigation, violence risk screening, and response to workplace violence incidents is consistently applied. Process is evaluated for effectiveness and process improvement.

8.4 Initial Data Gathering and Violence Risk Screening by the

Ensures a Workplace Violence Prevention and Intervention Team has a process to conduct preliminary

A workplace violence prevention and intervention preliminary screening process does not exist.

A workplace violence prevention and intervention preliminary screening process is not defined, however

A workplace violence prevention and intervention preliminary screening process has been defined,




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Threat Management Team

screenings to determine general level of risk seemingly posed by the behavior or circumstances in question.

incident management activities take place informally.

but is not consistently followed.

and is consistently followed.

documented and is consistently followed. Process is reevaluated for effectiveness and applicability.

8.4.1 Objectives of the Initial data Gathering and Risk Screening

To ensure initial risk screening assists the TAT in determining urgency of a situation and appropriate actions to take.

A process to gather initial workplace violence incident information does not exists.

Process to gather initial workplace violence incident information are informal.

Process to gather initial workplace violence incident information is formal, but response to incident is not consistent.

Process to gather initial workplace violence incident information is formal, response to incident is consistent.

Process to gather initial workplace violence incident information is formal, response to incident is consistent. Risk screening procedures are reevaluated for effectiveness and applicability.

8.4.2 Information Relevant to Violence Risk Screening

To ensure violence risk screening is conducted by qualified team and gathers information regarding factors that establish risk of violence and information regarding factors that mitigate risk of violence.

Violence Risk screenings are not conducted.

Violence risk screening process is established, but not all incidents are screened by qualified personnel.

Violence risk screening process is defined and qualified personnel are engaged to conduct the screening.

Violence risk screening processes is defined, documented and implemented. Qualified personnel conduct screening.

Violence risk screening processes is defined, documented and implemented. Qualified personnel conduct screening. Risk screening procedures are reevaluated for effectiveness and applicability.


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8.4.3 Evaluating Information for the Initial Risk Screening

Process to conduct primary risk screening to determine urgency of situation.

The process to evaluate violence risk factors present does not exist.

The process to evaluate violence risk factors present is informal.

The process to evaluate violence risk factors present is formal, but no incidents are evaluated.

The process to evaluate violence risk factors present is formal, and all incidents are evaluated.

The process to evaluate violence risk factors present is formal, all incidents are evaluated and the evaluation of the incidents may indicate the need for additional information or protective factors to be in place. The process is reevaluated for effectiveness and applicability.

8.5 Early Actions by the Threat Management Team

A process exists for the TAT to ensure actions are taken based on the initial violence risk screening.

There is no process for the TAT.

The process for the TAT is informal.

The process for the TAT is defined, but approach is not consistent.

The process for the TAT is defined, documented and consistently applied.

The process for the TAT is defined, documented, consistently applied and reevaluated for effectiveness and applicability.

8.6 Threat Response Actions by the Threat Management Team

Ensures TAT has measures to monitor, manage, and mitigate violence risk.

There is no process to monitor, manage and mitigate violence risk.

The process to monitor, manage and mitigate violence risk is informal.

The process to monitor, manage and mitigate violence risk is defined, but not executed consistently.

The process to monitor, manage and mitigate violence risk is defined, documented and executed consistently.

The process to monitor, manage and mitigate violence risk is defined, documented, executed consistently and reevaluated for effectiveness and applicability.


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8.6.1 Actions Directly Involving the Person of Concern

Ensures a process exists for actions the TAT should consider during situations that directly involve a person of concern.

There is no response process for the TAT.

The process for managing situations directly involving the person of concern is informal.

The process for managing situations directly involving the person of concern defined, but not executed consistently.

The process for managing situations directly involving the person of concern defined and executed consistently.

The process for managing situations directly involving the person of concern defined, documented and executed consistently. Process is reevaluated for effectiveness and applicability.

8.6.1.1 Managing an Employee with known or Suspected Mental Disorder

Ensures a process exists for actions the TAT should consider during situations that involve an employee with a known or suspected mental disorder.

There is no response process for the TAT.

The process for managing situations with an employee with a known or suspected mental disorder is informal.

The process for managing situations with an employee with a known or suspected mental disorder is defined, but not executed consistently.

The process for managing situations with an employee with a known or suspected mental disorder is defined and executed consistently.

