Key Elements of the Perfect Standard Operating Procedures (SOPs)

Here are some simple yet essential key elements of the perfect Standard Operating Procedures (SOPs)SOP.

• Write briefly, clearly, and in steps.

Keep sentences as short as possible and use the simplest standard terms. Never weigh the meaning of an instruction by using technical or jargon-laden terminology if there is a more straightforward word or phrase to convey the same idea.

• Write in the active voice and state the key message first

Please pay attention to what you write and how you write it. Plain action verbs like “identify,” “direct,” “evaluate,” and “review” convey meaning without needing interpretation. Wherever possible, avoid passive voice in sentence structure, as this has been demonstrated to confuse and divert attention from what is essential.

• Avoid ambiguity

Never use generalized terms that do not have any tangible meaning. Words like “periodic,” “typical,” “general,” and “should” do not enforce consistent direction or execution of a directive—the main goal of having an SOP in the first place.

• Be careful around essential terms.

The main terms here are “may,” “must,” and “should.” Remember that using “may” gives personnel decision-making power and flexibility depending on the context. “Must” is always mandatory, and “should” is by nature conditional.

• Use formatting intelligently

If your SOPs consist of big blocks of text, there’s probably a better formatting scheme to follow. Bulleted items and lists are very good for some information, as they force attention and slow the reader.

Writing a SOP: Perfect  Procedures

There are mainly three types of SOPs: hierarchical SOPs, Flowchart SOPs, and Step-by-Step SOPs. Each has its unique features, catering to different workplace needs and scenarios.

1. Hierarchical SOPs

Hierarchical SOPs break down tasks into various levels of detail. They use bullet points to list the steps and sub-steps. This type of SOP is proper when complex tasks require detailed explanation.

You could have,

• Step 1: Preparation of materials

Gather equipment

Check the equipment

• Step 2: Initiate the process

Switch on the machine

Change the settings if necessary

This approach ensures clarity in both the overview and detailed steps.

2. Flowchart SOPs

Flowcharts of Standard Operating Procedures depict processes and workflows as diagrams. They illustrate how a series of steps occur in a specific order and relate to one another. A flowchart is useful when you want to see the whole process simultaneously.

They consist of shapes such as:

• Ovals: Initiation or termination points
• Rectangles: Processes or procedures
• Diamonds: Decision points

Flowchart SOPs can simplify decision-making. For example, a basic diagram might illustrate the new employee onboarding process from application to training.

3. Checklist SOPs

Checklist SOPs include a listing of all steps to be performed to accomplish an activity. They are in a linear format, easy to read, and straightforward. This format best applies to tasks that don’t require much explanation.

A classic example could be:

• Switch off the machine.
• Unplug the power plug.
• Clean the machine parts.
• Plug in the power cable.
• Switch on the machine.

This type ensures tasks are appropriately done by providing clear, numbered instructions. It’s most useful for standardized tasks performed regularly.

Types of SOPs

How many types of SOPs are there? As we’ve mentioned, there are just two primary ones. One is management SOPs, and the other is technical SOPs. To succeed, your business is going to need both.

1. Management SOPs

It may sound redundant to have SOPs for SOPs, but there need to be management-level procedures overseeing the rest of the SOPs within a business. Methods for knowing when SOPs need to be created and implemented, as well as procedures for knowing when to review and update them, are also needed. Total replacements are also sometimes necessary.

2. Technical SOPs

One type of standard operating procedure is technical SOPs. These are more about how to do and finish something rather than operating on a managerial level. They are often actions that are repeated on a regular basis. They might also be inspections or preventative measures. Technical SOPs are often implemented on a “ground floor” level by frontline workers who handle a company’s daily operations.

Components of an SOP

• Title:

  Clearly state the title or name of the SOP to indicate the specific process or task it covers.

• Purpose:

  Explain the purpose or objective of the SOP. What is the intended outcome of following this procedure?

• Scope:

  Define the scope of the SOP by specifying what it covers and does not cover. This helps users understand the procedure’s boundaries.

• Responsibilities:

  List the roles and responsibilities of individuals involved in the procedure. Specify who is accountable for each step.

• Definitions and Abbreviations:

  To ensure clarity and consistency, provide a glossary of key terms and abbreviations used in the SOP.

• References:

  Include any relevant documents, manuals, regulations, or other sources of information that users may need to consult while following the procedure.

• Prerequisites:

  Outline any requirements or conditions that must be met before starting the procedure. This may include equipment readiness, training, or approvals.

• Procedure Steps:

  Describe the step-by-step instructions for performing the task or process. Use clear and concise language, and consider using numbered lists or flowcharts for better understanding.

• Safety Measures:

  Emphasize safety precautions and guidelines that must be followed during the procedure. This includes protective equipment, hazard identification, and emergency procedures.

• Troubleshooting:

  Guide on common issues or problems arising during the procedure and how to address them.

• Quality Control:

  Specify any quality control checks, inspections, or testing that should be conducted during or after the procedure to ensure the desired outcome.

• Records and Documentation:

  Explain what records or documentation should be created or maintained as part of the procedure. This may include forms, logs, or reports.

• Approval and Review:

  Document the names and signatures of individuals responsible for approving the SOP and indicate when it was last reviewed and updated. SOPs should be periodically reviewed to ensure accuracy and relevance.

• Revision History:

  Record changes made to the SOP over time, including revision dates and a brief description of the changes.

• Distribution:

  Specify who should access the SOP and how it should be distributed within the organization.

• Training:

  Outline any training requirements for individuals performing the procedure. This may include initial training and ongoing refresher training.

• Appendices or Attachments:

  Include any supplementary materials, forms, checklists, or reference documents that support the SOP.

