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9.9 The Advance

may be eavesdropping, discreet or coded language should be used to describe who is
traveling and what route is being taken. The EP specialist should also search the car
thoroughly anytime it has been out of sight and unguarded. Because a thorough search is
time-consuming, the car should be kept in a locked, alarmed garage whenever possible.
Once the car has been searched, it only stays “sterile” if it is locked away or kept under
surveillance.

Finally, regarding the route, the driver should rely on advance work to ensure that the route
selected is fast, does not pass through dangerous areas, and requires a minimum of stopping.
The driver also needs to know several alternate routes, identify safe havens for stops along the
way, and find the location of hospitals, police stations, and other potentially vital resources
along the route. The driver should also investigate such factors as the time it takes to reach
various stages along the route, the likely level of traffic, road conditions, construction work or
detours, drawbridge openings, and other temporary conditions that could affect the trip. The
advance should be performed at the same time of the day the executive will be traveling so the
EP specialist can ascertain the traffic flow. An additional precaution would be to drive the
advance route in a different vehicle than the one in which the principal will be transported.

Long-Distance Travel

Out-of-town travel can present many risks to an executive. Some of those risks have to do
with the unfamiliarity of the place visited, while others have to do with making scheduled,
public appearances before potentially hostile audiences. Trips within the executive’s home
country present one level of risk; trips to other countries can be even more risky if the
destination is unfamiliar or especially dangerous.

In general, before taking the executive on a trip to another country, the EPS should complete
both research from home and advance travel. In the pre-travel research, the EP specialist
should first determine whether the trip is truly necessary. If the answer is “yes,” the EPS
should pursue the following “know before you go” steps:

x Conduct Internet research on current facts about the destination.
x Obtain a professional country briefing to learn the history and current affairs of the

country, including attitudes held there about the executive’s home country. Such
information is available from numerous governmental and commercial sources.
x Become familiar with the country’s climate, health conditions, time zone or zones, and
currency rates.
x Learn the key points of local social customs.
x Clarify why the principal is going on the trip, how he or she wishes to travel, and who
will attend scheduled meetings.

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9.9 The Advance

Also, before the executive actually embarks on the trip, the EPS should take the following
steps:

x Conduct an advance mission to the proposed destination.

x Touch base with local security or law enforcement contacts and the local embassy or
consulate of the executive’s home country.

x Perform a risk assessment for the destination.

x Make reservations strategically, by choosing the safest lodgings and modes of
transportation, and discreetly, by not advertising to potential adversaries that the
executive will be traveling.

x Arrange appropriate travel documents such as visas, passports, and itineraries.

x Rehearse, mentally if not physically, security measures for travel by all modes that
could be used, including commercial and private planes, autos, boats, ships, and
trains.

x Review personal security tips with the executive.

x Examine health aspects of the trip. Pack appropriate health-related items and informa-
tion, and develop or refresh the plan that will be followed in health emergencies. Line
up all necessary emergency assistance, such as hospitals, trauma centers, medical
transportation, and suitable doctors.

When the trip actually takes place, the EPS should remember a three-part key security
concept: keep a low profile, stay away from problem areas and situations, and know what to
do if trouble arises. As was recommended for local travel, the EP specialist should also
communicate frequently with the security home base.

Avoid western gathering places. If you are traveling to a region designated as high risk by the
U.S. Department of State, there are additional measures that should be considered. Often,
terrorists will seek to identify and attack a location that will be certain to have a high
concentration of Americans or other westerners present at a specific time. For example, a
horrific practice, which has long been used by terror groups, is to target religious services at
houses of worship frequented by westerners. The reason is obvious. A Christian church
serving the international community will provide them a target, which is certain to be filled
every Sunday morning at 9:00 a.m. This presents a tough choice for an individual to whom
church service is an important part of life. The same is true for nightclubs and other locations
catering to Americans and western Europeans. If the State Department suggests avoiding
such places in a country to which the principal is traveling to, it is best to heed the warning.

Wherever the principal travels, it is always a good practice to immediately identify all
emergency exits and make sure they are functional. Many foreign countries do not have fire

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9.10 Working the Principle

codes that mandate identifiable emergency exits in all public establishments. It is vital for the
EP specialist to know how to get out of any place he might take the principal into.

For some executives, the risk level warrants the use of private aircraft whenever possible.
Commercial air travel presents risks both on the ground and in the air. On the ground, at
large, busy airports, inconvenient delays can occur during pickup and drop-off; the executive
may be recognized and bothered by other travelers; airport lobbies (on the unsecured side)
are notorious terrorist targets; and busy security checkpoints can create opportunities for
losing personal property, missing flights, and enduring embarrassing searches.

By traveling in a private aircraft, the executive can avoid bothersome people and receive
individualized customer service. Further, the small lobbies used by general aviation fixed-
base operators (FBOs) are not prime targets for terrorists who wish to draw attention to their
cause. EP specialists can exert much more control over the security conditions of a general
aviation FBO and private aircraft than they can over large, bustling airports serving major
airlines.

A popular option for private travel is fractional aircraft ownership through an aircraft
management company. The principal’s corporation might, for example, purchase a one-
quarter share of a certain type and size of aircraft.

Flying via general aviation using private aircraft at terminals or airports that are separate
from those used by major air carriers reduces the likelihood of being in the wrong place at
the wrong time—that is, of happening to be at a major public airport during a significant
attack. Also, general aviation airports in the United States must abide by the detailed security
guidelines established by the Transportation Security Administration of the U.S. Department
of Homeland Security (Security Guidelines for General Aviation Airports, 2004).

Once a commercial aircraft takes off, the executive cannot know whether a dangerous person
is on board. By contrast, in private aviation, every passenger will probably be known to the
executive or someone else on the aircraft.

9.10 WORKING THE PRINCIPAL

The choreography used by the EP specialist to physically move about with the subject is
called “working the principal.” A combination of the risk level and the personal preferences
of the executive will determine the extent to which an EP specialist must personally
accompany the principal. The CSO, EP manager, or EP specialist should discuss this issue
with the executive. It may be that the risk level is high and the principal is willing to be
accompanied by an EP specialist at all times. Alternatively, despite the high risk, the principal

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9.10 Working the Principal

may be unwilling to be accompanied by an EP specialist and may only tolerate using the EPS
as a driver. A lower risk level might suggest that the specialist only needs to be with the
executive when he or she is outside the home or leaves the office. There are many points on
that continuum of protection, and the issue can only be worked out through discussions
between the security staff and the principal.

If the CSO, EP manager, or EP specialist believes the risk level warrants close-in, personal
protection, the executive should understand that a trained EP specialist can blend into
professional settings and not look like a “bodyguard.” Some EP specialists now use the title
“assistant to the CEO” to blend in, standing off to the side of a meeting or social gathering
while performing their countersurveillance tactics.

The relationship between the EP specialist and the executive is an extremely important
component of executive protection. In some ways, the relationship calls for an odd
juxtaposition of roles. The executive is clearly the boss, yet the EP specialist must be able to
give orders in times of danger and advice at regular intervals. In executive protection, a
professional but not too personal relationship enables both the protector and the principal
to perform their jobs freely.

An interesting rule of thumb, from the perspective of the executive, comes from a former
high-ranking U.S. government official who is now receiving private protection. He tells his
protective detail, “Stand close enough to protect me, but not so close that I have to introduce
you.”

When working a principal, an EPS will find that conditions change. The EPS may safely bring
the executive to a destination, such as a conference at which he or she is speaking, but the
job does not end there. Once inside the meeting hall, for example, the EPS should start
scanning and calculating—that is, scanning the surroundings for items, people, or
arrangements that appear potentially threatening or seem somehow out of place, and
calculating possible reactions should trouble arise. This is the time for the EPS to take
notice—especially of people’s hands, of objects they may be carrying, or of visible signs of
nervousness—and to constantly ask, “What if?”

If the EPS conducted an advance visit to the site, he or she should try to discern what may
have changed since that visit. Is the layout different? Are entrances and exits temporarily
blocked? Are different people at key locations? What about that fidgety, inappropriately
dressed man in the front row? Who are those people in the back with signs, pushing their way
through the crowd?

Should an attack occur, all of the EP specialist’s instincts, training, and conditioning come
together. When an attacker pulls a knife, fires a shot, rams the executive’s car with his own,

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9.10 Working the Principal

lunges at the executive, or makes some other clearly dangerous, aggressive move, the
specialist cannot stop and ponder how to react. The whole sequence, from the EPS’s first
sighting of the threat to the evacuation of the executive, might take as little as four seconds.

A good example of how fast an attack can happen and how fast the correct response must
take place is the March 30, 1981, assassination attempt against U.S. President Ronald Reagan
outside the Washington Hilton. The perpetrator, John Hinckley, fired six rounds into the
gathered crowd in less than three seconds. On hearing the shots, Secret Service Agent Jerry
Parr reacted instinctively and pushed the President into a waiting limousine, which rushed to
The George Washington University Hospital.

Many responses happened at once, which makes this case an interesting example of profes-
sional executive protection. In a matter of seconds, some members of the protective detail
shielded the President with their own bodies, others pushed him into the car, and the driver
knew where to take the wounded President. Still others surrounded and piled on top of the
assailant, who was arrested by police on the spot.

The Hinckley episode also illustrates a widely accepted chain of action that must occur
during an incident. The following list defines the four steps in the chain:

x Arm’s reach. If the attacker is within an arm’s reach of the EPS, the EPS should move to
immobilize him. If the attacker is beyond an arm’s reach, the EPS should move to cover
the executive.

x Sound off. The specialist shouts the type of weapon displayed and the direction, in
relation to the principal, from which it is coming. By shouting “Gun!” or “Gun to the
right!” the specialist alerts other EP specialists who may be present to spring into action
and attempts to involve other people in the resolving the situation.

x Cover. This term means far more than simply finding cover or a safe place to which the
agent and principal can flee. Its primary meaning is to call on the EPS to cover the
executive’s body with his or her own.

x Evacuate. The overriding need to get the executive out of danger underscores the
difference between the missions of executive protection specialists and of the police or
the military. The EPS mission—avoiding opponents rather than pursuing them—
cannot be overemphasized. Stopping to fight an adversary when it would be quicker to
dash out a side door raises, not lowers, the odds that the executive will be injured. The
protective detail should concentrate on shielding and removing the principal, leaving
apprehension of the attacker to the police.