The process for with an employee with a known or suspected mental disorder is defined, documented and executed consistently. Process is reevaluated for effectiveness and applicability.

8.6.1.2 Ensuring a Safe Termination of Employment

A process to engage the TAT for a termination of an employee of concerns which ensures a thoughtful, respectful, and safe termination.

There is no process to engage that TAT in terminations of persons of concerns in workplace violence incidents.

The process to engage the TAT in terminations of persons of concerns in workplace violence incidents is informal.

The process to engage the TAT in terminations of persons of concerns in workplace violence incidents is defined, but not consistently applied.

The process to engage the TAT in terminations of persons of concerns in workplace violence incidents is defined, documented and consistently applied.

The process to engage the TAT in terminations of persons of concerns in workplace violence incidents is defined, documented and consistently applied.


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Process is reevaluated for effectiveness and applicability.

8.6.2 Action Involving the Potential Victim or Target

Ensures that the TAT considers appropriate actions to take/recommend with potential victims or targets of workplace violence. (Full use of the multidisciplinary approach –EAP, employment actions, communication protocol on threat, and safety planning)

There is no process on recommendations to provide potential victims or targets of workplace violence.

The process to provide recommendations to potential victims or targets of workplace violence is informal.

The process to provide recommendations to potential victims or targets of workplace violence is defined, but not consistently applied.

The process to provide recommendations to potential victims or targets of workplace violence is defined, documented and consistently applied.

The process to provide recommendations to potential victims or targets of workplace violence is defined, documented and consistently applied. Process is reevaluated for effectiveness and applicability.

8.6.3 Additional Actions Additional actions the TAT may consider during threat response may include: reporting criminal activity to law enforcement, adopting specific security measures, development of strategies to address fear & disruption in the

A workplace violence prevention and intervention preliminary screening process does not exist.

A workplace violence prevention and intervention preliminary screening process is not defined, however incident management activities take place informally.

A workplace violence prevention and intervention preliminary screening process has been defined, but is not consistently followed.

A workplace violence prevention and intervention preliminary screening process has been defined, and is consistently followed.

A workplace violence prevention and intervention preliminary screening process has been defined, documented and is consistently followed. Process is reevaluated for effectiveness and applicability.


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workplace and actions to take when person of concerns continues employment

8.7 The Importance of Setting Appropriate Limits to Internal Violence Risk Assessment

Engagement of external subject matter experts to enhance the quality of incident management, mitigate organization’s liability.

Organization does not engage external subject matter experts.

Engagement of external subject matter experts is informal.

Engagement of external subject matter experts is formal, but only for the purpose of violence risk assessment.

Engagement of external subject matter experts is defined, documented and for the purpose of program management and violence risk assessment.

Engagement of external subject matter experts is defined, documented and for the purpose of program management and violence risk assessment. Engagement is reevaluated for effectiveness and applicability.

8.8 The Importance of Legal Oversight

Ensures in house or external counsel are included in the TAT and support the incident management process. *Legal counsel with employment law and relevant experience in managing workplace violence incident.

Legal is not represented on the TAT.

Engagement of Legal during the incident management process is informal.

Engagement of Legal during the incident management process is defined, but partners are not consistently engaged.

Engagement of Legal during the incident management process is defined, documented and partners are consistently engaged.

Engagement of Legal during the incident management process is defined, documented and partners are consistently engaged. Engagement is reevaluated for effectiveness and applicability.


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8.9 After An Incident has Been Resolved

Post incident actions should include: 1) Documentation of incident; 2) Process regarding continued employment of person of concern; 3) Formal review of the incident to evaluate effectiveness of polices or procedures.

Workplace Violence Prevention and Intervention Program does not include actions to take post incident.

Workplace Violence Prevention and Intervention Program post incident process is informal.

Workplace Violence Prevention and Intervention Program post incident process is defined, but not consistently executed.

Workplace Violence Prevention and Intervention Program post incident process is defined, documented and consistently executed.

Workplace Violence Prevention and Intervention Program post incident process is defined, documented and consistently executed. Engagement is reevaluated for effectiveness and applicability.

8.10 Responding to a Violent Workplace Incident

Ensures the Workplace Violence Prevention and Intervention Program includes protocols to address injuries or death.

Workplace Violence Prevention and Intervention Program does not include threat management protocols regarding injuries or death.

