SOPs How to Write

Guide to Writing Standard Operating Procedures
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Contents
• Why Write Standard Operating Procedures (SOP)?
• Ten Reasons for Writing an SOP
• What is an SOP?
• What to Include in an SOP
• Writing a Short-form SOP
• Writing SOPs for Use by More Than One Person
• Ten (More) Reasons for Writing an SOP
• Ten Tips to Keep in Mind When Writing SOPs
Why Write Standard Operating Procedures
An SOP is a set of instructions or steps someone follows to complete a job safely, with
no adverse impact on the environment (and which meets compliance standards), and in
a way that maximizes operational and production requirements. Write SOPs for any
processes an individual or group performs: unloading raw materials, manufacturing
products, shutting down an operation, repairing a faulty electrical circuit, working with
patients in a hospital, working in food service, performing activities in a firehouse, and
thousands of other workplace activities.
(This is written as if applicable to industry, but anyone in any workplace can adapt the
ideas easily. Please do so.)
For many years, Quality Assurance people at large companies have been writing
operating guidelines or procedures, called Standard Operating Procedures (SOPs) to help
workers produce quality products that help the company compete in the market place.
For an idea of how little emphasis is placed on SOPs in your workplace, consider who
writes them. In many companies, SOPs are written by people who design or "engineer"
manufacturing, and, sometimes, environmental control processes but who have no
experience with safety and health.
SOPs also are written by people who supervise activities such as loading, unloading and
transferring materials; maintenance; operating vehicles, cranes and similar machinery;
mixing or producing chemical substances; performing audits; and so on. Lacking a clear
understanding of an operation, these people can make mistakes when writing SOPs no
matter how hard they try.
In some companies, when technicians and supervisors don't have time to write SOPs,
they hire student summer interns to write them. Hiring such help is better than nothing,
but lack of experience makes this solution an obvious error. In some rare cases,
companies ask workers to write SOPs, however workers rarely have the comprehensive
knowledge needed to write a good SOP. They need help. In the end, no matter who
writes an SOP, someone in the workplace unofficially (and sometimes officially) alters
the way the job is done and doesn't amend the SOP.
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Ten reasons for writing SOPs:
1. To provide individuals who perform operations with all the safety, health,
environmental and operational information required to perform a job properly
2. To protect the health and safety of employees, and to protect the environment
3. To protect the community
4. To ensure that operations are done consistently in order to maintain quality
control of processes and products
5. To ensure that processes continue and are completed on a prescribed schedule
6. To ensure that no failures occur in manufacturing and related processes that
would harm employees or anyone in the surrounding community
7. To ensure that approved procedures are followed in compliance with company
and government regulations
8. To serve as a training document for teaching users about a process
9. To serve as an historical record of the how, why and when of steps in a process
for use when modifications are made to that process and when a SOP must be
revised
10. To serve as an explanation of steps in a process that can be reviewed in incident
investigations that seek to improve safety practices and operating
What is a SOP?
An SOP is a set of instructions or steps someone follows to complete a job safely, with
no adverse impact on the environment (and which meets compliance standards), and in
a way that maximizes operational and production requirements. Write SOPs for any
processes an individual or group performs: unloading raw materials, manufacturing
products, shutting down an operation, repairing a faulty electrical circuit, and thousands
of other workplace activities.
Who should you write an SOP for?
Write different SOPs for people who perform jobs by themselves, for people who work
together on a job, and for people who supervise other people doing a job. The primary
audience for an SOP, however, is the person who will perform a particular job. Consider
such factors as the age, education, knowledge, skills, experience and training of the
person who will perform a job, and the "social culture" or work history within which the
individual works.
Managers, government safety inspectors, environmental regulators, lawyers, engineers
and other planners, vendors, contractors and customers can also use these SOPs.
Sometimes the same SOP material is used to write a description of how a job is done--a
process, which can be useful if you must talk to the media and public.
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When should you write an SOP?