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9.11 Protection Resources

9.11 PROTECTION RESOURCES

A key phrase to remember in executive protection is “use your resources.” EP is a complicated
task, and the wise EPS makes use of all the resources at his or her disposal. The following are
several of the most important:

x Law enforcement contacts. Law enforcement contacts can provide intelligence and
specialized assistance such as off-duty staffing, if permitted. These contacts work best
when they are developed over time or at least during the advance visit.

x News and briefings. The EP specialist should periodically conduct Internet or other
research to discover and track information on the principal as well as on individuals,
organizations, and conditions that might pose a threat to the principal.

x Networking. By developing a network of colleagues from EP training or protective
assignments, the EP specialist will have a ready resource from which to extract answers
to such questions as which hotels in a given city are safe and convenient, which
airports have become impractical to use, which companies are good suppliers of
protection support personnel, which types of automobiles are especially useful in
protective operations, and which security driving services are the most reliable.

9.12 FUTURE OF EXECUTIVE PROTECTION

Though prediction is an inexact art, the risk level faced by corporate executives seems
unlikely to decline substantially anytime in the near future. Somewhat more predictable is
the march of technological progress and information exchange. The following developments
will most likely affect the future of executive protection:

x Technological miniaturization and combination. Now that mobile phones can take
digital photographs and video, EP specialists can capture images while conducting
advance visits and send the photos or video back to a security headquarters. Similarly,
as GPS devices are miniaturized to the point where they can be concealed in
wristwatches and belts, they can be used to track a principal if he or she is missing.

x Up-to-date travel information. Many companies provide around-the-clock intel-
ligence regarding travel destinations. They can even send immediate updates by
mobile phone to keep an EPS posted on such general information as travel delays or
weather problems, or specific details on a company’s striking employees or a city’s
political demonstration.

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9.12 Future of Executive Protection

x Information Sharing and Analysis Centers (ISACs). ISACs in several industrial sectors
(such as chemical or financial services) share threat information and solutions with
each other and with the U.S. government. They are a potentially powerful source of
information for EP specialists.

x Improved training equipment. The newest firearms training simulators enable EP spe-
cialists to engage in realistic practice and problem solving.

x Protected vehicles. Protected cars, now being built by auto manufacturers, look
identical to ordinary cars and, therefore, do not draw attention to themselves or their
occupants.

x Body armor. The newest body armor is lightweight and can be worn comfortably and
unobtrusively if the need arises. However, it is not generally available to individuals in
the private sector.

In today’s corporate environment, executive protection, formerly an exotic service, has
become a mainstream security function. Many corporations have taken the initiative to
conduct risk assessments of their top executives, especially executives who are recognizable
representatives of the organization, travel extensively, or are exposed to other hazards.
If the risk level justifies protection, corporations choose from a continuum of service levels,
ranging from upgraded physical security measures at home and at work to full-time, in-
person protection by EP specialists. The corporation, the executive, and the EP specialist
cooperate to strike the right balance between convenience and security. Fortunately, when
EP is delivered skillfully, many executives find such protection to be both convenient and
comforting. The service adds valuable time to the executive’s day and relieves the executive
from having to focus on personal security concerns.
As with other fields in corporate security, a company’s investment in executive protection
pays dividends by protecting a key corporate asset: the executive’s life and well-being.

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References

REFERENCES

Fein, Robert A., & Vossekuil, Bryan. (2000). Protective intelligence & threat assessment investigation:
A guide for state and local law enforcement officials. (Presents findings of the U.S. Secret Service
Exceptional Case Study Project.) Washington, DC: National Institute of Justice, U.S. Department
of Justice.

Encyclopædia Britannica [Online]. (2004.) Praetorian guard. Available: http://www.britannica.
com/eb/article?tocId 9061166 [2004, November 30].

Encyclopædia Britannica [Online]. 2004. Yeomen of the guard. Available: http://www.britannica.
com/eb/article?tocId 9077938 [2004, November 30].

Fox News [Online]. 2004. $5M kidnap thwarted by a pizza. Available: http://www.foxnews.com
[2003, January 14].

Glazebrook, Jerry, & Nicholson, Nick. (2003). Executive Protection Specialist Handbook (2nd ed.).
Shawnee Mission, KS: Varro Press.

Law firm dissolving after mass murder. (1995, March 7). Chicago Tribune.

Oatman, CPP, Robert L. (1997). The art of executive protection. Baltimore, MD: Noble House.

Oatman, CPP, Robert L. (2002, June). Airing on the side of safety. Security Management [Online].
Available: http://www.securitymanagement.com [2004, June 4].

Oatman, CPP, Robert L. (2003, June). Protecting Spirited Leaders. Security Management [Online].
Available: http://www.securitymanagement.com [2004, June 4].

Revenge motive seen in Exxon kidnapping. (1992, July 12). Chicago Tribune.

San Francisco carnage: Gunman kills 8, self. (1993, July 2). Chicago Tribune.

San Francisco gunman’s rage is revealed in four-page letter. (1993, July 4). Chicago Tribune.

Scarponi, Diane. (2004). Man gets jail for snatching executive [Online]. Associated Press. Available:
http://www.detnews.com [2004, September 2].

Scotti, Anthony (1995). Driving techniques. Ridgefield, NJ: Photo Graphics Publishing.

Security guidelines for general aviation airports. (2004). Transportation Security Administration,
Information Publication A-001, May 2004, Version 1.0.

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References

Shackley, Theodore G. (2003). Still the target: Coping with terror and crime. Baltimore, MD: Noble
House.

United States Secret Service [Online]. (2004.) Secret Service history—Timeline. Available: http://
www.ustreas.gov/usss/history.shtml [2004, September 2].

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CHAPTER 10

SECURITY AWARENESS

Security awareness means consciousness of an existing security program, its relevance, and the
effect of one’s behavior on reducing security risks. Security awareness is a continuing attitude that
can move individuals to take specific actions in support of enterprise security. While education
imparts general knowledge and training develops specific skills, security awareness efforts solicit
conscious attention. Employees and nonemployees who have been informed by security
awareness programs can act as a force multiplier for the security program. Security awareness is
vital because “the security of an organization rests squarely on the practices of employees” (Fay,
2006, p. 377).

10.1 LEVELS OF AWARENESS

Different levels of security awareness are appropriate for different categories of employees
and visitors.

10.1.1 EXECUTIVE MANAGEMENT

Chief executives, chief operating officers, and other senior personnel must be aware of the
security program because they are an enterprise’s top decision makers regarding risk and
resources. If they perceive the security program as an expense with no compensating return,
they may reduce or eliminate program funding.

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10.1 Levels of Awareness

If the program is in fact valuable, security awareness efforts should focus on conveying the
following points:

x the program’s benefits
x the reasonableness of the program’s expenses compared to those benefits

For executive management, security awareness means awareness of the security program’s
financial contribution to the bottom line.

10.1.2 MIDDLE MANAGEMENT

Middle managers tend to be held accountable for the success of their individual
departments, so they view the security program in terms of its contribution toward that goal.
If a manager thinks the security program does not support the business goals or program
initiatives of the business unit, he or she may not support the program. The result may be
dislocations and strains that cause failures elsewhere in the enterprise.

For example, if the manager of a sensitive research laboratory believes the security require-
ments are unnecessary, he or she may disregard them and permit a general exchange of
information. In time, the widespread internal disclosure of sensitive data may result in an
unauthorized disclosure and the loss of a competitive advantage. The mere prospect of this
loss should encourage the lab manager to support security, as long as its requirements do
not impair research efforts.

10.1.3 FIRST-LINE SUPERVISION

First-line supervisors are typically concerned with specific processes or activities. For these
employees, security awareness focuses on how the security program aids or detracts from
specific performance objectives. For example, the head teller in a retail bank might be hostile
to a security practice involving bait money at teller positions because of the extended
counting time required at the close of the banking day. In addition, most complaints from
other employees about security are first raised with the supervisor. If many complaints are
lodged, the supervisor may view security as consuming an inordinate amount of his or her
time. Thus, security awareness efforts should show supervisors that the time and attention
required to comply with security rules are worthwhile in terms of supporting the supervisor’s
main tasks and protecting the employees and the business.

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10.1.4 INDIVIDUAL EMPLOYEES

Most modern management approaches to employee motivation assume that the employee is
willing and interested, and that while information and instruction are needed, coercion and
pressure are not. In many enterprises, the only formal exposure an employee gets to the
security program may be a brief reference to it on the first day of work. Such slight emphasis
on security awareness sends the message that the enterprise does not consider security to be
important.

If supervisors and managers are interested in and supportive of security, employees may gain
a favorable view of the program and support it by observing its rules. By contrast, if
supervisors and managers disapprove of the security program or show no interest in it,
employees may feel little motivation to support it.

10.1.5 NONEMPLOYEES

People who are not employees of the organization may also be affected by the security
program. They include vendors and suppliers, customers, service personnel, representatives
of government, and members of the public. Most of them have less opportunity than
employees to learn the applicable security requirements, but nevertheless it may be
important that they learn those requirements. For example, if a supplier will be given access
to sensitive proprietary information, he or she should be made aware of security procedures
that protect and account for such information.

Nonemployees may be more willing to comply with security procedures if they are given at
least a brief explanation of the reasons for the procedures. For example, a visitor may not
automatically perceive the wearing of a guest badge as useful or necessary. However, the
visitor may view the matter differently after a brief explanation that the badge permits
immediate recognition by and assistance from employees. In some cases, security awareness
must be supported formally with a confidentiality agreement.

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10.2 Purposes of Security Awareness

10.2 PURPOSES OF SECURITY AWARENESS

Security awareness supports many important goals. Those who receive security awareness
instruction are better able to do the following:

x Protect company assets. First and foremost, the purpose of the security awareness
program is to educate employees on how to help protect company assets and reduce
losses. Everything else flows from this prime responsibility.

x Understand the relationship between security and successful operations. This purpose
is the prime one for awareness efforts directed toward executive management. Assets
protection professionals should devote the necessary time and talent to demonstrate
the program’s value and cost-effectiveness.

x Identify their obligations under the security program. It is important to identify
security obligations for all employees and nonemployees and to present those
obligations as reasonable and necessary. Employee orientation and periodic refreshers
can be used to teach people precisely which security requirements apply to them.

x Recognize the connection between security program objectives and selected security
measures. This purpose is important to middle management. Unit and department
heads must recognize (and, preferably, agree) that security measures are appropriate
and necessary.

x Be familiar with sources of help for carrying out security responsibilities. Security
awareness materials should address the specifics of implementing security
requirements. For example, if a security rule states that particular spaces or containers
must be locked, affected employees need to know how to obtain a lock and key. If
persons with legitimate questions or problems do not know where to go for assistance,
they might either (1) not consult anyone and simply improvise an answer or (2) consult
the wrong person and be needlessly delayed.

x Comply with statutory or common-law requirements for notice. This purpose applies
to both employees and nonemployees. Civil trespass to land is generally defined as
unauthorized entry into or presence on real property. To recover civil damages for
trespass, the landowner or other person in control must prove that the trespasser
intended to trespass. Physical, verbal, and symbolic indicators must make clear that
there is a boundary past which movement is not authorized.