Workplace Violence Prevention and Intervention Program threat management protocol regarding injuries or death is informal.

Workplace Violence Prevention and Intervention Program threat management protocol regarding injuries or death is defined, but not consistently executed/ implemented.

Workplace Violence Prevention and Intervention Program threat management protocol regarding injuries or death is defined, documented, and consistently executed/ implemented.

Workplace Violence Prevention and Intervention Program threat management protocol regarding injuries or death is defined, documented, and consistently executed/ implemented. Protocol is reevaluated for effectiveness and applicability.


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8.10.1 General Considerations in Pre-Planning

Workplace Violence Prevention and Intervention Program includes pre-planning, training and table-top exercises to ensure effective response to violence incident.

No pre-planning, training and table-top exercises are performed.

Pre-planning, training and table-top exercises are performed informally.

Pre-planning, training, and table-top exercise are defined and performed, but either on an inconstant basis or follow-up of high risk items is not done.

Pre-planning, training, and table-top exercise are defined and performed consistently and follow-up of high risk items is conducted.

Pre-planning, training, and table-top exercise are defined and performed consistently, follow-up of high risk items is conducted and the process is updated based on new requirements or risks.

8.10.2 Public Emergency Numbers (9-1-1)

Ensures the Workplace Violence Prevention and Intervention Program provides direction on when to engage emergency responders and actions to consider as mobilizing emergency responders takes time.

There is no direction provided regarding the engagement and actions to consider when violence erupts and emergency responders are needed.

Engagement and actions to consider when violence erupts and emergency responders are needed is intuitive. Emergency response procedures are followed but may not be specific to workplace violence.

Engagement and actions to consider when violence erupts and emergency responders are needed is defined, but not consistently practiced.

Engagement and actions to consider when violence erupts and emergency responders are needed is defined and consistently practiced.

Engagement and actions to consider when violence erupts and emergency responders are needed is defined, documented and consistently practiced. Engagement and consideration criteria is periodically reviewed for effectiveness and applicability.

8.10.3 Immediate Response Imperatives

Ensures the Workplace Violence Prevention and Intervention Program includes the following: 1)

Workplace Violence Prevention and Intervention Program immediate response protocols do not exist.

Workplace Violence Prevention and Intervention Program immediate response protocols are informal.

Workplace Violence Prevention and Intervention Program immediate response protocols are defined

Workplace Violence Prevention and Intervention Program immediate response protocols are

Workplace Violence Prevention and Intervention Program immediate response protocols are


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danger avoidance by moving to safer location; 2) Report incident to emergency responders; 3) Provide emergency responders with building floor plans & access; 4) Deny attacker additional access to victims, through notification, and security controls; 5) Defend with lawful use of force; 6) Provide first aid; 7) Protect & preserve area/evidence; 8) Comply with public responders; 9) Account for all personnel; and 10) Use of intercom as warning system.

but not consistently implemented.

defined, documented and implemented.

defined, documented and implemented. Protocol is reevaluated for effectiveness and applicability

9 The Role of Law Enforcement

9.1 The Question of Law Enforcement Intervention

Ensures the TAT considers the potential risks and benefits of requesting law

Workplace Violence Prevention and Intervention Incident Management process do not exist.

Workplace Violence Prevention and Intervention Incident Management process does not

Workplace Violence Prevention and Intervention Incident Management process has a defined




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enforcement intervention in a situation that does not rise to the level of a criminal act.

define a process to request law enforcement intervention in situations that are not a criminal act.

process to request law enforcement intervention in situations that are not a criminal act.

and documented process to request law enforcement intervention in situations that are not a criminal act.

and documented process to request law enforcement intervention in situations that are not a criminal act. Process is reevaluated for effectiveness and applicability

10 Integrating the Issue of Intimate Partner Violence into the Workplace Violence Prevention Strategies

10.1 Include Intimate Partner Violence in the Policy Statement

Ensures the Workplace Violence Prevention and Intervention Policy addresses intimate partner violence.

Workplace Violence Prevention and Intervention Policy does not address intimate partner violence.

Workplace Violence Prevention and Intervention Policy addresses intimate partner violence, but does not define the behaviors associated with intimate partner violence.

Workplace Violence Prevention and Intervention Policy addresses and defines behaviors associated with intimate partner violence but does not encourage or require employees to report restraining or stay-way order covering the workplace.

