UNIT 8: POLICIES AND PROCEDURES

In this unit you will learn about:

 Importance of Policies and Procedures. Definitions of policy and procedure and

why a CERT program needs to write down what it will do and how it plans to do it.
 Policies and Procedures for CERT. A review of the key policies and procedures
that a CERT program needs to operate smoothly and effectively.
 Resources for Developing Policies and Procedures. Who needs to provide input
when a policy or procedure is developed with special emphasis on addressing
liability concerns.
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UNIT 8: POLICIES AND PROCEDURES

LEARNING At the conclusion of this unit, the participants will be able to:
OBJECTIVES/  Describe the role of policies and procedures in operating a local
PERFORMANCE CERT program.
OUTCOMES
• Explain why policies and procedures are necessary for
running a successful program.
• Identify policies and procedures necessary for starting and
maintaining a program.
• Identify resources for developing program policies and
procedures.

SCOPE The topics that will be discussed in this unit are:

 Unit Overview
 Importance of Policies and Procedures
 Policies and Procedures for CERT
 Resources for Developing Policies and Procedures
 Unit Summary

ESTIMATED 1 hour
COMPLETION
TIME

TRAINING The instructor begins the discussion of the importance of policies and
METHODS procedures by defining the two terms and explaining that the terms
are sometimes used interchangeably. The instructor explains that
CERT Program Managers should focus not on the terms but on what
the program’s plans are and how they will be implemented. Guidance
for writing policies and procedures is provided. Experienced Program
Managers are given suggestions for how to assess the effectiveness
of policies and procedures.
Next the instructor and the class review and discuss a chart
containing the key policies and procedures a CERT program should
have and what elements they should include.
The final topic is resources for finding and developing policies and
procedures. The instructor provides resources that should be
consulted before developing policies and procedures. The instructor
provides detailed information on developing policy and procedures
that address liability.

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TRAINING Participants record ideas in the Draft Program Plan for what they
METHODS need to research, whom they need to talk to, and any needs that are
specific to their program.
(CONTINUED)

RESOURCES  Community Emergency Response Team Program Manager

REQUIRED Instructor Guide (for instructors)
 Community Emergency Response Team Program Manager
Participant Manual (for participants)
 PowerPoint slides 8-1 to 8-19

EQUIPMENT The following equipment is required for this unit:

 A computer with PowerPoint software
 A computer projector and screen
 Easel pad and easel or whiteboard
 Markers

NOTES A suggested time plan for this unit is as follows:

Unit Overview ....................................................................... 2 minutes
Importance of Policies and Procedures .............................. 15 minutes
Policies and Procedures for CERT ..................................... 17 minutes
Resources for Developing Policies and Procedures ........... 20 minutes
Draft Program Plan: Develop Policies and Procedures ........ 5 minutes
Unit Summary .........................................................................1 minute
Total Time: 1 hour

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UNIT 8: POLICIES AND PROCEDURES

Unit 8: Policies and Procedures

INSTRUCTOR GUIDANCE CONTENT

Unit Overview
Say that a CERT program must have rules for how it
operates. Policies and procedures provide details about
those rules. This unit looks at:
 The importance of policies and procedures
 The most important policies and procedures for a
CERT program
Display Slide 8-1  Some resources for developing policies and
procedures

Unit Objectives
Give the unit’s learning objectives.
At the conclusion of this unit, the participants will be able
to describe the role of policies and procedures in
operating a local CERT program:
 Explain why policies and procedures are necessary
for running a successful program.
Display Slide 8-2  Identify policies and procedures necessary for
starting and maintaining a program.
 Identify resources for developing program policies
and procedures.

Unit Topics
Say that, to meet the objectives, this unit will look at the
following topics:
 Importance of Policies and Procedures
 Policies and Procedures for CERT
 Resources for Developing Policies and Procedures

Display Slide 8-3

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INSTRUCTOR GUIDANCE CONTENT

Importance of Policies and Procedures

Tell participants that there are two terms that Program
Managers will hear. They are:
 Policy
 Procedure
Explain that the terms are sometimes used
interchangeably and it is sometimes confusing to tell the
Display Slide 8-4 terms apart. Provide participants with the following
definitions for clarification:
 Policy: A plan of action that links the organization’s
“vision” and the day-to-day operations
 Procedure: A series of steps the organization will take
to implement a policy
Say that sometimes people also use the term “protocol.”
Functionally it is the same as “procedure.” It describes
the correct way to do something.

Tell participants NOT to focus on the definitions.

The most important thing to remember is this:
A CERT program needs to know what it plans to do and
how it plans to do it. Policies and procedures are
required when there is a need for consistency in day-to-
day operational activities.

Display Slide 8-5

Say that those plans and steps need to be written down.

 They will be the guideposts that the program:
• Uses to operate
• Falls back on whenever there is a question
 They give guidance to staff and volunteers so they
know how to perform the job correctly.

Display Slide 8-6

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INSTRUCTOR GUIDANCE CONTENT

 They help eliminate common misunderstandings by

defining roles and responsibilities and by establishing
boundaries.