Likewise, the owner of a trade secret must take positive actions to prevent its
unauthorized disclosure. One of those actions is to convey to employees entrusted with
the secret that the information is indeed secret and valuable. Developing programs for
conveying such notices, and documenting such notification, are phases of the security
awareness effort.

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10.2 Purposes of Security Awareness

x Comply with regulatory requirements. Governments often require that specific
security-related information be conveyed to employees and others. In the United States,
for example, employee orientation is required by the Bank Protection Act and related
regulations of the Federal Reserve System and the Controller of the Currency. Other
agencies imposing security training and awareness requirements by regulation are the
Drug Enforcement Administration, the Department of Transportation, and the Nuclear
Regulatory Commission.

x Comply with contract obligations. Security awareness efforts may need to take account
of various contracts that apply to the enterprise. For example, in the United States the
National Industrial Security Program Operating Manual (which sets forth the security
obligations of contractors handling classified defense information) imposes numerous
requirements for briefings and for security education and training, including awareness
efforts.

Similarly, collective bargaining agreements typically require that discharges be for just
cause and that employees receive due notice of the rules they must follow—including
security rules.

Some insurance contracts, such as those covering kidnapping, require that specific
procedures be adopted and communicated to designated officials in regard to coverage
under the policy.

A contract on the use of another company’s proprietary information may require the
organization using that information to provide security awareness training to its
employees.

x Comply with company policies and procedures. Security awareness efforts should
facilitate the ability of employees and others to comply with established company
policies and procedures. These policies may address compliance with company
standards and procedures for such matters as access control requirements or with
program initiatives such as a “clean desk” initiative to protect proprietary company
information.

x Prepare the organization for emergencies. Organizations with security awareness pro-
grams are better prepared to respond to emergencies and nonroutine issues (Piazza,
2004). In particular, organizations that educate management and employees through
security awareness programs are better able to respond to cyber attacks and keep their
information secure (BSA-ISSA, 2003, p. 2).

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10.3 Developing and Delivering a Security Awareness Program

x Reduce organizational liability. Security awareness efforts are an important part of an
organization’s liability reduction strategy. In defending lawsuits against a company, it
helps to “show that the company is aware of security and makes an effort to provide a
safe environment” (Ahrens & Oglesby, 2006, p. 82). Moreover, effective awareness pro-
grams make employees accountable for their actions (Whitman & Mattford, 2004, p. 34).
A company pursuing criminal charges against an employee will have greater success if it
can prove it has a security awareness program that was effectively communicated to
employees (Kovacich & Halibozek, 2003, p. 249).

x Communicate the value of the security department. A final goal of security awareness is
to convey the value of the department. Security personnel should not attempt to
frighten management and employees but instead should, though their security
awareness program, demonstrate they are providing a valuable service to the
organization (Gerloff, 2004, p. 26).

10.3 DEVELOPING AND DELIVERING A SECURITY AWARENESS
PROGRAM

Security awareness programs typically must address the following topics (Roper, Grau, &
Fischer, 2006, p. 90):

x why the organization requires protection strategies
x the value protection strategies bring to the organization
x what actions are required for the protection of specific assets
x what employees’ security responsibilities are
x how they can meet those responsibilities
x how employees can report program violations
x how employees can identify indicators of risk or danger and how they should react

Unlike detailed security training, security awareness material may not contain specific
security task information. It may instead direct recipients to security content available
elsewhere and focus on generating support for the security program. Finally, it should be
enjoyable and interesting, as “the best training tools engage staff and let them have fun”
(Gips, 2006, p. 20).

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10.3 Developing and Delivering a Security Awareness Program

10.3.1 TECHNIQUES, MATERIALS, AND RESOURCES

Security awareness programs often make use of the following techniques and materials:

x Written material. This includes instructional or advisory material, agreements, and
acknowledgments. It also includes written security policies and procedures, posters,
and other informal reminders. The materials can be distributed in the form of
security department handbooks, pamphlets, and guides, or they can be incorporated
into materials used by other departments. Formats include pocket reminder cards,
desktop reference material, calendars, tri-fold information sheets, notepads,
bookmarks, letter openers, cups, pencils, rulers, key chains, newsletters, posters,
refrigerator magnets, stickers, posters, etc. Sometimes security awareness materials
can be integrated into materials distributed by professional organizations. For
example, one security department arranged to have its security awareness materials
added to the Annual Patient Nursing Assessment for Private Duty Patients, which
addresses violence prevention (Morris, Carter, & Krueger, 2002, p. 72).

Security awareness guides can address organizational assets, personal safety, safety
while traveling, information asset protection, terrorist threat awareness, safeguarding
classified materials, counterintelligence, cybercrime, personnel security, foreign
intelligence threats, operational security, responsible use of company equipment,
access control procedures, and potential penalties for violating security rules.

x Audiovisual material. Formats include audio and video tapes, interactive CD-ROMs,
films, 35 mm slides, software-based presentations, e-mail, and company and non-
company Web sites. However, it is important not to post sensitive information where it
is publicly accessible (Roper, Grau, & Fischer, 2006, p. 241).

x Formal security briefings. These can be done pre-and post-hiring, at new assignment
orientation, and at times of promotion or transfer. Briefings can be delivered to
individuals or groups.

x Integration into line operations. Security staff can use several means to integrate
security awareness into regular enterprise operations. Individual employees’ security
awareness can be examined in their performance reviews, can be considered in setting
bonuses, and can be reinforced in supervisory and management staff meetings.
Another technique is to include security tasks in job descriptions or employee
handbooks and standards, perhaps collaborating with other departments.

x Inside experts. In developing a security awareness program, security staff can get help
from company training staff and communications staff.

x Outside experts. Security professionals can call on outside experts in communications,
advertising, and public relations to add their knowledge, experience, and credibility to
the security awareness program.

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10.3 Developing and Delivering a Security Awareness Program

Typically, a security awareness program must rely on a variety of delivery methods. Some
staff learn well by using computer-based instruction on their own, while others learn best
when they attend classes.

10.3.2 OBSTACLES TO AN EFFECTIVE AWARENESS PROGRAM

Creating employee and management buy-in to an awareness program is not automatic.
Security staff may face several obstacles in implementing a security awareness program
(Roper, Grau, & Fischer, 2006, pp. 91–92):

x Low credibility of security department. This may stem from previous performance of
departmental staff, a new department’s lack of a track record, biases that employees
bring from other organizations, a lack of professionalism within the security
department, or security staff’s lack of understanding of company functions.

x Organizational culture. A security awareness program can be hindered by a culture
that holds such views as “we’ve never done it that way before” or “we always do it this
way” (Dalton, 1998, p. 53). If a company believes security is not directly related to the
organization’s success, the security department will find it difficult to implement a
security awareness program.

x Naiveté. Organizations sometimes develop a mentality that bad things will not happen
to them, especially if they have not been victimized in the past. Likewise, they may
believe that employees will always do their utmost to protect company assets and
would never knowingly harm the organization. As a result, they may decide that an
awareness program is unnecessary.

x Perception of a minimal threat. Employees may feel less interested in increasing their
security awareness if they feel the relevant threat is insignificant or unlikely to occur.
For example (Roper, Grau, & Fischer, 2006, pp. 91–92):
Security educators in the 1990’s and later whose programs were geared to the
prevention of espionage have had to contend with the fact that perceptions of the
foreign intelligence threat have radically changed. Without the monolithic Soviet
adversary, security educators were hard-pressed to argue that critical information was
still at risk. However, the continuing frequency of espionage case associated with a
variety of foreign entities in recent years —Cuba, China, Saudi Arabia, South Korea—has
redefined the foreign intelligence threat and made it credible.

x Departmental or employee indifference. Some employees may not see security as
their responsibility. They may be overworked, or they may have a competing agenda
(e.g., if they are stealing from the company); or they may simply see security respon-
sibilities as undesirable extra work. Some employees believe that securing company
assets is the responsibility of the security department alone.

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10.3 Developing and Delivering a Security Awareness Program

x Lack of reporting capability. It is essential that employees have access to an effective
reporting system. “Information collection is the basis of a security management plan”
(Kitteringham, 2006, p. 29), and the existence of a security reporting system, in itself,
has been found to heighten employee awareness, resulting in an increase in reporting
(Kellogg & McGloon, 2006, p. 98). With an incident reporting system in place, security
professionals are better positioned to measure their departments’ effectiveness and
report back to senior management.

10.3.3 MEASURING THE PROGRAM

Because security awareness efforts take time and money (and may briefly interrupt employees’
work), security staff may need to seek management approval to start and continue the
program. One way to gain support is through the use of metrics—that is, “a standard of
measurement using quantitative, statistical, and/or mathematical analysis” (Kovacich &
Halibozek, 2006, p. xxvii). Following are examples of potential measurements:

x company losses before and after the security awareness program was implemented
x number of persons briefed and number of briefings conducted in specific periods
x topics covered, projected or actual briefing completion date, and method of delivery

(Roper, Grau, & Fischer, 2006, pp. 134–135)
x cost of briefings per employee (Kovacich & Halibozek, 2006, p. 119–121)

If a program is new and lacks data on its effectiveness, one approach is to start with a limited
budget and build momentum over time. It is possible to create awareness literature cheaply
via desktop publishing. Further, by partnering with other departments, such as the human
resources department, security personnel can brief employees during regular training exer-
cises. Data can be collected and assessed until there is an opportune time to implement the
awareness program on a larger scale.

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10.4 Engaging Employees to Prevent Losses

10.4 ENGAGING EMPLOYEES TO PREVENT LOSSES

All employees are responsible for helping to protect organizational assets, as security
personnel cannot be everywhere and see everything. By working with employees from other
departments and providing leadership in developing protective strategies, security staff can
increase the likelihood of employee cooperation. A cooperative employee is less likely to
circumvent security rules and measures.

Most enterprises devote at least some time to fostering security awareness among their
employees. However, knowing that a security program exists is not the same as playing an
active role in loss prevention. Every department and employee has a role in identifying,
preventing, and reducing losses.

Before developing a security awareness program that will teach employees what they need to
know, the security manager must become familiar with all elements of the organization’s
business—in order to know what assets must be protected from what risks. Losses that
employees may be able to help reduce include traditional physical concerns, such as theft of
money or goods or misuse of equipment or facilities. Through awareness training, employees
may also be able to help reduce other losses, including those related to contractual, statutory,
regulatory, insurance, or other concerns. Seemingly small losses can have expensive
ramifications. For example a laptop theft resulting in the loss of a client’s personal information
can be very costly, especially given emerging privacy legislation. One study (Ponemon
Institute, 2006) found that the average loss per corporate data breach was $4.8 million.