Workplace Violence Prevention and Intervention Policy addresses and defines behaviors associated with intimate partner violence and encourages or requires employees to report restraining or stay-way order covering the workplace.

Workplace Violence Prevention and Intervention Policy addresses and defines behaviors associated with intimate partner violence and encourages or requires employees to report restraining or stay-way order covering the workplace. The Policy is reevaluated on a regular basis.

10.2 Implement Prevention

Ensures the Workplace Violence

Workplace Violence Prevention and






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Strategies Specific to Intimate Partner Violence

Prevention and Intervention Program includes prevention strategies specific to intimate partner violence. (Training, minimally train the TAT)

Intervention Program does not include prevention strategies specific to intimate partner violence.

Intervention Program includes intimate partner violence prevention strategies, but training exists for the TAT and is informal.

Intervention Program includes intimate partner violence prevention strategies, training is offered to the TAT, but it is not required.

Intervention Program includes intimate partner violence prevention strategies, training is required for the TAT and all employees.

Intervention Program includes intimate partner violence prevention strategies, training is required for the TAT and all employees. Training is reevaluated for effectiveness and applicability.

10.3 Identifying Potential Violence Stemming from an Abusive Relationship

Ensures that the Workplace Violence Prevention and Intervention Program training identifies common warning signs of intimate partner violence.

Workplace Violence Prevention and Intervention Program training does not exist.

Workplace Violence Prevention and Intervention Program training includes common warning signs of intimate partner violence but training is informal.

Workplace Violence Prevention and Intervention Program training includes common warning signs of intimate partner violence but training is only provided to the TAT.

Prevention and Intervention Program training includes common warning signs of intimate partner violence training is required for the TAT and all employees.

Prevention and Intervention Program training includes common warning signs of intimate partner violence training is required for the TAT and all employees. Training is reevaluated for effectiveness and applicability.

10.4 Assessing the Risk: Questions Specific to Intimate Partner Violence

Ensures the Workplace Violence Intervention and Prevention Incident Management protocols include steps to determine whether intimate

Workplace Violence Intervention and Prevention Incident Management protocols for intimate partner violence do not exist.

Workplace Violence Intervention and Prevention Incident Management for intimate partner violence protocols are informal.

Workplace Violence Intervention and Prevention Incident Management protocols are defined and include steps to determine whether intimate partner

Workplace Violence Intervention and Prevention Incident Management protocols are defined, documented and include steps to determine whether

Workplace Violence Intervention and Prevention Incident Management protocols are defined, documented and include steps to determine whether


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partner violence poses a risk to the workplace.

violence poses a risk to the workplace.

intimate partner violence poses a risk to the workplace.

intimate partner violence poses a risk to the workplace. Protocols are reevaluated for effectiveness and applicability

10.5 Legal Issues Specific to Intimate Partner Violence

Ensures the Workplace Violence Intervention and Prevention Incident Management protocols for intimate partner violence comply with: 1) FMLA; 2) State and local laws; 3) ADA

Workplace Violence Intervention and Prevention Incident Management protocols for intimate partner violence do not exist.

Workplace Violence Intervention and Prevention Incident Management protocols for intimate partner violence are informal.

Workplace Violence Intervention and Prevention Incident Management protocols for intimate partner violence are defined and cover legal/regulatory compliance.

Workplace Violence Intervention and Prevention Incident Management protocols for intimate partner violence are defined, documented and cover legal/regulatory compliance.

Workplace Violence Intervention and Prevention Incident Management protocols for intimate partner violence are defined, documented and cover legal/regulatory compliance. Protocols are updated in alignment with legal/regulatory changes.

10.6 Safety and Security Measures

Ensures the Workplace Violence Prevention and Intervention Program includes specific safety measure for intimate partner violence.

Workplace Violence Intervention and Prevention Program does not include intimate partner violence safety and secure measures.

Workplace Violence Intervention and Prevention Program intimate partner safety and security measures are informal.

Workplace Violence Intervention and Prevention Program intimate partner safety and security measures are defined but not consistently implemented.

Workplace Violence Intervention and Prevention Program intimate partner safety and security measures are defined, documented and consistently implemented.

Workplace Violence Intervention and Prevention Program intimate partner safety and security measures are defined, documented and consistently implemented.


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Safety and security measures are reevaluated for effectiveness and applicability.