Write (and test) SOPs for all jobs before a job is begun. Test SOPs before putting them
into final application. Revise them (1) after an on-the-job trial and (2) any changes or
modifications are made to equipment, machinery, buildings or other structures, or
procedures within the immediate work area that might affect performance of a job or
the "environment" in which it is performed. For example, if a change in storage location
of toxic chemicals is made, then an SOP for forklift truck operation in the vicinity of the
chemicals should be reviewed and revised, and all personnel should be trained about the
revisions.
You can't write SOPs for every job overnight, so set priorities. Write SOPs when new
equipment or processes create new work situations. Write or rewrite SOPs when new
information suggests benefits from modifying work behaviors to improve performance.
Incident investigations might should you that safety and environmental guidelines are
insufficient, incomplete, or even missing for certain jobs or parts of jobs.
Systematically update all safety and environmental guidelines by asking workers to
evaluate existing SOPs, work practice guidelines, and other documents that contain
work, safety and environment guidelines. Then rank these jobs as to which should be
revised first through last. These procedures could be revised, perhaps by the groups
that ranked them.
How long should an SOP be?
SOP writers often don't know how long to make an SOP. Sometimes the writers are
pressured by operations supervisors to "make it short" rather than comprehensive.
Clearly these supervisors don't understand the purposes and audiences an SOP serves.
SOPs can be either long, short or both. Because SOPs are used for a variety of reasons
and audiences, they first must be comprehensive, which means they are as long as
necessary to cover a job. For long SOPs or for jobs performed infrequently, it pays to
have the long-form SOP handy. Once an employee is familiar with a process, he or she
will most likely be able to perform a series of short SOP steps from memory. These can
be written as a short-form SOP. If someone is going to use a short-form SOP, it should
be prepared after a full long-form SOP has been tested and approved and should be
handed out after an employee has passed the appropriate training.
Keep in mind that the average person is uncomfortable following a long list of steps for
the following reasons:
• A long list looks formidable, which makes the task daunting and tedious for many
people who then don't want to perform the steps.
• A long list is difficult for your eyes to follow. You forget where you are on the
list, which can lead to mistakes.
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• A long list scares people and makes them nervous or anxious to "get it over
with."
• A long list can hide steps that should be performed with caution.
• A long list is difficult for writers to write while ensuring that the sequence is
clear.
The solution to SOPs that involve a long list of steps is to break up the steps into logical
sections of about 10 steps per section, such as "Getting ready for the process," "Initial
steps," "Final steps."
Who should write SOPs?
Often SOPs are written by one person, as described at the beginning of this article, and
are reviewed by one or more others, one of whom may approve a final version. Most
importantly, SOPs should be reviewed by several people qualified to evaluate the SOP in
terms of its completeness and clarity of safety, environmental and operational
components. In keeping with the intent of various International Standards Organization
(ISO) standards, these reviews should be based on the maximum safety, health and
environmental considerations, not merely "what the law requires." In other words, go
beyond compliance to do the best you can.
Ideally, teams that include some or all of the following should write SOPs:
• People who will perform the job
• People who will perform maintenance on equipment involved in an SOP
• Engineers or others who design equipment and processes
• Technical writers
• Safety personnel
• Environmental personnel
• Equipment manufacturers
• Vendors
• Suppliers
• Contractors
Team writing accomplishes several goals besides just producing an SOP:
1. It ensures that comprehensive knowledge acquired from different perspectives is
applied to the SOP.
2. It creates "buy-in," which increases the likelihood that the SOPs will be
implemented under the guidance of the writers.
3. It trains trainers the people who write the SOP. Having participated in in-depth
decision making about the SOP, the writers know it intimately and are more likely
to be effective trainers (coaches).
4. It involves people from diverse parts of the operations as a whole, which helps
ensure that when new and modified processes are implemented, someone goes
back and updates the SOP.
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5. It encourages employees to follow the SOP and listen to the coaches because the
employees know that the writers invested time and effort on behalf of the
employees.
