Developing

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VFIS - Developing and Implementing Standard
Operating Procedures/Guidelines is used as the
template for this educational presentation. For
more information contact VFIS Training and
Education at 1-800-233-1957
Developing Implementing SOPs/SOGs
Chad Abel Chief Of Training Fishers Fire
Department
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Program Overview

• Consider utilizing Standard Operating Guidelines
  (SOGs) as well as Standard Operating Procedures
  (SOPs)
• Establish a procedure within the organization for
  the development, adoption, implementation,
  enforcement, and refinement of the SOPs/SOGs.
• Differentiate between administrative subjects and
  operational matters.

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Program Overview

• Develop the guidelines for the majority of
  members of the organization. (80-20 Rule)
• Concentrate efforts on preparing procedures and
  guidelines where there is a legal requirement,
  liability exposure, or a unit of government has
  regulatory responsibility for the subject.
• Develop the procedures and guidelines as a
  proactive effort before a serious situation or
  problem develops.

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Program Objectives

• Define the importance of having standard
  operating procedures or guidelines
• Identify and illustrate various formats,
  subjects, and techniques for preparing and
  implementing standard operating procedures or
  guidelines.
• Identify specific subjects that pose a high
  degree of liability, safety hazards, or potential
  exposure to both the organization and/or
  individual members and require SOPs/SOGs.

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Program Objectives

• Define how standard operating procedures or
  guidelines can be effectively adopted,
  implemented, maintained, and periodically
  reviewed and refined.
• Respond to specific questions that participants
  may have regarding various aspects of standard
  operating procedures and guidelines.
• Construct an SOP/SOG for participant's
  organization.

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Examples
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SOPs vs. SOGs

• Not All Circumstances can be Anticipated
• SOPs Do Not Encourage Intelligent but
  Discriminatory Application
• SOPs can be Used Against Department
• SOGs Infer Flexibility of Application
• SOGs More Effective Managerial Technique in
  Certain Situations

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Policy, Procedure, Guideline

• Policy
• a) a definite course or method of action selected
  from among alternatives and in light of given
  conditions to guide and determine present and
  future decisions.
• b) a high-level overall plan embracing the
  general goals and acceptable procedures of an
  organizational body.

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Policy, Procedure, Guideline

• Procedure
• a) a particular way of accomplishing something or
  of acting.
• b) a series of steps followed in a definite
  order.
• c) a traditional or established way of doing
  things.
• Guideline
• a) an indication or outline of policy or conduct
  intent with variables.

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Rules Regulations

• Clear and Concise Explanation
• What can you do?
• Process on how to accomplish the objective(s).
• Dos
• Donts

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• What is one of the most important things that
  your firefighters want from you?

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Why are SOP/SOGs Necessary ?

• All Personnel Understand What is Expected or
  Required.
• Intended Compliance with all Necessary Laws and
  Regulations is Identified.
• Planned and Agreed Upon Actions.

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Why are SOP/SOGs Necessary ?

• Resource Document Upon Which to Base Training.
• Required Actions Have Been Anticipated.

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All Personnel Understand What is Expected or
Required

• Emergency Incident Policies, Procedures, and
  Standards
• Station, Apparatus, and Equipment Operational
  Requirements
• Training Schedule, Expectations, and
  Requirements
• General Conduct, Requirements, and Obligations
  of Members (Employees)

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Intended Compliance With All Necessary
Requirements

• Compliance With Organizational Rules Procedures
• Compliance With All Federal / State Laws and
• Requirements (EEO, ADA, OSHA, FLSA, HIPPA)
• Compliance With All Applicable Financial
  Requirements

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All Personnel Understand What is Expected or
Required

• Requirements for Various Classes of Members
• Constitution / By-Laws Provisions are Known and
  Followed
• Attendance / Participation Requirements are
  Specified
• Qualifications for Office are Known and Understood

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Intended Compliance with all Necessary
Requirements

• Compliance with Organizational Rules
  Requirements
• Compliance with all Federal, State (i.e. DOH),
  and Local Laws and Requirements
• Compliance with Applicable OSHA, NFPA and Other
  Recognized Standards

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Resource Document Upon Which to Base Training

• All Personnel can be Informed and Trained to
  Learn the SOP/SOGs.
• Crews and Units can Actually Practice Applying
  the SOP/SOGs to Specific Buildings and Hazards.
• Such Training / Practicing will Identify Possible
  Problems or Unforeseen Situations with the
  SOP/SOGs in a Non-Emergency Setting.

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Required Actions Have Been Anticipated

• Critical Functions of an Incident can be
  Identified and Assigned to the Most Logical Unit
  or Crew.
• Secondary Responsibilities and Alternative
  Functions can be Assigned Depending Upon the
  Individuality of the Incident..
• Freelancing and Independent or Conflicting
  Actions are Eliminated or at Least Minimized.

