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JOB AID
How to Write an SOP
______________________________________________________________________________
A standard operating procedure
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, or SOP, is used in business and government to
ensure consistency and efficiency in the day-to-day completion of certain tasks
or functions that are repetitive or routine in nature. A well-written SOP avoids the
need to reinvent the wheel each time a process is performed. Good standard
operating procedures should be clear, concise, and easy to follow by any
employee who is qualified to do the task described.
A good SOP is a management tool, and when kept current and utilized during
execution has the following benefits:
1. documents key processes, an important internal control
2. supports knowledge transfer and succession planning
3. allows a team to add improvements to processes to ensure consistent
and acceptable results
4. helps get new team members up to speed quickly
5. reduces the time required for follow-ups and meetings
6. simplifies and clarifies individual roles and responsibilities
7. can be referenced in performance documents to help members of an
organization or team understand expectations
Guidelines
SOPs should be written in a concise, step-by-step, easy-to-read format. The
information presented should be straightforward and not overly complicated. The
active voice and present verb tense should be used. The term "you" should not be
used, but implied. The document should not be wordy, redundant, or overly
lengthy. Information should be conveyed clearly and explicitly to remove any
doubt as to what is required. Also, use attachments (e.g. sample letters,
correspondence, screenshots) to help the reader better visualize parts of a process.
Preferably, those who serve as subject-matter experts that actually perform the
work and are knowledgeable about the process will write the SOP. A best practice
when writing an SOP is to create a draft by capturing the process as one actually
does the work. In this way, the step-by-step processes are documented, as well as
the rationale for performing each step.
A team approach can be followed, especially for processes that involve multiple
tasks and where the experiences of a number of individuals are critical. This
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Adapted from How to Write an SOP | eHow.com http://www.ehow.com/how_5164029_write-
sop.html#ixzz29kIldMNq
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promotes inclusion and encourages those involved in its production to take
ownership of the final document.
When the SOP is complete, it will serve as a guide for those who play a role in future
iterations of the process, and should be used to execute the process each time.
Checklist
Developing the SOP
1. Library Staff Member/Supervisor: Identify and make a list of important
processes that must be done correctly each time without fail. These
processes will ultimately become SOPs or sections within SOPs. Decide
who needs to be on the SOP Team and invite them to participate in the
development and review of the new document. The Supervisor will assign
the writing of the SOP to a team member.
2. SOP Team & Supervisor: Define the process to be captured in an SOP
before any writing begins. The SOP Writer along with the SOP Team
and/or Supervisor should clarify the topic for the SOP and discuss the
necessary outcome, along with how the SOP will be used. The SOP Writer
should be a person who does the job or task, or one that is responsible for
leading and/or training those employees who do the job. Others will
review and contribute to the SOP, but only one person should be
responsible for writing it.
3. SOP Team & Supervisor: Discuss and agree to determine the scope or
boundaries of the SOP. Which aspects of the process will be included?
Which aspects are to be excluded? Write this information in the “Scope”
section of the SOP template. Refer to this section frequently as it will help
keep the SOP development on track and in-scope.
4. SOP Team & Supervisor: Discuss and determine any laws, LCRs or
guidance memos that are relevant to the process.
5. SOP Writer: Be explicit in capturing each step. Write the SOP thoroughly,
carefully listing each detail necessary to complete the task at hand.
Provide rationale for the steps as necessary. This will help anyone using
the SOP to know why the steps, along with any nuances, are important.
Review the draft SOP and be sure to include the steps that improve the
quality or decrease the risk inherent in the task. Identify forms, checklists
and examples that are required or that will assist in the completion of the
task should be attached and referenced.
6. SOP Team: Review the SOP draft as a team and meet to add any
additional changes needed. Get input and tips for improving accuracy
and clarity from key stakeholders. Update the revision number/date.
7. SOP Writer: Make edits to the final draft.
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8. SOP Team & Supervisor: Meet to review the final draft and make final
revisions.
9. SOP Writer: Send final copies electronically to each individual listed in the
Roles section, along with the Supervisor. The Supervisor should ensure that
the SOP is filed in a place where everyone can access it such as a wiki.
Using the SOP and Making Revisions
When a team needs to execute a process, each member should review the
SOP before the first meeting.
1. Supervisor or designee: Determine if any of the specific people
performing the roles have changed. If so, the supervisor or designee
should identify new people to fill those roles, advise them, and send the
new team member a copy of the SOP.
2. Supervisor or designee: Set up regular meetings with the team. Once a
team has completed the process a few times, meetings can be fairly short
and simply used to update each other. Each team member should read
the SOP before the meeting, take appropriate action, and bring their
copy of the SOP to meetings. The team can use the SOP to status process
steps.
3. All: Execute the tasks as laid out in the SOP. If improvements need to be
made to the process, the SOP Writer should note them along the way and
make changes at the end of the process. All team members should
determine if the SOP was helpful and adequately described the work to
be performed.
4. SOP Writer or designee: Edit the SOP document in MS Word using the
Track Changes tool. Meet with other stakeholders to make sure that the
revisions are accepted by all. Schedule meeting to discuss with Supervisor
and get final approvals.
5. SOP Writer: Send final copies electronically to all listed in the Roles section,
and the Supervisor. The Supervisor should ensure that the SOP is filed in a
place where everyone can access it.