Display Slide 8-7

PM, P. 8-3 Refer participants to Writing Policies and Procedures in

the Participant Manual and on the following page in the
Instructor Guide.

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UNIT 8: POLICIES AND PROCEDURES

PM, P. 8-3 Writing Policies and Procedures

Here are the major differences between policies and procedures.

Policies:
 Are general in nature
 Identify an organization’s rule
 Explain why the rule exists
 Tell when the rule applies
 Describe whom it covers
 Show how the rule is enforced
 Describe the consequences of not following the rule
 Are normally described using simple sentences and paragraphs

Procedures:
 Identify specific actions
 Explain when to take actions
 Describe alternatives, if applicable
 Show emergency procedures when the action can’t be taken
 Include warning and cautions
 Give examples
 Show how to complete forms
 Are normally written using an outline format

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INSTRUCTOR GUIDANCE CONTENT

Say that experienced Program Managers need to

periodically ask: Are the policies and procedures still
meeting the program’s needs?

Display Slide 8-8

Give some “signs” that policies and procedures need to

be reviewed and updated:
 An increase in the number of injuries or ineffective
team operations
 More questions on what are “normal operations” or a
feeling of general confusion
 Inconsistent performance of CERT members
Display Slide 8-9  Increase in the stress levels of CERT members
 Complaints about poor performance from the
sponsoring agency, partners, or the community

Explain that the format of policies and procedures is

determined by the program. Whether they are included in
one document or each one is its own document, they
need to be well written and complete.

Display Slide 8-10

PM, Additional Materials Refer participants to the sample policies and procedures
at the end of the unit in the “Additional Materials” section.

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INSTRUCTOR GUIDANCE CONTENT

Before moving on to talk about the policies and

procedures that need to be developed, is there
anything that experienced Program Managers want
to add about the importance of policies and
procedures?

Policies and Procedures for CERT

Say that, over years of experience, Program Managers
have identified the key policies and procedures that a
CERT program needs to operate smoothly and
effectively.

Display Slide 8-11

PM, P. 8-6 to 8-10 Refer participants to CERT Policies and Procedures in

the Participant Manual and on the following pages in the
Instructor Guide.
Review and discuss the first two columns with
participants, Policy/Procedure and Elements to Include.
Say that you will talk about the third column,
Development Resources, later.
As you and the class review each policy in the chart, ask
experienced Program Managers to add any thoughts
they might have.

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UNIT 8: POLICIES AND PROCEDURES

PM, P. 8-6 to 8- CERT Policies and Procedures

10

Policy/Procedure Elements to Include Development Resources

General Policies

Program Membership Qualifications for entering the program Local CERT program
Documentation: application, Sponsoring agency
background check, releases
Minimum activity requirements
Leaving the program

Program Operation Organizational structure (paid and Local CERT program

volunteer) Sponsoring agency
Program activities (disaster response,
public service, community awareness)
Relationship with sponsor

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UNIT 8: POLICIES AND PROCEDURES

Policy/Procedure Elements to Include Development Resources

Training and Education Documentation: registration, training National CERT Program

and exercise plan, evaluation
Local CERT program
Data collected Sponsoring agency
Training requirements (volunteers,
instructors, Program Manager)
Training offered
Training activities (before, during, and
after)
Activities to ensure safety
Credit for CERT Basic Training
completed in CERT program in another
jurisdiction

Uniforms What is issued Local CERT program

What should be worn when Sponsoring agency
How it should be returned

Communications How communication is handled in Local CERT program

emergency and non-emergency Sponsoring agency
situations

Equipment Requirements Local CERT program

Who provides equipment Sponsoring agency
Replacement requirements

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Policy/Procedure Elements to Include Development Resources

Insurance and Liability Requirement to carry health insurance CERT Web site
Liability protections provided and in Local and State government
what situations

Privacy Protection Information collected Local CERT program

What the program does and does not Sponsoring agency
do with the information State government
HIPAA requirements HIPAA

Code of Conduct Expected behavior Local CERT program

Behaviors that are subject to Sponsoring agency
termination
Grievance process

Local and State policies that will Workers’ compensation Local and State government
apply to the CERT program Liability
Local health regulations
Good Samaritan law

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UNIT 8: POLICIES AND PROCEDURES

Policy/Procedure Elements to Include Development Resources

Emergency Response Policies

Credentialing and Identification Requirements (how to obtain, how to Local CERT program
display) Local and State government
Process for acquiring Emergency Operations Plans

Team Activation NIMS and CERT National Incident Management System

(NIMS) www.fema.gov/nims
Self-activation process
Emergency Operations Plans
Directed activation process
Local CERT program
Sponsoring agency

Team Deployment NIMS and CERT National Incident Management System

(NIMS) www.fema.gov/nims
Appropriate behavior once deployed
Team structure Emergency Operations Plans
Local CERT program
On-scene CERT management
Safety concerns Sponsoring agency

Restricted activities
Documentation requirements

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INSTRUCTOR GUIDANCE CONTENT

Resources for Developing Policies and

Procedures
Say that CERT policies and procedures cannot be
developed in a vacuum. They must be developed with
input from the program’s sponsoring agency and
operational partners so that all partners work well
together. They need to be consistent with:
 The sponsoring agency’s needs and procedures
Display Slide 8-12
 The Emergency Operations Plan (EOP) or
Comprehensive Emergency Management Plan
(CEMP), whichever the jurisdiction has
 State and local statutes and regulations

PM, P. 8-6 to 8-10 Point out to participants that the third column of the chart
indicates resources that should be consulted for input
when developing that policy and/or procedure.