10.4.1 POSITIVE SECURITY CONTACTS

Success in security depends heavily on employees’ cooperation. To strengthen that support,
the security department should maximize the positive (helpful) contacts it has with
employees while still carrying out the primary security mission. One way security staff can
enhance the department’s reputation and build relationships is by promoting the personal
safety and security of employees and their families at work, at home, and elsewhere. The
following are examples of such measures:

x conducting home protection clinics
x lending property-marking devices
x offering group purchase opportunities for burglary and fire protection devices
x conducting personal protection programs
x conducting cyber security awareness programs
x conducting children’s fire prevention poster campaigns with cash prizes.
Employees themselves may be able to suggest other programs they would like the security
department to provide.

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10.4 Engaging Employees to Prevent Losses

10.4.2 POLICIES AND PROCEDURES

One of the most important missions of security awareness programs is to familiarize
employees with the organization’s policies and procedures. Policies establish rules, while
procedures explain how to follow those rules. Security awareness programs can help
promulgate policies and procedures and ensure that employees understand specifically what
they should and should not do in a wide variety of situations.

Serious and costly outcomes can result when employees do not know or do not follow
company policies. For example, in 1999 a suspected shoplifter was apprehended in a grocery
store in Canada by two store clerks and a uniformed security officer. He died from accidental
restraint asphyxia during the arrest. A news report states that “the company employing the
store clerks insisted that it expressly forbids staff from using force on people suspected of
shoplifting. The inquest had heard that the employees who chased [the suspected shoplifter]
were unaware of the store’s policy to avoid using force with shoplifters” (CBC News, 2004). As
one writer on security policies observes (Roberts, 2002, p. 94):

Good polices are not enough to ensure that the staff will react properly to an incident.
Continuous training of a store’s retail staff is essential to ensure that they understand, and act
in accordance with, the stores policies for dealing with suspected shoplifters. Further, store
managers, loss prevention professionals, and human resource staff need to be monitoring
incidents that arise so that they can retrain or discipline employees who do not act in
accordance with store policies.

Some employees fail to follow company policies and procedures because they do not under-
stand what they are supposed to do, while others simply choose not to cooperate. An
examination of compliance with information technology (IT) policies (Mallery, 2007, pp. 40–
42) found two categories of users who fail to follow policies: (1) “uneducated users,” who
have a limited understanding of computers and the consequences of ignoring policies, and
(2) “arrogant users,” who feel they do not have to follow the rules that apply to others—“they
feel they are more powerful, intelligent and sophisticated than everyone else, so they can do
what they want on corporate systems.”

Ultimately, employees who refuse to follow policies and procedures, even after security
awareness efforts have brought those issues to their attention, must be disciplined.
Otherwise, the company may be needlessly exposed to a variety of losses and liabilities.

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References

REFERENCES

Ahrens, S. A., & Oglesby, M. B. (2006, February). Levers against liability. Security Management. Vol.
50, No. 2.

Business Software Alliance and Information Systems Security Association. (2003). BSA-ISSA
information security study: Online survey of ISSA members. Washington, DC: Business Software
Alliance.

CBC News. (2004, April 23). Man died from accidental suffocation during arrest: inquest [Online].
Available: http://www.cbc.ca/canada/story/2004/04/23/Shandverdict_040423.html [2007, August 6].

Dalton, D. (1998). The art of successful security management. Burlington, MA: Butterworth-Heine-
mann.

Fay, J. J. (2006). Contemporary security management, 2nd ed. Burlington, MA: Elsevier Butterworth-
Heinemann.

Gerloff, J. (2004, December). Communicating security’s value. Security Management, Vol. 48, No. 12.

Gips, M. A. (2006, April). Identity theft can be fun. Security Management, Vol. 50, No. 4.

Kellogg, D., & McGloon, K. (2006, October). Distilled protection. Security Management, Vol. 50, No. 10.

Kitteringham, G. W. (2006). Security and life safety for the commercial high-rise. Alexandria, VA:
ASIS International.

Kovacich, G. L., & Halibozek, E. P. (2003). The manager’s handbook for corporate security.
Burlington, MA: Elsevier Butterworth-Heinemann.

Kovacich, G. L., & Halibozek, E. P. (2006). Security metrics management. Burlington, MA: Elsevier
Butterworth-Heinemann.

Mallery, J. (2007, June). Policy enforcement. Security Technology & Design.

Morris, R., Carter, P., & Krueger, C. (2002, October). Nurses learn vital signs of safety. Security
Management, Vol. 46, No. 10.

Piazza, P. (2004, March). Companies better prepared for trouble. Security Management, Vol. 48, No. 3.

Ponemon Institute. (2006). 2006 annual study: Cost of a data breach. Elk Rapids, MI: Ponemon
Institute.

Roberts, J. R. (2002, September). The policy was perfect. Security Management, Vol. 46, No. 9.

Roper, C. A., Grau, J. A., & Fischer, L. F. (2006). Security education, awareness and training.
Burlington, MA: Elsevier Butterworth-Heinemann.

Whitman, M. E., & Mattford, H. J. (2004, November). Making users mindful of IT security. Security
Management, Vol. 48, No. 11.

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CHAPTER 11

WORKPLACE SUBSTANCE ABUSE:
PREVENTION AND INTERVENTION

A drug is a chemical substance that alters the physical, behavioral, psychological, or emotional
state of the user. Drugs of abuse—psychoactive (mind-altering) substances—target the central
nervous system and impair the user’s ability to think and to process sensory stimuli, thereby
distorting the user’s perception of reality. Drugs of abuse include legal and illegal substances and
are often consumed socially. In this analysis, alcohol is considered a drug.

Substance abuse may harm a person physically, mentally, or emotionally. Abuse can often easily
lead to increased tolerance and eventual addiction or chemical dependency. Abuse can also create
personal, family, and financial problems beyond the abuser’s control.

National prosperity requires a healthy workforce. More than technology, industrial capability, or
natural resources, a nation’s workforce makes possible all the social and economic abundance a
country enjoys.

Substance abuse plagues nearly every nation. In the United States, illegal drugs are everywhere: in
schools, communities, factories, and offices. Substance abuse harms productivity and competi-
tiveness and destroys individuals, families, and jobs. It causes birth defects, industrial accidents,
business failures, and highway fatalities. The worldwide illicit drug trade is a multibillion-dollar
industry that spans national borders, deals almost exclusively in cash, and enforces its policies
with violence.

Drug abuse is more common among unemployed than employed persons. In 2006, among adults
aged 18 or older, the rate of drug use was higher for unemployed persons (18.5 percent) than for
those who were employed full-time (8.8 percent) or part-time (9.4 percent). Although the rate of
illicit drug use is highest among unemployed persons, most drug users are employed. Of the 17.9

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11.1 Historical Perspective

million current illicit drug users aged 18 or older in 2006, 13.4 million (74.9 percent) were employed
either full-or part-time (U.S. Department of Health and Human Services, National Survey, 2007).

Employers pay a high price. It is generally accepted that employee substance abuse does the
following:

x decreases productivity and morale
x increases turnover and absenteeism
x increases accidents
x increases insurance costs
x increases theft and dishonesty
x increases unnecessary consumption of benefits
x decreases profits
x increases potential liability of the company
x increases the potential for negative public exposure and image

Substance abuse can rob an organization of its talent, vitality, and enthusiasm. It can destroy
teamwork and cooperation and make organizations less competitive and less successful.

11.1 HISTORICAL PERSPECTIVE

Other than alcohol, opium may be the oldest compounded drug used by man. In 1500 BC,
the Egyptians used opium for medical purposes. In the Greco-Roman period, opium was
considered an important drug and was used to induce sleep and relieve pain. By the latter
part of the 18th century, doctors in other parts of Europe, too, were recommending opium as
a pain reliever.

The addictive properties of opium were not appreciated, and the problem of addiction grew
in the early 1800s with the discovery of two opium alkaloids: morphine and codeine.
Morphine became popular because of its potency—one grain of morphine is about as
effective as 10 grains of opium.

The newly invented hypodermic needle was used during the Civil War to administer
morphine to the wounded, and many soldiers returned to civilian life addicted to the drug.
As the hypodermic needle grew in popularity as a way to administer the drug, morphine
abuse began to spread in the United States.

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11.1 Historical Perspective

Opium was commonly taken orally, smoked, or pulverized and used in suppository form.
Opium and its derivatives could be purchased legally and inexpensively in pharmacies and
many rural general stores. They were used alone or as components in pharmaceutical
preparations or patent medicines.

Heroin, a morphine derivative, was first synthesized in 1898. At first, it was considered non-
addictive and was used for treatment of morphine addiction. It was also available in many
pharmaceutical preparations. Easy access to the drug led thousands into addiction.

11.1.1 A CHANGE OF MOOD

In the 19th century, opiate use in the United States was found at all levels of society but was
most prevalent among members of the middle and upper middle classes. (An exception was
opium smoking, which was associated with the underworld.). Among the prominent indivi-
duals of the 19th century who abused opium were the writers Edgar Allan Poe and Samuel
Coleridge. Thomas de Quincy, author of Confessions of an English Opium Eater, was
probably the best-known addict at the time.

Public attitudes began to change by the 1890s. Many physicians recognized the destructive
nature of addiction and publicized their findings. Some regarded addiction as an illness,
while others felt it was a vice. An addict could still purchase drugs legally and secure assist-
ance from doctors in the early 1900s; at that time, addiction did not appear to be linked with
criminal behavior.

11.1.2 LEGAL CONTROLS

In 1880, the United States and China completed an agreement that prohibited the shipment
of opium between the two countries. In 1887, the U.S. Congress enacted legislation making it
a misdemeanor to import opium from China. In the 1930s it became unlawful to possess or
cultivate marijuana in the United States.

The first major attempt to control opium use in the United States came in 1909 with a federal
act that limited the use of opium and derivatives except for medical purposes. Later, the 1914
Harrison Act attempted to control the production, manufacture, and distribution of
narcotics. The law required registration and payment of a tax by those dealing in narcotic
drugs. It specified that only physicians could dispense narcotics and that pharmacists could
sell drugs only on written prescription.

The rapid increase in the number of drug arrests by the mid-1950s prompted the passage of
the Narcotic Drug Control Act of 1956, which provided a mandatory minimum penalty of five

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11.2 Human Cost of Substance Abuse

years’ imprisonment with no possibility of probation or parole for a first illegal sale.
Eventually, methadone was used as a substitute for heroin in the treatment of addicts.

11.1.3 WAR ON DRUGS

In 1971, U.S. President Nixon initiated a nationwide “war on drugs.” The effort increased
public awareness of the dangers of drug abuse, restricted supplies, and drove prices up. It
also amalgamated an already growing international network of producers, smugglers, and
wholesalers. As prices rose, more criminals entered the market and imported more illicit
drugs into the country. The upward trend in supply and demand did not seem to abate until
the end of the 20th century.