Writing a well-structured SOP ensures that tasks and processes are carried out consistently and efficiently within an organization. Clear and concise language and attention to detail are essential to create effective SOPs.

SOP Review and Approval

1. How do you handle SOP revisions and approvals?

The first step in creating and maintaining SOPs is identifying your needs. You need to know the scope, purpose, and audience of your SOPs and the key processes and tasks that would require them. Performing a gap analysis, stakeholder analysis, and process mapping exercise will help you understand your needs regarding SOPs. You will also consult your team members, customers, suppliers, and regulators, among other parties, concerning your needs for SOPs.

2. Write clear and concise SOPs.

The next step is to write clear and concise SOPs in a uniform format and style. You can use templates, guidelines, and examples to help you write your SOPs. You should also use simple and precise language, avoid jargon and acronyms, and use visual aids like diagrams, charts, and screenshots to illustrate your SOPs. Other inclusions to your SOPs are title, date, author, version, approval, purpose, scope, definitions, roles and responsibilities, procedures, safety, quality measures, references, and appendices.

3. Review and test your SOPs.

Before you finalize and approve your SOPs, you should review and test their precision, completeness, and effectiveness. You can review your SOPs using checklists, audits, or feedback forms. You also can test your SOPs themselves by performing the procedures. Alternatively, you can request that someone else follow the procedure and report any problems or errors found. It would help if you also verified your SOPs’ compliance with related laws, regulations, standards, or policies.

4. Approve and distribute your SOPs.

When satisfied that your SOPs are ready, you must approve and distribute them to the intended users and stakeholders. You can store, share, and access your SOPs on a cloud-based document management system. It would help if you also tried to communicate the purpose, benefits, and expectations of your SOPs to your team members and provide them with adequate training and support to follow. You should also monitor the performance and outcomes of your SOPs and collect feedback and suggestions for improving them.

5. Revise and update your SOPs.

The final step in maintaining your SOPs is to revise and update them as necessary. You shall monitor your SOPs systematically for change, voids, or problems in their validity, relevance, or effectiveness. You shall seek feedback from team members, customers, suppliers, regulators, and other parties on whether your SOPs meet their needs and expectations. You shall also document any revisions or updates to your SOPs and inform the users and stakeholders about them.

6. Use tools and software to simplify your SOP creation and maintenance.

Writing and maintaining SOPs can take time and effort. Fortunately, some tools and software can help make your SOP creation and maintenance less painful. You could use an online platform like Process Street, SweetProcess, or Tallyfy to create, manage, and automate your SOPs. You can also use Google Docs, Microsoft Word, or Adobe Acrobat to edit, format, and share your SOPs.

SOP Compliance and Auditing

Continuous improvement requires commitment and consistency, which requires constant reviewing and auditing of standard operating procedures. Smooth business operation depends on whether industry standards and regulatory and compliance frameworks are adhered to. A robust auditing management system that tracks progress and establishes an efficient SOP framework is needed to ensure all checkboxes comply. We are here to provide you with twelve essential tips for auditing management, tracking audits, and the audit process, giving ample importance to a well-structured SOP framework.

Audit Management: The Key to Success

Audit management is the centerpiece of any streamlined and fully compliant organization. With proper management, you can meet regulatory and operational excellence. Here’s a step-by-step you should consider in handling audit management:

• Audit Objectives:

Clearly state your audit objectives. What will you try to achieve using the audit? This realization will shape the whole process for identifiable resolution.

• Audit Planning:

The success of audit management requires sufficient planning. Clearly outline the scope of the audit, choose a qualified audit team, and schedule audits at periodic intervals.

• Performing Audits:

Conduct the audits according to your plan. Ensure auditors are appropriately prepared and follow established processes.

• Tracking Audits:

Audit tracking is a critical component of audit management. You must track and manage the audit process properly for smooth operation and resolution of audit issues. Tracking audits means keeping a close eye on the progress and results of your audits. This will give you the opportunity to take immediate action when needed and continuously improve.

• Document Audit Findings:

Document the findings of audits in detail, including issues, discrepancies, and areas for improvement. A dedicated software tool such as Audit Findings can facilitate this.

• Analyze and Report:

After conducting your audit, analyze the findings and create comprehensive reports. Share these findings with concerned stakeholders to encourage transparency and interest in taking action on such issues.

• Follow-up:

Audit findings need to be implemented with corrective action. Such corrective actions are vital in the audit management process for continuous improvement. Monitoring the progress of those actions will be essential in the long run for maintaining success, compliance, and regulatory expectations.

The Audit Process

To have really effective audit management and tracking, there should be a well-structured audit process that is per the industry’s best practices and adaptable to the needs of your organization.

• Establish an Audit Framework:

  Establish a standardized audit framework that outlines each audit’s procedures, responsibilities, and timelines. This can be your SOP for conducting audits and extending to creating and optimizing other SOPs.

• Train Your Team:

  A well-trained team is aware of the auditing process, and continuous improvement helps conduct an effective audit on time. Regular training enables team members to understand recent industry standards and best practice guidelines.

Building an Effective Standard Operating Procedure Framework

A well-designed SOP framework forms the foundation of consistent and predictable operations for your organization. Activities conducted according to a predefined best-practice framework are executed consistently with fewer errors and support regulatory compliance.

• Define SOP Objectives

Next, define the goals and objectives of your SOP framework. What do you want to achieve through standardized procedures? Is eliminating obstacles and red tape a goal? Or are you building in intentional checkpoints to ensure nothing slips by?

• Develop SOPs

Develop clear and detailed SOPs for any significant process in an operation. They should detail obvious instructions and KPIs associated with each procedure.

• Implement and Monitor

Once you’ve established your SOPs, implement them across your organization and continuously monitor their effectiveness. As your business evolves, make necessary adjustments.