Liability
Remind participants that liability has been discussed
previously.
Say that one policy area that is particularly important to a
CERT program is liability. There are risks associated with
taking CERT Basic Training and other training, and with
being a CERT member.
 The CERT training and the CERT program require
Display Slide 8-13 physical activity with the possibility of personal injury.
 Participation in a CERT may lead to exposure to
potentially hazardous conditions.
 A CERT member should only respond within the
scope of his or her training, or there may be serious
consequences.

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INSTRUCTOR GUIDANCE CONTENT

Explain that reducing liability during training, exercises,

and activation should be a prime concern for every
Program Manager.
Offer these tips for Program Managers:
 Keep safety at the forefront, whatever the CERT
activity.
 Become familiar with the regulatory requirements for
volunteers in your State.
Display Slide 8-14
• Virtually all States have laws dealing with liability.
Program Managers need to conduct some
research to ensure that the program is compliant.

 Visit the CERT Liability Guide at

www.fema.gov/community-emergency-response-
team-liability-guide.
• Review the suggestions for reducing liability
during training (instructors, participants,
classroom/exercise area, materials).
• Review the suggestions for reducing liability
during exercises.
• Review the suggestions for reducing liability
during team exercises.

 Visit the Web site of the Legal Information Institute,

U.S. Code Collection, Limitation on Liability for
Volunteers at
https://www.law.cornell.edu/uscode/text/42/14503
 Visit the Web site of Missouri Department of Public
Safety, State Emergency Management Agency at
http://sema.dps.mo.gov/

Display Slide 8-15

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INSTRUCTOR GUIDANCE CONTENT

PM, Additional Materials Refer participants to the paper Citizen Corps/Community

Emergency Response Team (CERT) Liability at the end
of this unit in the “Additional Materials” section. This
paper was compiled by Teresa L. Anderson, then Deputy
Director of Brookings County (SD) Emergency
Management. It is based extensively on the CERT Web
site information.
Explain that the information in this document should be
seen only as suggestions and ideas on ways to manage
liability concerns and in no way is a complete list of ways
to manage liability. Not all suggestions and ideas pertain
to each program. They should be used for informational
purposes only.

Emphasize this point. Tell participants that, in all cases, the local jurisdiction’s
attorney or legal counsel should be consulted about
documents such as a liability waiver or hold harmless
agreement that the CERT program will use.

Is there anything that experienced Program

Managers want to add about addressing risk
management and liability concerns, particularly in
terms of policies and procedures?

Where to Find Policies and Procedures

Explain that, while policies and procedures are essential,
they don’t need to be developed from scratch. Many
already exist in another CERT program or in one of the
entities that has authority over the CERT program.

Display Slide 8-16

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INSTRUCTOR GUIDANCE CONTENT

Ask experienced Program Managers:

Where have you found sample or actual policies or
procedures to use when you were developing the
ones for your program?

Display Slide 8-17

Encourage Program Managers, both new and

experienced, to talk with others in the class about
sharing their policies and procedures.

Activity: Draft Program Plan: Develop Policies and

Procedures
Purpose: This activity allows participants to record ideas
for developing policies and procedures for their own
program.

Display Slide 8-18

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INSTRUCTOR GUIDANCE CONTENT

Instructions: Follow the steps below to conduct the

activity.

1. Refer participants to the Draft Program Plan in Unit 1

of the Participant Manual and the Instructor Guide.
2. Ask participants to enter ideas in the eighth section,
Policies and Procedures, individually. There are two
lists for everyone to complete and a third section for
experienced Program Managers.
a. (Experienced Program Managers): Do your
policies and procedures need to be revised?
b. (Everyone) Things I need to research and people I
need to talk to before we develop (revise) policies
and procedures
c. (Everyone) Thoughts I had about the policies and
procedures we need to develop (e.g.,
policies/procedures or elements that are specific
to our program)

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UNIT 8: POLICIES AND PROCEDURES

INSTRUCTOR GUIDANCE CONTENT

Unit Summary
Tell participants that this unit has looked at policies and
procedures:
 Importance of Policies and Procedures
 Policies and Procedures for CERT
 Resources for Developing Policies and Procedures

Display Slide 8-19

Do you have any questions about anything covered

in this unit?

Transition
The next unit will discuss how to evaluate a CERT
program.

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Additional Materials
Two samples of policies/procedures:

 City of Grand Island (NE), CERT Policies and Procedures [all in one
document (6 pages)]
 Rowlett (TX) CERT Uniform Policy [single document (4 pages)]

Liability paper:

 Citizen Corps/Community Emergency Response Team (CERT) Liability

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