In 1988, the Reagan administration created the Office of National Drug Control Policy
(ONDCP). Its mission was to coordinate the government’s efforts to manage substance abuse
in the realms of legislation, security, diplomacy, research, and health. The director of ONDCP
is commonly known as the drug czar.

Today, the war on drugs is fought on many fronts by many people and organizations.
Although the most obvious battles are fought by law enforcement, important battles are
fought in the workplace as well.

11.2 HUMAN COST OF SUBSTANCE ABUSE

Compared to nonabusing employees, employees who engage in substance abuse may be
absent 16 times more often, claim three times as many sickness benefits, and file five times
as many workers’ compensation claims. Abusers are also more likely to be laid off or fired
(Ferraro, 1994).

Substance abuse affects abusers’ family members, too. For example, nonalcoholic members
of an alcoholic’s family use 10 times more sick leave than others. They are also more prone to
long-term illness, accidents, and divorce. Children of alcoholics are five times more likely to
become alcoholics than children of non-alcoholics (Ferraro, 1994).

Substance abuse also breeds dysfunctional relationships. Abusers have difficulty in getting
along with others. They tend to withdraw from friends and be more secretive. They spend
less time at home and work. They contribute less to meaningful relationships and avoid
opportunities to socialize with nonabusers.

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11.3 Role of the Employer

For the employer, they grow less productive and creative and frequently become disciplinary
problems. They engage in denial and quickly blame others for their shortcomings and disap-
pointments. They become the 20 percent who consume 80 percent of management’s time.

11.3 ROLE OF THE EMPLOYER

Substance abuse—long considered a law enforcement or government problem—has now
become a workplace problem as well. Executives, managers, supervisors, employees, and
unions are looking for answers. Organizational leaders have learned that to create a drug-free
workplace they must do the following:

x Make a commitment.
x Set goals and objectives.
x Assign responsibility.
x Formulate a comprehensive policy.
x Communicate the policy.
x Equitably enforce the policy.
x Provide education and training.
x Provide help to those who want it.
x Audit the process regularly.

11.4 WHY THE WORKPLACE?

11.4.1 RATIONALIZATION

Rationalization is the use of superficial, apparently plausible explanations or excuses for
one’s behavior. Substance abusers rationalize constantly. They may rationalize that the use
of drugs is a constitutional right, that addiction and chemical dependency happen only to
others, and that drug use enhances their ability to perform, produce, and create. They may
rationalize that they can quit using anytime, that drug use at work is acceptable because it is
common, and that selling drugs to coworkers is a gesture of camaraderie. Often, they blur the
line between personal consumption off the job (what they do on their own time) and their
rationalization that such personal habits don’t affect their work performance.

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11.4 Why the Workplace?

These rationalizations help substance abusers abandon their values, shirk their responsibilit-
ies, and lose respect for other people and their property. They may lie to their families, steal
from their friends and employers, and continue to use drugs without guilt, despite the
potential harm caused by their behavior.

11.4.2 OPPORTUNITY

For the substance abuser, the workplace abounds with opportunity. Here are the key reasons:

x They know one another. Workplace deals enable sellers and buyers to have regular
contact with one another that is not suspicious. Also, the workplace venue is generally
private property and therefore not under the direct scrutiny of law enforcement,
thereby creating somewhat of a safe haven for illicit activities to transpire.

x Better quality. Workplace dealers want repeat customers, and they recognize that
high-quality products keep them coming back.

x Fairer quantity. Illegal drugs are expensive. Because drugs are often sold in quantities
as small as 1/4 gram, accuracy in weight is important to the buyer. Again, because
workplace dealers recognize the importance of repeat business, they tend to sell
accurate quantities.

x Low risk. Abusers perceive supervisors and managers as uninformed or untrained and
often unwilling to confront them or their problems. Moreover, security measures—
such as barriers, fences, or locked doors—that protect company assets may also
protect abusers and dealers from monitoring or detection.

x High return on investment. An ounce of high-quality cocaine that is cut (diluted by
adding an impurity) and repackaged in 1 gram quantities can yield the dealer several
thousand dollars in profit. In a workforce of 100 employees or more, a single employee-
dealer may be able to sell an ounce of cocaine each week.

x Ability to buy and sell on credit. When “fronted,” drugs are sold to the employee-user
with the agreement that they will be paid for later. This agreement usually establishes
terms and consequences for the failure to pay. Fronting allows users to obtain drugs
even when they do not have money to buy them. For this service, employee-dealers
generally charge a small premium—typically the retention of a small amount of the
drug for personal use. This quantity is known as a pinch, and the practice is called
pinching.

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11.5 Path of Workplace Substance Abuse

11.5 PATH OF WORKPLACE SUBSTANCE ABUSE

No one aspires to be drug addicted or chemically dependent. Involvement with drugs usually
begins with experimentation. This typically involves introduction to the drug by a friend or
family member. If the drug produces an enjoyable effect, experimentation may lead to
periodic use, often in social settings. If the progression is uninterrupted, users begin to
develop relationships with friends or coworkers who are involved with the same drug. As
these relationships solidify, relationships with former friends and coworkers are diminished
and may eventually end. Abusers’ appearance, behavior, interests, and relationships all
begin to change, and they become more secretive, suspicious, and paranoid.

Abusers’ attitudes toward the drug also change. They may defend the drug’s benefits, its
value to society, and their right to use it. They may frequently think about it, study it, and
talk about it.

In addition, abusers’ job performance deteriorates. They develop attendance problems,
usually with recognizable patterns. They appear less focused and claim to have more
personal problems. They use drugs more frequently and irresponsibly. They may drink and
drive, smoke marijuana while hunting or while handling firearms, or consume drugs in
public places with people they do not know.

Eventually, they begin to use drugs on the job. At first their use is discreet, but often it
becomes flagrant. In fact, they may enjoy testing the boundaries of acceptable behavior in
the workplace. They may drink in the parking lot during lunch and on breaks. They may
smoke marijuana in restrooms and locker rooms. They may consume cocaine or
methamphetamine at their desks or workstations. They may use drugs in company-owned
vehicles or while out of town on business. Given the opportunity, they may even use drugs
with customers and vendors. They may keep drugs in their desks, lockers, or toolboxes. In
addition, abusers may use the company mailroom or shipping department to distribute and
receive drugs and money. They may hide drugs in workplace safes, furniture, trash
containers, hazardous material containers, beverage containers, lunch boxes, briefcases,
purses, shoes, coats, raw materials, and finished goods. Employee substance abusers are
resourceful, cunning, and deceitful.

When given the opportunity, dealers may also secretly sell right in front of nonabusers,
supervisors, and managers. In some instances, it is hard to understand how any real work
gets done. Dealers tend to socialize more than others. They are constantly networking while
feverishly trying to avoid detection. Often they are absent or not where they belong. They
avoid interaction with management whenever possible. Though they tend not to make
trouble, if accused of misconduct they become belligerent. They often support employee
causes and enjoy creating strife between management and labor. Employee drug dealers
tend to resist team building, pursue secret agendas, and despise authority.

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11.5 Path of Workplace Substance Abuse

If substance abusers exhaust their discretionary income, they generally resort to purchasing
their drugs on credit. Once their credit is exhausted, they may begin to sell drugs or engage in
theft. If they become dealers, they generally sell to colleagues at work. If they choose to steal,
the principal victim will be the employer.

Substance abuse-related employee theft often begins with stealing food from coworkers. It
eventually leads to the theft of petty cash, cash receipts, office equipment, and coworkers’
personal valuables. Left unchecked, the substance abuser will eventually steal to the extent the
organization allows. The stolen goods may range from scrap, raw materials, and finished goods
to intellectual property, such as client lists, confidential information, and trade secrets.

Employee substance abusers may also steal from customers and vendors. They may short a
shipment to an important customer, keeping and selling the difference. They may accept
kickbacks for miscounting, allowing overages, double shipping, approving improper or
unauthorized credits, or diverting a vendor’s delivery. The impact on the employer can be
devastating. Business relationships may be destroyed, and valuable vendors may withhold
service or materials. Customers may cancel contracts, refuse payment, or take legal action.

In addition, substance abusers are more likely to have accidents and get injured. They file
more health claims and consume more than their share of benefits. More illnesses and
injuries yield higher insurance costs. Abusers’ absences may be disruptive and costly and
require the recruiting, hiring, and training of replacements. Also, substance abusers are more
prone to file false claims and feign on-the-job injuries.

As abusers’ performance begins to slip, discipline begins. Abusers may foresee termination
but view it as unacceptable, as their jobs may be the only element of stability and normalcy
in their lives. For years they may have rationalized that continued employment is evidence
that they live a normal life. In extreme cases, they may give up their family, children, home,
and car but struggle to keep their job. Once the job is in jeopardy, they may choose to give up
drugs. However, a more common way of escaping workplace discipline is to feign an on-the-
job injury.

In abusers’ eyes, an extended absence can provide several benefits: relief from job
responsibilities, a break from the environment where they are most exposed to drugs and the
temptation to use them, and an opportunity to give up drugs and start anew. Usually,
however, these benefits go unrealized. Without the structure of a job, their life often begins
to unravel completely. Drug consumption may rise and financial burdens increase. Months
later, when abusers finally return to work, they are more chemically dependent, less
productive, and more likely to file another claim.

This cycle of destruction may repeat several times before the employee is terminated. At that
point, everyone is a loser: the employer, spouse, family, friends, and the abuser.

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11.6 Drugs of Abuse

11.6 DRUGS OF ABUSE

11.6.1 CONTROLLED SUBSTANCE ACT

In the United States, the legal foundation for the federal strategy of reducing the
consumption of illegal drugs is the Comprehensive Substance Abuse Prevention and Control
Act of 1970, Title II (CSA). The law contains four fundamental parts: (1) mechanisms for
reducing the availability of controlled substances, (2) procedures for bringing a substance
under control, (3) criteria for determining control requirements, and (4) obligations incurred
through international treaties. Specifically, the law regulates the manufacturing, purchase,
and distribution of drugs according to their potential for abuse. The Drug Enforcement
Administration (DEA) is responsible for enforcement and oversees the classification of all
drugs. These classifications or schedules are as follows:

x Schedule I. The drug or substance has a high potential for abuse and currently has no
accepted use in medical treatment in the United States. Examples of Schedule I drugs
are hashish, marijuana, heroin, and lysergic acid diethylamide (LSD).

x Schedule II. The drug or substance has a high potential for abuse but currently has an
accepted medical use in the United States with severe restrictions. Abuse may lead to
severe psychological or physical dependency. Examples of Schedule II drugs are
cocaine, morphine, amphetamine, and phencyclidine (PCP).

x Schedule III. The drug or substance has a potential for abuse less than the drugs or
substances of schedules I and II and currently has an accepted medical use in the
United States. Abuse may lead to moderate or low physical dependency or high
psychological dependency. Examples of Schedule III drugs are codeine, Tylenol with
codeine, and Vicodin.

x Schedule IV. The drug or substance has a low potential for abuse relative to Schedule
III substances and currently has an accepted medical use in the United States. Abuse
may lead to limited physical or psychological dependency. Examples of Schedule IV
drugs are Darvon, Darvocet, phenobarbital, and Valium.

x Schedule V. The drug or substance has a low potential for abuse relative to Schedule IV
substances and currently has an accepted medical use in the United States. Abuse may
lead to a lower physical or psychological dependency than caused by Schedule IV
substances. Examples of Schedule V drugs are the low-strength prescription cold and
pain medicines found in most homes.