10.7 Maintaining Proper Limits to Organizational Involvement

Workplace Violence Prevention and Intervention Program has clear roles and threat management protocols in place to appropriately manage intimate partner violence incidents.

Workplace Violence Prevention and Intervention Program does not include clear roles and threat management protocols in regards to intimate partner violence.

Workplace Violence Prevention and Intervention Program roles and threat management protocols in regards to intimate partner violence is informal.

Workplace Violence Prevention and Intervention Program roles and threat management protocols in regards to intimate partner violence is defined, but not consistently monitored.

Workplace Violence Prevention and Intervention Program roles and threat management protocols in regards to intimate partner violence is defined, documented and consistently monitored.

Workplace Violence Prevention and Intervention Program roles and threat management protocols in regards to intimate partner violence is defined, documented and consistently monitored. Protocols are reevaluated for effectiveness and applicability.

10.8 When Employees Are Abusers

Ensures Workplace Violence Prevention and Intervention Program addresses employees who perpetrate or threaten violence against their partners.

Workplace Violence Prevention and Intervention Program does not address employees who perpetrate or threaten violence against their partners.

Workplace Violence Prevention and Intervention Program informally addresses employees who perpetrate or threaten violence against their partners.

Workplace Violence Prevention and Intervention Program addresses employees who perpetrate or threaten violence against their partners but actions taken are not consistent.

Workplace Violence Prevention and Intervention Program addresses employees who perpetrate or threaten violence against their partners and actions taken are consistent.

Workplace Violence Prevention and Intervention Program addresses employees who perpetrate or threaten violence against their partners and actions taken are consistent. Actions are monitored and reevaluated.


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10.9 Documentation Specific to Intimate Partner Violence

Ensures the Workplace Violence Prevention and Intervention Program documents all information regarding intimate partner violence gathered during Incident Management, during on-going monitoring and all restraining/protective or judicial orders relevant to the incident.

Workplace Violence Prevention and Intervention Program does not document incidents of intimate partner violence.

Workplace Violence Prevention and Intervention Program documentation of intimate partner violence is informal.

Workplace Violence Prevention and Intervention Program documentation of intimate partner violence is defined but not consistently done.

Workplace Violence Prevention and Intervention Program documentation of intimate partner violence is defined, documented and consistently done.

Workplace Violence Prevention and Intervention Program documentation of intimate partner violence is defined, documented and consistently done. Incidents are managed and monitored on a real time basis.

11 Post-Incident Management

11.1 General Elements of Post-Incident Recovery Plan

Workplace Violence Prevention and Intervention program post-incident management plan includes pre-defined elements – protocols for priority responses; crisis containment; Continued

Workplace Violence Prevention and Intervention post-incident recovery plan is not established nor implemented.

Workplace Violence Prevention and Intervention post-incident recovery plan recognizes the defined elements that should be in the plan but the plan is not comprehensive.

Workplace Violence Prevention and Intervention post-incident recovery plan recognizes defined elements and includes a majority of the elements.

Workplace Violence Prevention and Intervention post-incident recovery plan recognizes and includes applicable defined elements.

Workplace Violence Prevention and Intervention post-incident recovery plan recognizes, includes and updates the pre-defined elements on a regular cadence applicable defined elements.


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assessment of threats; coordination with the TAT; notifications; ongoing communication ; mobilization of resources; crisis mental health response; law enforcement involvement; legal oversight; family representative program; protection of core assets; and business operations.

11.2 Post-Incident Management

Workplace Violence Prevention and Intervention program post-incident management plan includes pre-determined steps: Damage & impact assessment; Development and implementation of communications plan; Efforts to restore and

Workplace Violence Prevention and Intervention post-incident recovery plan is not established nor implemented.

Workplace Violence Prevention and Intervention post-incident recovery plan recognizes the pre-determined steps that should be in the plan but the plan is not comprehensive.

Workplace Violence Prevention and Intervention post-incident recovery plan recognizes the predetermined steps and includes a majority of the elements.

Workplace Violence Prevention and Intervention post-incident recovery the predetermined steps and includes applicable defined elements.

Workplace Violence Prevention and Intervention post-incident recovery plan recognizes, includes the predetermined and updates on a regular cadence applicable defined elements.


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recovery business processes; Addresses the emotional needs to employees; and on-going monitoring of the well-being of all personnel affected by the incident.

Documents

ASIS SHRM Maturity Assessment