Writing teams do not have to sit together to write. They can write or edit parts of the
SOP independently and then one person can combine the individual contributions. Once
combined, circulate the draft SOP for review among the writers before editing a final
draft for review by supervisors and subsequent supervised testing by employees. Ideally
a writing team should meet at least once in the beginning of a project to establish
writing objectives, targets and responsibilities, but then can work semi-independently
with one person serving as coordinator
Writing a short-form SOP
A short-form SOP is, as you can guess, a shortened version of a long-form SOP. A short-
form SOP should be used only after an employee has been thoroughly trained in
performing an SOP, understands the reasons and cautions for the steps he or she is
taking, and has been approved to perform the job.
Short-form SOPs can be varied in length and detail depending on the process. In general,
a short-form SOP focuses on the steps to be performed and assumes the user has been
trained well enough to know about parts and tools, background and other secondary
information. Of course, include all the cautions, warnings, notes, safety, health, and
environmental and operational information in the list of steps. The primary focus of the
short-form SOP is the list of steps.
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Writing SOPs for use by more than one person at a time.
On occasion, two or more people must use a single SOP at the same time. This kind of
SOP can be written like the script of a play that (1) tells which actor is to speak at the
beginning of each speaking "part" and (2) explains the conditions or timing under which
each person is to perform a specific step. This allows each participant to understand the
sequence of steps that everyone is participating in and to know when it is his or her turn
to perform a step.
Example:
The following steps should be complete by the personnel named, in the sequence show
here. This list tells each person what the other one is doing at the same time so they
can coordinate with one another.
Maintenance person:
1. While standing behind the red safety line to the right side of the "on" power
switch, throw this power switch to the marked "on" position and call out loudly:
"Power on!" Remain in position until the Working Leader gives a "no smoke"
thumbs-up signal (step 4 below).
Working Leader:
2. Confirm that the power is on by repeating the call "Power on!" and pushing
the "power-on" signal light button located outside the operator's cab on the
outside control panel.
Operator:
3. When the "power on" signal light is lighted green, turn the motorman's handle
one-quarter turn to the left and wait for instructions from the working leader.
Working Leader:
4. Watch the exhaust stack for signs of smoke, which will indicate a malfunction
and the need to shut down. If you see smoke, tell the operator: "shut down" and
give a thumb-down hand signal. If there is no smoke, tell the operator "no
smoke" and give a thumb-up hand signal.
Operator:
5. Wait for the working leader to signal "shut down" or "no smoke" before
proceeding with the remaining steps in this SOP.
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Ten Reasons for Writing Standard Operating Procedures (SOPs)
An SOP is a written set of instructions that someone should follow to complete a job
safely, with no adverse effect on personal health or the environment, and in a way that
maximizes operational and production requirements.
You should write SOPs for these reasons:
1. To provide people with all the safety, health, environmental and operational
information necessary to perform a job properly. Placing value only on production
while ignoring safety, health and environment is costly in the long run. It is better
to train employees in all aspects of doing a job than to face accidents, fines and
litigation later.
2. To ensure that production operations are performed consistently to maintain
quality control of processes and products. Consumers, from individuals to
companies, want products of consistent quality and specifications. SOPs specify
job steps that help standardize products and therefore quality.
3. To ensure that processes continue uninterrupted and are completed on a
prescribed schedule. By following SOPs, you help ensure against process
shutdowns caused by equipment failure or other facility damage.
4. To ensure that no failures occur in manufacturing and related processes that
would harm anyone in the surrounding community. Following health and
environmental steps in SOPs ensures against spills and emissions that threaten
plant neighbors and create community outrage.
5. To ensure that approved procedures are followed in compliance with company
and government regulations. Well-written SOPs help ensure that government
regulations are satisfied. They also demonstrate a company's good-faith
intention to operate properly. Failure to write and use good SOPs only signals
government regulators that your company is not serious about compliance.
6. To serve as a training document for teaching users about the process for which
the SOP was written. Thorough SOPs can be used as the basis for providing
standardized training for employees new to a particular job and for those who
need re-training.