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11.6.2 DEPRESSANTS

Depressants include such drugs as Quaalude (methaqualone), Valium (diazepam), Librium
(chlordiazepoxide), Nembutal (pentobarbital), Seconal (secobarbital), and alcohol.

In small doses, depressants produce a calm feeling and can be used for various medical
purposes. In larger doses, they can cause impaired reflexes, slurred speech, and uncontrollable
drowsiness. Abusers often combine depressants with other depressants or with stimulants. The
abuse of depressants can lead to birth defects, overdose, and even death.

Alcohol

Alcohol is a fast-acting central nervous system depressant that functions as an analgesic with
sedative affects. In small quantities, it produces a sense of well-being and slightly impaired
reflexes. In larger quantities, the sense of well-being is replaced by disorientation, reduced
inhibition, loss of coordination, and irrationality. Alcohol is addictive, and prolonged abuse
can cause brain, liver, and heart damage, as well as sexual dysfunction, gastritis, ulcers,
malnutrition, high blood pressure, cirrhosis of the liver, pancreatitis, cancer, and death.

According to the U.S. Department of Health and Human Services (Alcohol, 2007), alcohol
dependence, also known as alcoholism, includes four symptoms:

x craving: a strong need or compulsion to drink
x loss of control: the inability to limit one’s drinking
x physical dependence: the occurrence of withdrawal symptoms, such as nausea,

sweating, shakiness, and anxiety, when alcohol use is stopped after a period of heavy
drinking
x tolerance: the need to drink greater amounts of alcohol to get the desired feeling
Alcoholics are in the grip of a powerful craving that overrides their ability to stop drinking.
This need can be as strong as the need for food or water. The essential difference between a
social drinker and an alcoholic is a loss of control over the time, place, and amount of
drinking. Although some people are able to recover from alcoholism without help, the
majority of alcoholics need assistance. Alcoholism appears to be caused by both genetic and
environmental components.

11.6.3 NARCOTICS

In the medical sense, narcotics are opiates: opium, its derivatives, and synthetic substitutes.
Opiates (also called opiods) are indispensable in pain relief, but they are also highly addictive
and frequently abused.

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Opiates include such drugs as morphine, heroin, and codeine. Usually taken orally or intrave-
nously, they can also be smoked. Opiates are relatively uncommon in the workplace, as they
are expensive and their physiological effects on the user are usually obvious.

In small doses, narcotics create effects like those of depressants. In larger doses, they induce
sleep, unconsciousness, and vomiting. Intravenous use increases the chance of contracting
such diseases as hepatitis and AIDS. Users describe the euphoric effect of these drugs as being
“high” or “on the nod.”

With repeated use of narcotics, tolerance and dependence develop. Tolerance is characterized
by a shortened duration and a decreased intensity of analgesia, euphoria, and sedation,
leading to the need to consume larger doses to attain the desired effect. Dependence is an
alteration of normal body functions such that the continued presence of a drug is needed to
prevent withdrawal symptoms. In general, shorter-acting narcotics tend to produce shorter,
more intense withdrawal symptoms, while longer-acting narcotics produce protracted but less
severe symptoms. Although unpleasant, withdrawal from narcotics is rarely life threatening.
Without intervention, the withdrawal syndrome disappears in seven to ten days. Psychological
dependence, however, may continue. Unless the physical environment and the behavioral
motivators that contributed to the abuse are altered, the user’s probability of relapse is high.

In the United States, some abusers of narcotics begin their drug use in the context of medical
treatment and escalate it by obtaining the drug through fraudulent prescriptions and “doctor
shopping” or by branching out to illicit drugs. Other abusers begin with experimental or
recreational uses of narcotics. The majority of individuals in this category may abuse narcotics
sporadically for months or even years. Although they may not become addicts, the social,
medical, and legal consequences of their behavior are very serious. Some experimental users
eventually become dependent. The younger an individual is when drug use is initiated, the
more likely the drug use will progress to dependence and addiction (DEA, 2006).

Over the past 30 years, the prescription painkiller oxycodone has been widely abused in the
workplace. It is a Schedule II narcotic analgesic, supplied as OxyContin (controlled release),
OxyIR and OxyFast (immediate release), Percodan (with aspirin), and Percocet (with acetamin-
ophen). The 1996 introduction of OxyContin, also known as OC, OX, Oxy, Oxycotton, hillbilly
heroin, and kicker, led to a marked escalation of its abuse.

Effects include analgesia, sedation, euphoria, feelings of relaxation, respiratory depression,
constipation, papillary constriction, and cough suppression. As an analgesic, a 10 mg dose of
orally administered oxycodone is equivalent to a 10 mg dose of subcutaneously administered
morphine. Oxycodone’s behavioral effects can last up to five hours. The controlled-release
product (OxyContin) lasts 8–12 hours.

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Chronic use of opioids can result in tolerance for the drugs. Long-term use can lead to
physical dependence and addiction. Properly managed medical use of pain relievers is safe
and rarely causes clinical addiction. However, a large dose of an opioid can cause severe
respiratory depression that may lead to death.

11.6.4 STIMULANTS

Stimulants may make employees appear more alert, eager, and productive. However, what
appears to be productivity may actually be wasted efforts that lead to mistakes. Stimulant
abusers may believe the drugs enhance their creativity and endurance, but they are actually
being robbed of their energy and rationality. Abusers experience frequent, severe mood
swings, and they become difficult to manage and have trouble getting along with others.
Abusers often try to control their mood swings by using another drug, most often alcohol.
Prolonged abuse typically results in weight loss, drug-induced psychosis, and addiction to
multiple drugs.

Among the stimulants used in the workplace are cocaine, amphetamines, methamphetamine,
methcathinone, methylphenidate (Ritalin), and anorectic drugs (appetite suppressants).

Cocaine

Cocaine (cocaine hydrochloride) is a white, crystalline substance extracted from the coca
plant. Though it has some medicinal value as a topical anesthetic, it is a common drug of
abuse and is considered highly addictive. Most often ingested through the nose (snorted), it
can also be injected and smoked. Cocaine stimulates the central nervous system, and its
immediate effects include dilated pupils, elevated blood pressure, increased heart rate, and
euphoria. Crack or rock cocaine (usually smoked) is prepared from powdered cocaine,
baking soda, and water. The high lasts only a few minutes, leaving the user eager for more.
Being under the influence of cocaine is often referred to as being “wired” or “buzzed.”

Cocaine’s effects appear almost immediately after a dose and disappear within a few minutes
or hours. In small amounts (up to 100 mg), cocaine usually makes the user feel euphoric,
energetic, talkative, and alert. It can also temporarily decrease the need for food and sleep.
Some users find that the drug helps them perform simple physical and intellectual tasks
more quickly, while others experience the opposite effect.

The duration of cocaine’s euphoric effect depends on the route of administration. The faster
the absorption, the more intense but shorter the high. The high from snorting is relatively
slow in onset and may last 15–30 minutes, while that from smoking comes quickly and may
last 5–10 minutes.

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Large doses (several hundred milligrams or more) intensify the user’s high but may also lead to
bizarre, erratic, or violent behavior, along with tremors, vertigo, muscle twitches, paranoia, or a
toxic reaction. Some users report restlessness, irritability, and anxiety. In rare instances,
sudden death can occur on the first use of cocaine or unexpectedly thereafter. Cocaine-related
deaths are often a result of cardiac arrest or seizures followed by respiratory arrest.

Cocaine is powerfully addictive. Some users develop a tolerance and must increase their
doses to attain the desired effects. Other users actually become more sensitive to the drug
over time and may die after low doses. Bingeing—that is, taking the drug repeatedly and in
increasing doses—may lead to irritability, restlessness, and paranoia. Eventually, the user
may develop paranoid psychosis, losing touch with reality and experiencing auditory
hallucinations (DEA, 2006).

Methamphetamine

Methamphetamine is a synthetic drug easily manufactured using common materials and
simple laboratory equipment. Also known as crank, meth, crystal meth, or speed, it has, in
many workplaces, replaced cocaine as a drug of choice among stimulant abusers. Metham-
phetamine can be smoked, snorted, swallowed, or injected.

The drug alters moods in different ways, depending on how it is taken. Immediately after
smoking the drug or injecting it intravenously, the user experiences an intense rush or
“flash” that lasts only a few minutes and is described as extremely pleasurable. Snorting or
swallowing produces euphoria—a high but not an intense rush. Snorting produces effects
within three to five minutes, and swallowing produces effects within 15 to 20 minutes.

Methamphetamine is usually used in a “binge and crash” pattern. Because tolerance for
methamphetamine occurs within minutes—meaning that the pleasurable effects disappear
even before the drug concentration in the blood falls significantly—users try to maintain the
high by bingeing on the drug.

Ice, a smokable form of methamphetamine, came into use in the 1980s. Ice is a large, usually
clear crystal of high purity that is smoked in a glass pipe (like that used for crack cocaine).
The smoke is odorless, leaves a residue that can be re-smoked, and produces effects that may
continue for 12 hours or more.

As a powerful stimulant, methamphetamine, even in small doses, can increase wakefulness
and physical activity and decrease appetite. A brief, intense sensation, or rush, is reported
by those who smoke or inject methamphetamine. Swallowing or snorting the drug
produces a long-lasting high (instead of a rush), which can continue for half a day. Both the
rush and the high are believed to result from the release of the neurotransmitter dopamine
into areas of the brain that regulate feelings of pleasure.

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Methamphetamine has toxic effects as well. The large release of dopamine produced by
methamphetamine is thought to contribute to the drug’s toxic effects on nerve terminals in
the brain. High doses can elevate body temperature to dangerous, sometimes lethal levels, as
well as cause convulsions.

Long-term methamphetamine abuse results in many damaging effects, including addiction.
Chronic methamphetamine abusers may exhibit violent behavior, anxiety, severe mood
swings, weight loss, irritability, confusion, insomnia, and general deterioration of health.
They may also experience psychotic effects, including paranoia, auditory hallucinations,
mood disturbances, and delusions (for example, the sensation of insects creeping on the
skin, called formication). The paranoia can result in homicidal and suicidal thoughts.