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Legal Regulatory Implications

• Safe Work Practices
• Standard Operating Procedures (Guidelines).
• Work Policies.
• Documented Training Programs.
• Regulatory Standards
• Personnel Standards Training
• Operational Procedures at Emergency Incidents
• Apparatus Equipment Standards

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Administrative Requirements

• What responsibility does our organization have if
  a member of the public brings a small amount of
  an unknown chemical compound to the station for
  disposal?

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Administrative Requirements

• What responsibility does our organization have
  when an abandoned baby is dropped off at the
  station?

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Operational Reasons

• Training required to operate at emergency
  incidents
• Responsibility to report to the incident
  commander when arriving on a scene
• Responsibility of members riding in a specific
  seat in the vehicle
• Personnel accountability at an incident

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Operational Reasons

• Responsibilities / functions to be accomplished
  at an incident
• Qualifications of personnel to be designated as
  drivers/operators
• Communications procedures at incidents
• Incident Command procedures to insure control

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Conducting a Needs Assessment

• Activity
• What SOPs/SOGs do we need?
• Do the current SOPs/SOGs meet our needs?

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Conducting a Needs Assessment

• Step One Develop organizational support for
  conducting the needs assessment
• Step Two Develop a plan of action
• Step Three Develop familiarity with existing
  SOPs/SOGs.
• Step Four Gather information on internal factors
  affecting SOPs/SOGs.

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Conducting a Needs Assessment

• Step Five Consider external factors affecting
  SOPs/SOGs
• Step Six Develop a list of required SOPs/SOGs
  based on the needs identified in Steps four and
  five.
• Step Seven Analyze existing SOPs/SOGs based on
  the information gathered in prior steps.
• Step Eight Create a formal needs assessment
  document.

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Standard of Practice

• Laws
• Regulations
• Standards
• Local needs

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Development Process

• One of the initial steps in putting together an
  SOP/SOG manual is to compile a glossary.
• You define what the terms in your guidelines
  mean.
• Get out your dictionary and define what you mean
  by
• May
• Will
• Shall
• Must

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Formulation Procedure

• Inform the membership as to the need to develop,
  adopt, and implement SOPs/SOGs and how the
  process is undertaken.
• Build the development team. Commit to utilizing
  task forces, committees or guideline groups
  involving the members of the organization.

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Formulation Procedure

• Establish Team Procedures
• Gather Information and Identify Alternatives
• Divide the overall SOP/SOG manual into manageable
  sections. Assign key subjects to various task
  forces and/or committees.
• Provide each committee with an overall outline of
  the manual and resource information that has been
  gathered.

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Formulation Procedure

• Anyone can eat an elephant if you take it one
  bite at a time. Determine the area of greatest
  need and work on that area.

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Formulation Procedure

• Provide each committee with an overall outline of
  the manual and resource information that has been
  gathered.
• Analyze and Select Alternatives
• Provide organizational support. If the various
  teams/committees do not have resources available,
  provide the necessary assistance.

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Write the SOP/SOG

• Level of detail
• Clarity and conciseness
• Target audience
• Flexibility and ambiguity

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Formulation Procedure

• Review and Test the SOP/SOG
• Ratify and Approve the SOP/SOG
• If a SOP/SOG is developed and adopted, but is
  found that it does not work as designed, do not
  hesitate to change the SOP/SOG.

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Formulation Procedure

• When several task forces / committees have
  completed their initial assignments, do not
  hesitate to break them up and reassemble them
  into different task forces / committees.

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Formulation Procedure

• Review, adopt, and implement sections as they are
  developed. Do not wait for the entire SOP/SOG
  manual to be completed before implementing the
  specific SOPs/SOGs.

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Formulation Procedure

• Chart the progress of the overall effort. Keep it
  in front of everyone in the organization.

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Subjects and Organization

• Divide the SOP/SOG manual into an administrative
  section and an operational section.
• The administrative section should include the
  aspects of the organization's formulation,
  financing, membership/employee relationships, and
  non- operational aspects of facilities and
  equipment.

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Subjects and Organization

• The operations section should include the aspects
  of the organization as they apply to incidents,
  programs in support of operational delivery, and
  related program deliveries.
• A SOP/SOG manual may take one of several formats.
  While a standardized format needs to be
  selected, the format itself is not as important
  as the existence of SOPs/SOGs and the content
  included.