7. To serve as a checklist for co-workers who observe job performance to reinforce
proper performance. The process of actively caring about fellow workers involves
one worker coaching another in all aspects of proper job performance. When the
proper procedures are outlined in a good SOP, any co-worker can coach another
to help improve work skills.
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8. To serve as a checklist for auditors. Auditing job performance is a process similar
to observation mentioned in the previous item only it usually involves record
keeping. SOPs should serve as a strong basis when detailed audit checklists are
developed.
9. To serve as an historical record of the how, why and when of steps in an existing
process so there is a factual basis (not hearsay) for revising those steps when a
process or equipment are changed. As people move from job to job within and
between companies, unwritten knowledge and skills disappear from the
workplace. Properly maintained written SOPs can chronicle the best knowledge
that can serve new workers when older ones move on.
10. To serve as an explanation of steps in a process so they can be reviewed in
accident investigations. Although accidents are unfortunate, view them as
opportunities to learn how to improve conditions. A good SOP gives you a basis
from which to being investigating accidents.
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Ten Tips to Keep in Mind
When Writing Standard Operating Procedures
Here are 10 ideas to keep in mind when you write Standard Operating Procedures
(SOPs). An SOP is a written set of instructions that someone should follow to complete
a job safely, with no adverse effect on health or the environment, and in a way that
maximizes operational and production requirements.
1. How much someone knows about an entire process or job affects the way he or
she does that job. Incorporate safety, health and environment into the traditional
how-to-operate or how-to-do steps. This teaches the person comprehensively or
holistically so that he or she has a complete picture of the responsibilities for
doing a job properly. This simplifies follow-up training.
2. Write an SOP to be as long as necessary for a specific job. All jobs differ in the
number of steps required to complete them properly. Short-changing someone
by providing short and incomplete SOP sets up failure. Write an SOP to satisfy
the definition of SOP, not a standard company format that no one has thought
about in years.
3. People tend to ignore long SOPs because they cannot remember more than 6 to
12 steps. If your SOP goes beyond 10 steps, consider these solutions:
• break the long SOP into several logical sub-job SOPs,
• write an accompanying shortened SOP that lists only the steps but not
detailed explanations of those steps, and
• make the long-form SOP a training document or manual to supplement
the shorter sub-job SOPs mentioned earlier.
4. Prepare the longer comprehensive training SOPS first to get a picture of what
training is needed. Then decide how to break it into shorter sub-job SOPs. Writing
sub-job SOPs first, and then trying to put them together, may leave out linkage
steps that make sub-jobs interdependent.
5. Write SOPs for people who perform under different interpersonal circumstances.
• Write some SOPs for people who work alone.
• Write some SOPs for two or more people who work together as a team.
• Write some SOPs for people who will supervise other people doing a job.
• Write some SOPs for people who not familiar with rules generally
understood by your employees. For example, you may write for
contractors, vendors or suppliers.
6. Consider the work culture within which people work. If you write for people in a
culture in which shortcuts are accepted practice, explain the reasons behind
certain steps so that SOP users will understand the importance of following all
the steps in the proper order.
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7. Consider the age, education, knowledge, skill, experience and training, and work
culture of the individuals who will be performing the SOP steps.
8. Keep in mind that many people do not read all the steps before starting on step
one. Many people read a step, perform it, read the next step, perform it, and so
on. To try to get around this habit, forecast future effects and steps at certain
points in the SOP to tell reader things they should know in advance, such as
upcoming steps that require caution, precision, timing, assistance, and personal
protective equipment.
9. Once you have completed writing an SOP, have several workers test it and give
you feedback. If you did not consult safety, health and environmental experts
prior to writing the SOP, have them observe the SOP being tested so they can
add comments.
10. Review the effectiveness of SOPs after a few weeks and make necessary changes
if in-the-field practice suggests that descriptions should be improved.
• Review SOPs when processes and equipment are changed.
• When new equipment is installed, take the opportunity to write a new
SOP, incorporating the good from the old, and adding what is necessary
to satisfy the new equipment.