With chronic use, tolerance for methamphetamine can develop. To intensify the desired
effects, users may take higher doses of the drug, take it more often, or change their method of
drug intake. In some cases, abusers forgo food and sleep while indulging in a form of
bingeing known as a run, injecting as much as a gram of the drug every two to three hours
over several days until the user runs out of the drug or is too disorganized to continue.

While under the influence of methamphetamine, users describe themselves as wired.
Regular users are referred to as speedsters or cranksters.

11.6.5 HALLUCINOGENS

Hallucinogens are mind-altering drugs that drastically alter users’ mood, sensory perception,
and ability to reason. For centuries, hallucinogens found in plants and fungi have been used
in shamanistic practices. More recently, even more powerful synthetic hallucinogens have
been produced.

The most commonly abused hallucinogens are LSD (lysergic acid diethylamide), also called
acid; MDA (methylenedioxyamphetamine); MDMA (methylenedioxymethamphetamine), also
called ecstasy; PCP (phencyclidine), often called angel dust; mescaline, which comes from
the peyote cactus; and certain mushrooms.

The biochemical, pharmacological, and physiological basis for hallucinogenic activity is not
well understood. Even the name for this class of drugs is not ideal, since hallucinogens do
not always produce hallucinations.

In nontoxic dosages, these substances produce changes in perception, thought, and mood.
Physiological effects include elevated heart rate, increased blood pressure, and dilated pupils.
Sensory effects include perceptual distortions. Psychic effects include disorders of thought
associated with time and space. Time may appear to stand still, and forms and colors seem to
change and take on new significance. This experience may be either pleasurable or frightening.

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Users often experience vivid hallucinations, panic attacks, and even synaesthesia or sensory
crossover. In this state, users’ senses become confused, and they may actually believe they can
see sound or smell colors.

The effects of hallucinogens are unpredictable each time the drugs are used. In some
instances, weeks or even months after taking hallucinogens, a user may experience
flashbacks—fragmentary recurrences of certain aspects of the drug experience—without
actually taking the drug.

Some hallucinogens are neurotoxic. However, the most common danger is impaired
judgment, which may lead to rash decisions, accidents, injuries, and even death.

LSD

Lysergic acid diethylamide or LSD, a colorless, odorless, and tasteless drug, is one of the
most powerful hallucinogens. It was developed in a Swiss pharmaceutical laboratory in 1938.

LSD is sold as tablets, capsules, and sometimes a liquid. Ingested orally, it is called acid,
blotter acid, window pane, microdots, and mellow yellow. It is often added to absorbent
paper and divided into small decorated squares, each representing one dose. Users under
the influence of LSD are said to be tripping. The effects of LSD are described above in the
section on hallucinogens.

The use of LSD on the job is rare. However, in very small doses LSD may be substituted for
methamphetamine or another stimulant.

PCP

Phencyclidine or PCP was originally compounded as an anesthetic for large animals.
Because of its unpredictability and sometimes frightening side effects, its veterinary use
was discontinued.

PCP, often called angel dust, comes in both a liquid and powder form. Most often a liquid, it
has a strong ether-like odor and is kept in small, dark bottles. PCP is typically applied to a
tobacco or marijuana cigarette and smoked. Its effects often last for hours. Users refer to
being under the influence of the drug as being dusted.

PCP sometimes causes the eyes to twitch uncontrollably, one vertically and the other
horizontally. Overdose may result in convulsions, coma, and death.

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11.6.6 MARIJUANA

After alcohol, marijuana is the second most common drug of abuse in the workplace. In
small quantities, marijuana produces effects similar to those of alcohol, and it is often
substituted for alcohol by recovering alcoholics. In larger doses, marijuana can cause
hallucinations, memory loss, and lethargy.

When two people share a single marijuana cigarette (which takes about seven minutes), the
effect is much that same as if they had each consumed six to eight mixed alcoholic
beverages. The effect may last two to six hours.

Marijuana, hashish, and hash oil are all derived from the hemp plant, cannabis sativa. The
principle psychoactive component, tetrahydrocannabinol or THC, is retained in the fatty
tissue of the body. Because THC is not easily eliminated, it can accumulate. As a result, the
user becomes less and less tolerant of the drug and steadily requires less of it to achieve the
desired effect. This condition is known as reverse tolerance. Abusers may smoke less, but
they tend to smoke more frequently.

Marijuana found in the workplace may be combined with other drugs to enhance its potency
and salability. Users can never be assured of consistent doses when smoking marijuana, and
the drug is sometimes treated with an opiate or PCP. Abusers can find themselves addicted
physically and psychologically not only to marijuana but also to other drugs that have been
mixed with it. Users describe their state while under the influence of marijuana as being
stoned or buzzed.

Hashish

Hashish consists of the THC-rich resinous material of the cannabis plant, which is collected,
dried, and then compressed into a variety of forms, such as balls, cakes, or cookie-like sheets.
Pieces are then broken off, placed in pipes, and smoked. The Middle East, North Africa,
Pakistan, and Afghanistan are the main sources of hashish. The THC content of hashish
available in the United States has increased significantly over the last decade.

11.6.7 ANALOGUE OR DESIGNER DRUGS

An analogue, also known as a designer drug, is a synthetic preparation with effects and
characteristics similar to those of a natural substance. Analogues are developed in
laboratories but, being different in formation from the substance they imitate, are not
initially classified as controlled substances—even though the imitated substance may be.
Many analogues are much more powerful than the imitated or natural substance; some have
led to deaths from overdose. Under provisions in the Controlled Substance Act, the U.S.
attorney general can institute emergency scheduling of analogue substances once they have
been seized and their properties confirmed (21 USC 813).

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11.6.8 PRESCRIPTION DRUGS

Prescription drugs are frequently abused in the workplace. Those most often abused are
stimulants and sedatives. They may be prescribed by physicians but then overused or contin-
ued when no longer needed. Physical or psychological dependency may develop. If the user
can no longer obtain the drug legally, he or she may resort to illegal sources or substitute
another drug for it. Employees who sell these drugs at work usually think they are doing their
friend or coworker a favor.

The most common prescription drugs sold at work belong to the family of drugs known as
benzodiazepines, which are depressants designed to relieve anxiety, tension, and muscle
spasms. Librium, Xanax, and Valium are some of the more common benzodiazepines found in
the workplace.

Given the millions of prescriptions written for benzodiazepines, relatively few individuals
increase their dose on their own initiative or engage in drug-seeking behavior. Those who do
often maintain their supply by getting prescriptions from several doctors, forging prescrip-
tions, or buying diverted pharmaceutical products on the illicit market.

Abuse is associated with adolescents and young adults who take benzodiazepines to obtain a
high. This intoxicated state results in reduced inhibition and impaired judgment. Employee
abusers also frequently mix prescription drugs with alcohol, thus compounding the effect of
the drug. Mixing benzodiazepines with alcohol or another depressant can be life-threatening.

Abuse of benzodiazepines is particularly high among heroin and cocaine abusers. A large
percentage of people entering treatment for narcotic or cocaine addiction also report abusing
benzodiazepines.

Flunitrazepam (Rohypnol) is a benzodiazepine that is not manufactured or legally marketed in
the United States but is smuggled in by traffickers. Known as “rophies,” “roofies,” and “roach,”
flunitrazepam gained popularity among youth as a party drug. It has also been used as a date
rape drug, placed in the alcoholic drinks of unsuspecting victims to incapacitate them and
prevent resistance from sexual assault. Often, victims are unaware of what happened to them
and do not report the incident to authorities. Because of its effects, flunitrazepam is not often
used in the workplace but is sometimes sold there.

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11.7 ADDICTION AND CHEMICAL DEPENDENCY

11.7.1 ADDICTION

Addiction is the disease of compulsion. One may be addicted to or by anything. Most often,
however, one thinks of addiction as the uncontrollable, repeated use of a substance or
performance of a behavior. In the case of substance abuse, the addict often becomes
addicted not only to the effects of the drug but also to the social behaviors surrounding it
(including the rituals for obtaining, preparing, and using it).

Addiction progresses through three stages:
x Stage One. The first stage is characterized by an increased tolerance to the drug, occa-
sional memory lapse, and lying about how much and how often it is used. Supervisors,
friends, and family members begin to become concerned. They notice behavior
changes and a reduced interest in friends, family, and job.
x Stage Two. The second stage is characterized by increases in rationalization, more fre-
quent lies, unreasonable resentment (particularly of supervision and management),
suspiciousness, increased irritability, and remorse. Abusers often plead for forgiveness
and promise managers and family members that they will change. The change,
however, is increased isolation, greater irritability, and more rationalization.
x Stage Three. In this final stage, use becomes an obsession. Use is no longer a
behavior— it is a destructive way of life. Frequent memory loss, unusual on-and off-
the-job accidents, unexplained absences, and on-the-job impairment are common.
Paranoia, depression, and anger also begin to set in. Problems may escalate with the
law, at home, and at work, which in turn may affect the abusers’ productivity,
performance, and continued employment. Left unmanaged, this stage is frequently
terminal.

As the addiction progresses, it takes more and more away from the addict. In many ways the
addict becomes a dues payer. The drug addict or alcoholic pays the following prices:

x impaired driving arrests and convictions
x hangovers and blackouts
x dysfunctional relationships
x confrontations with family, friends, and employers
x disciplinary actions
x demotions
x terminations
x loss of freedom (through imprisonment)
x bodily injury and death

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Addictions are treatable. In some instances, addiction can be broken without help. However,
in most cases professional help is required. That help may be available through the
organization’s employee assistance program or any number of public programs. The
following are some U.S. examples:

x National Drug Information and Referral Line, 800-662-HELP
x National Council on Alcoholism and Drug Dependence, 800-NCA-CALL
x Narcotics Anonymous, 818-780-3951
x Food Addiction Hotline, 800-872-0088
x National Council on Problem Gambling, 800-522-4700

11.7.2 CHEMICAL DEPENDENCY

Chemical dependency is an integral component of addiction. It is the physiological craving
brought on by chemical changes in the body. These changes are both mental and physical.
Substance abusers experience a craving for the drug relieved only by the consumption of it.
People who are chemically dependent may lose all rationality and do anything to obtain their
drug.

Repeated use of a drug can also lead to tolerance. As the body becomes accustomed to the
effects of the drug, progressively larger doses are required to achieve the desired effect.

Abstinence or drug deprivation usually results in painful physiological responses collectively
known as withdrawal. Withdrawal is the result of the body’s attempt to chemically adapt in
the absence of the drug. It may be painful and sometimes very violent. Symptoms may
include irritability, vomiting, tremors, sweating, insomnia, and convulsions.