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Alternative Formats

• General Orders
• Standard Operating Manual
• Guideline Manuals
• Multiple Documents

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General Orders

• Military in Origin and Nature
• Advantages
• Each Order Stands Alone
• Relatively Easy to Up-Date
• Disadvantages
• No Reasons or Explanation Given
• Generally Sequential, Not Functional

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Standard Operating Manual

• Organized and Reads Like a Book
• Advantages
• Usually Functionally Organized
• Easier to Read / Corporate Format
• Disadvantages
• Requires Publishing as an Entity
• Difficult to Up-Date / Change

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Guideline Manuals

• Organized as a Group of Subjects / Elements
• Advantages
• Each Guideline Stands Alone
• Relatively Easy to Up-Date
• Explanation Provided for Each Guideline
• Disadvantages
• Up-Dating Requires Cross Checking
• Distribution Can Be Difficult

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Multiple Documents

• General Administrative Guideline (GAG)
• General Operational Guideline (GOG)
• General Informational Guideline (GIG)

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Administrative Subjects

• Organization
• Finance
• Personnel
• Facilities and Equipment

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Operational Subjects and Issues

• Operations
• Specialized Program Deliveries
• Facilities and Equipment
• Training Requirements and Procedures
• Safety Procedures

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Safety and Liability Considerations

• Incident Operations
• Apparatus Driving Requirements
• Driving Emergency Vehicles

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Adoption / Implementation

• Formal vs. Informal
• Recommended Steps
• Determine your requirements
• Insure SOPs/SOGs comply with laws rules
• Identify process used if not specified in
  organizations by-laws

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Adoption / Implementation

• Who Adopts ?
• SOPs/SOGs should be adopted by the administrative
  division of the organization.
• The administrative SOPs/SOGs adopted by the
  administrative division and the operational
  SOPs/SOGs adopted through the operational
  division of the organization.
• The operational division shall adopt the
  SOPs/SOGs of the organization.

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Placing SOPs/SOGs into Operation

• General Operational Guideline

GENERAL INCIDENT COMMAND PROCEDURES
Adopted Due for Review Effective
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Placing SOPs/SOGs into Operation

• When notifying personnel, make sure all personnel
  are aware of the upcoming change in procedure.
• When adopting SOPs/SOGs, include the publication
  and effective dates.
• Schedule a training session between the time a
  SOP/SOG is adopted and the time it is to take
  effect.
• Consider adopting portions of a SOP/SOG manual at
  scheduled intervals.

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Placing SOPs/SOGs into Operation

• Whenever possible, the methods for performance
  monitoring should incorporate objective measures
  of job performance.
• If a SOP/SOG is not working once adopted and in
  operation, do not ignore its existence.

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Periodic Review

• When the SOPs/SOGs are adopted, have a scheduled
  review date identified on the SOP/SOG, i.e.,
  "Scheduled for Review on 1/1/02."

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Periodic Review

• Establish an operating procedure for reviewing
  and revising SOPs/SOGs, i.e., someone in the
  organization should have the specific
  responsibility for monitoring SOPs/SOGs.

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Periodic Review

• When an SOP/SOG is either not working, needs to
  be changed, or is in conflict with another
  provision, immediately have it pulled, revised,
  and re-adopted. Remember to change the scheduled
  review date.

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Review Process

• At the beginning of the operational year, appoint
  an SOP/SOG Review Committee.
• Make sure the committee understands its job and
  responsibility and is internally organized
  (chairperson, secretary).
• Establish periodic dates, i.e., quarterly, for
  meeting with the administration.
• Tie SOG review to every training

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Review Refinement

• January 31 / April 30 / July 31 / October 31
• Issue date for any revised or new SOPs/SOGs for
  the organization. Effective date shall be 30
  days hence (3/1 6/1 9/1 12/1).
• First Training Session of February/ May/ August/
  November
• Either a portion or the entire training session
  is devoted to a review of the new or revised
  SOPs/SOGs. If a very important or complex
  SOP/SOG is issued or extensively revised,
  additional or special training sessions can be
  scheduled as necessary.

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Review Refinement

• February 28 / May 31 / August 31, November 30
• All SOP/SOG manuals are updated and everyone is
  reminded that SOPs/SOGs may have been revised or
  issued.
• March 1 / June 1 / September 1 / December 1
• New and/or revised SOPs/SOGs are effective.

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External Sources of Assistance

• Literature Review
• Professional and Trade Organizations
• Federal, Provincial, and State Agencies
• Neighboring emergency service organizations
• Accreditation Manuals
• Insurance Organizations
• The Internet and the World Wide Web

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Internal Resources

• Managers of corporations located within the
  community
• Officers / Staff of community organizations
• Educators from the school system, community
  college, or university
• Post-Incident Analysis
• Exercises and Drills
• Surveys and Interviews

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FAQs

• Do I have to follow other standards ?
• What about the documents published by OSHA, NFPA,
  and other standards ?
• How do I operate under outdated SOPs/SOGs ?
• How do you inform all members of the SOPs/SOGs ?

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SOP/SOG Program Activity
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Program Summary

• Consider variance of SOPs and SOGs.
• Involve your TEAM!
• Establish a procedure for adoption.
• Differentiate between administrative and
  operational matters.
• Develop SOPs/SOGs for the majority (80-20).

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Program Summary

• Concentrate efforts where it is important.
• Develop SOPs/SOGs as a pro-active effort.
• Train Before Implementation
• Keep SOPs/SOGs up to date ! ! !

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Questions
THANKS FOR SHARING YOUR TIME !!