11.7.3 FUNCTIONAL ABUSERS

Addiction and chemical dependency manifest themselves in various ways. Sometimes
abusers appear to be able to manage their dependency. However, if the drug use is obsessive,
they may require the drug just to function “normally.” In that case, they are called functional
abusers. In many ways functional abusers look like everyone else. They keep steady jobs,
work regular hours, have families, and appear happy. However, they lead two distinct lives—
one seen, the other secret.

These abusers usually use drugs every day. On the job they appear to contribute and be
productive. However, when they are deprived of their drug, they are entirely different people.

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11.7.4 DENIAL

Denial is the condition or state of mind in which people refuse to believe or consciously
acknowledge that their behavior is harming them and those around them. Abusers in denial
rationalize that their behavior is acceptable and minimize the adverse impact of their
conduct.

They deny that their involvement with drugs is affecting their health, job, and family. They
deny the existence of a relationship with their drug of choice and the ever-escalating cost of
that relationship. Abusers in denial say (and often believe) such statements as the following:

x I can quit anytime.
x It doesn’t affect me like other people.
x What I do on my own time is my own business.
x I’ve never hurt anybody.
x I don’t use enough to become addicted.
x It doesn’t affect my work.
x My wife (or husband) doesn’t care.
x I can handle it.

Friends and coworkers may also be in denial. They usually deny the abuser has a problem. If
they do admit it, they rationalize that the problem is temporary or even justified. Denial by
friends and coworkers may encourage the abuser to continue by suggesting that the behavior
is normal, acceptable, or even expected. An abuser who is supported by friends in denial will
not accept the advice of his or her spouse. The spouse, then, is viewed as abnormal, and
continued involvement in drugs is seen as a natural response to the problem at home. Naive
friends may even discourage therapy, treatment, or abstinence.

Supervisors, managers, and even organizations also engage in denial. Supervisors and
managers sometimes deny that an employee has a problem even in the face of obvious
proof. Organizations in denial fail to create sound substance abuse policies, fail to enforce
the policies they have, and fail to respond to workplace incidents involving substance abuse.
Managers in denial make statements like these:

x We don’t have a drug problem here.
x If we had a drug problem, we would see it.
x We’re only concerned about the dealers, not the users.
x We know a few employees smoke pot on lunch break, but what is the harm in that?
x If we enforced our policies, we couldn’t get anybody to work here.

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x This industry doesn’t have those kinds of problems.
x Those kinds of people don’t work here.

Out of fear and unwillingness to confront the truth, organizations in denial deny the abuser
the help he or she needs. In doing so, they participate in the progression of the abuser’s
disease and the ruin of some of their most important employees.

11.7.5 ENABLING

Enabling consists of consciously or unconsciously allowing or encouraging the destructive
behavior of others. Enabling often extends from denial. The enabler’s actions shield the
abuser from experiencing the full impact and consequences of substance abuse. The enabler
helps maintain everyone’s delusion that the abuser is fine and does not have a problem.

Family members enable when they call in sick for the abuser, make excuses to their bosses
for them, and lie to protect them from discipline. Such behavior may seem kind and
protective, but it feeds the abuser’s rationalizations and allows him or her to continue in
denial and abuse.

Family members also enable when they forgive. Promises and commitments by the abuser
are continuously broken and become a pattern. Enablers come back for more.

Supervisors and managers enable also. They cover up for the abuser at work. They accept the
abuser’s excuses for attendance problems and weak performance. They enable when they
believe an abuser’s rationalizations, such as the following:

x I have a lot of problems at home.
x It will never happen again.
x I can handle it. Just give me more time.
x I’m not the only one who has problems around here.
x I promise …

Most people find it easier to enable abusers than to confront reality. Dealing with difficult
employees and the problems they bring to work is unpleasant and even frightening.
Managers and supervisors may doubt their own judgment and worry about how their actions
might affect their careers. Abusers may use those worries to their advantage.

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Supervisors and managers should do the following:

x Know and understand their organization’s substance abuse policy and how it is to be
enforced.

x Know the symptoms of substance abuse and when to get help.
x Accurately document employee performance.
x Recognize enabling behaviors and stop them when they occur.
x Communicate their expectations and hold employees accountable.
x Document their efforts and results.
x Communicate with upper management.

Breaking the cycle of enabling requires honest confrontation of the problem.

11.7.6 CODEPENDENCY

Codependency is another destructive behavior common in the workplace. People are
codependent when they allow the behavior of another to overshadow their own values and
judgment. Codependency consists of not standing up for what one knows is right. The
resultant dynamic virtually assures the destruction of the relationship.

Those who are codependent typically

x feel they have to do more than their fair share of the work to keep the relationship
going,

x are preoccupied and consumed with a partner’s or coworker’s chemical dependency
problem,

x are afraid to express their feelings about the abuser,
x accept the abuser’s inability to keep promises and commitments, and
x fear disciplining an employee out of concern that the employee will leave and have to

be replaced.

Codependency involves such feelings as anger, isolation, guilt, fear, embarrassment, despair,
and loss of control. For fear of rocking the boat, they may provide the abuser with a support
mechanism to continue substance abuse. Codependents become rescuers, caretakers, com-
plainers, and adjusters. They also sometimes become overachievers in an attempt to be a
role model for the abuser. At other times they may actually join the abuser in his or her
substance abuse.

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11.8 Role of Supervisors and Managers

To avoid codependency, supervisors and managers should do the following:

x Focus on performance. Do not allow the manipulative behavior of the abuser to over-
shadow what management knows is right.

x Set limits and boundaries for the abuser. Tolerate only what is acceptable.
x Get help from internal resources, such as the human resources department and the

organization’s employee assistance program (EAP).
x Refer the problem employee to resources that can help.
x Document efforts and results.
x Communicate with upper management.

To be effective, supervisors and managers must understand the intricacies of addiction and
chemical dependency. They should also understand and be able to recognize the destructive
behaviors of denial, enabling, and codependency. Failure to confront those behaviors is
uncaring and cruel.

11.8 ROLE OF SUPERVISORS AND MANAGERS

11.8.1 DRUG-FREE WORKPLACE POLICY

For the creation of a drug-free workplace, a policy is absolutely necessary. The policy must
be practical, functional, and enforceable. It should also be written, effectively
communicated, acknowledged in writing by every employee, and equitably enforced. An
effective policy should do the following:

x State the organization’s objective—to create a drug-free workplace—and explain why a
drug-free workplace is important to all employees.

x State the unacceptability of drug and alcohol abuse at work and prohibit the use, sale,
or possession of controlled substances (as well as the offer to sell them) in the
workplace or while on the clock.

x Define on-the-job impairment.

x Describe how and when employee drug testing will conducted. The policy should
describe what constitutes a positive drug test and state the consequences of failing to
provide a specimen for testing.

x Define what constitutes an infraction of the policy and describe the consequences.

x Recognize that drug problems and abuse are treatable and spell out the availability of
treatment and rehabilitation options.

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11.8 Role of Supervisors and Managers

x Define the function of the organization’s employee assistance program and explain
how to gain access to it.

x Answer any questions that might be asked about substance abuse, the policy, or policy
enforcement.

The policy should avoid the term “under the influence.” Only for alcohol is there a legal
definition of “under the influence.” No such standard exists for the other drugs of abuse.
Thus, proving that an individual is under the influence of anything other than alcohol is not
possible.

Once the policy has been created, the organization should institute an appropriate waiting
period during which to educate the employees. Once the implementation date arrives, supervi-
sors and managers should state their willingness to enforce it. Such communication is one of
the most significant yet least recognized deterrents against employee substance abuse.

More than ferreting out substance abuse and employee substance abusers, supervisors and
managers must monitor performance. They should not be expected to catch employees
using and selling drugs. Instead, they should be expected to evaluate employee performance
and be able to take remedial action when performance is not adequate.

11.8.2 INVESTIGATION AND DOCUMENTATION

Sometimes employees violate company policy. When they do, management must respond
swiftly and effectively. Part of that response is often an investigation of the circumstances and
individuals involved. A workplace investigation is a fact-finding process, ideally separated
from the decision-making process. If such separation is not feasible, the fact finder must not
let any preexisting bias influence his or her findings and conclusions.

An investigation can be simple and informal (for example, confronting the suspected violator
and asking questions) or complicated and formal. Effective investigations must, at
minimum, be fair and impartial, factual and objective, thorough, and well documented, and
they must protect the rights of suspected violators and witnesses.

In addition, workplace investigations must not violate the law, company policy, labor agree-
ments, or anyone’s right to privacy. They must also be confidential. Evidence, findings,
notes, reports, and conclusions should only be shared with those who need to know. Upper
management and the human resources department should always be involved. Disciplinary
action should only take place after a detailed review of the investigation’s findings by
qualified management. Frequently, the findings of a workplace investigation do not call for
discipline. In such cases, the most appropriate response for supervisors and managers is
intervention.

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11.8 Role of Supervisors and Managers

11.8.3 EMPLOYEE HOT LINES

In the wake of the corporate scandals of the late 1990s and early 2000s, organizations have
scrambled to provide new ways to receive employee reports of misconduct. Still, fear of
retaliation often impedes employees from making a report, even anonymously, though the
implementation of modern anonymous incident reporting systems has curbed some of that
fear. Open-door policies are not enough to ensure that an organization gains the information
necessary to prevent and detect employee substance abuse.

Legal Mandates

In the United States, the Sarbanes-Oxley Act of 2002 requires all publicly traded companies
to establish a confidential means by which questionable accounting or auditing activities can
be reported anonymously by employees, customers, and vendors. Organizations are further
charged with ensuring proper “receipt, retention, and treatment of complaints.” Employers
can use these same tools to obtain information about employee substance abuse.

A challenge to multinational businesses is that hot lines, required in some countries, may be
illegal in others. These conflicting legal mandates likely reflect cultural attitudes toward
whistleblowers. European countries have historically felt uneasy about employees who
anonymously report the behavior of others.

Early Warning Systems

Anonymous employee hot lines allow for all types of employee misconduct to be detected
sooner than they might otherwise be, enabling organizations to address the problems before
significant losses accrue and their reputation is tarnished. Human resources officers and
security managers have quickly realized the benefit of receiving reports of employee miscon-
duct and substance abuse through workplace hot lines. The cost of implementing an anony-
mous employee hot line is minimal compared to the potential losses that can be avoided.

Establishment of an anonymous incident reporting solution shows employees that their
concerns are taken seriously and that the organization is committed to ensuring safety and
security for employees. Such a system encourages employees to act when they discover
coworkers behaving inappropriately.

Selecting a System

Outsourcing hot lines provides many advantages. First, Sarbanes-Oxley limits an organiza-
tion’s ability to provide strictly internal reporting mechanisms. Second, reporting system
vendors tend to have better technology for the task. Third, vendors generally employ better-
trained call takers who can collect the data most pertinent to the issue being reported.

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