Attachments:
(1) SOP Template
(2) Sample SOP: Communication Plan
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Attachment 1: Template
Enter SU/Department/Division Name Here
Standard Operating Procedure (SOP)
Procedure Name: Enter name here
Summary
{Insert basic text that describes the purpose of this SOP in plain English}
Effective Date
{Insert date that this SOP goes into effect}
Scope
{Describe what specifically this SOP covers and what it does not!}
Guidelines/Authority
{Provide the actual authority or reference a law or guideline, if applicable e.g., Library of
Congress Regulation: LCR 1620 – Information Technology Security Policy of the Library of
Congress}
To Be Used By
{Identify the roles or general staff who will use this SOP (e.g. “Performance Management
Specialist”)}
Checklist/Procedures
{Provide step by step instructions here. Each step should be clear and logical. After stating the
step, feel free to identify the reason in another sentence. Be specific about time frames, who
does something (refer to them by title or role, not by name) and when they do it. Separate parts
of a process with headings (e.g. “ Planning the Project,” “Closing the Project,” etc.). Write the
title in bold print so it is easy to identify the person involved in a step. Use the active voice when
describing the steps.}
Sample:
1. In October, the Supervisor Development Program Manager identifies dates of federal
holidays, HRS events, and known Supervisor training dates. This avoids conflicts for the
targeted participants.
2. {See attachment for additional steps}
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Attachments:
{List any attachments referenced in the SOP. Samples of actual e-mails, correspondence or
examples are helpful to orient anyone reading the document.}
Approving Authority/Revision Information
SOP Sponsor Name/Position: {This is the person who has the authority to approve the SOP for
use.}
SOP Owner Name/Position: {This is the person who is responsible for writing and updating the
SOP.}
Revision Date: {List the date the SOP was started or revised.}
Next Review/Revision Date: {Typically, this is a year from the revision date listed above.}
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Attachment 2: Sample SOP
Office of Workforce Performance and
Development
Standard Operating Procedure (SOP)
Procedure Name: Communication Plan
Summary
In order to communicate strategically, an organization needs a communications plan. A good
plan identifies the key audiences, determines the information they need, and describes the best
way to adapt the messages appropriately for each group. Basically it answers questions such as:
why, who, when and how.
Depending upon the scope of the project, it may be good to get top management buy-in
before you begin implementing your communication plan. At minimum your immediate
supervisor and managers should be aware of and approve the plan.
Effective Date
March 6, 2015
Scope
The SOP will be reviewed periodically by the Director and Management and Program Analyst to
insure that all information remains current. Those creating a communication plan can work with
the Management and Program Analyst on guidance.
Guidelines/Authority
None
To Be Used By
These procedures are to be used by staff in the Office of Workforce Performance and
Development.
Checklist/Procedures
1. Define the objectives. What is the overall purpose for creating the communication plan?
What are the results that should be achieved with the plan? Briefly summarize this
information at the beginning of the plan.
2. Identify the resources available to execute the plan in terms of budget, staff etc.
3. Define the communication goals. Understand the expectations of the supervisor and
program/project manager and what their picture of success looks likes as a result of this
plan.
4. Create the key message points. Brainstorm potential ideas with colleagues. Identify the
key points the audience should know about the program or project addressed in the
communication plan.
5. Brainstorm a list of stakeholders. This is one of the most important aspects of
communications planning. Stakeholders are those who care about or will be impacted
by the initiative. Each of these people/groups will become a target audience in your
communications plan later on in the process.
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6. Determine the best way to reach these stakeholders. How do THEY prefer to receive
information? Memo, briefing, e-mail? Think about existing channels of communication
and current messages. Leverage what's already in place. For example, if you need to
reach the unions, you may want to present at their weekly meeting with HRS/Workforce
Management. If the target audience is “all staff” maybe the Gazette and flyers is the
best way to share information.
Decide which tools are available to use -- and affordable -- to achieve the goals and
get your points across. Brainstorm ideas with team members. Craft the message to the
audience’s level with the appropriate amount of detail. Tools can include:
a. Email announcements
b. Memos
c. Briefings
d. Electronic surveys
e. Web sites
f. Flyers near the elevators
g. Gazette articles
h. Written talking points to be used by team members to articulate the message
i. Frequently Asked Questions (FAQs): A list of potential questions and answers that
might come up as a result of the presentation. Focus on making the points clear
and concise. Double check that facts and data are correct.
7. Determine the order for sharing information. Who needs to know sooner? Who needs to
know first in order for this to be successful?
8. Draft the communications plan by filling in the attached template.
9. Share copies of the draft communication plan with supervisor and program/project
manager for feedback, edits and approval.
10. Put the plan into action! Update it as items are completed and things change. Change
the version number each time.
11. Do a lessons learned exercise. Did the plan work? Why or why not? Any surprises?
What would you do differently next time? Briefly write up the results and share with team
at a staff meeting.
Attachments:
1. Communication Strategy – Action Plan (sample)
2. Communications Plan Template
Approving Authority/Revision Information
SOP Sponsor Name/Position: Director, WPD
SOP Owner Name/Position: Management and Program Analyst
Revision Date: 3/6/15
Next Review/Revision Date: 3/6/16
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Attachment #1: SAMPLE COMMUNICATION PLAN
Communication Strategy
The following table summarizes the key communication strategies that will be implemented to share information about this effort.
Purpose of Message
Modes
Target
Timeframe
Who is
Responsible
Status/Notes
1
Provide draft Plan
Via briefing and
Microsoft Word
document of the
draft plan
1/14
Director
2
Provide draft Plan for
review, comment, and
approval
Via electronic
mail and
document of the
draft plan
1/14
Director
3
Notice of Plan completion
Memorandum
via e-mail
Briefing
2/14
Management
Analyst
4
Create authoritative
source for likely questions
from staff regarding plan
Frequently Asked
Questions (FAQs)
3/14
Management
Analyst
5
Dissemination of plan
agency-wide
Staff Intranet
posting
HRS Intranet
Posting
3/14
HRS Staff
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Attachment #2: Communication Plan Template
Project/Initiative Name:
Communication Plan Owner:
Date Created/Updated:
The following table summarizes the key communication strategies that will be implemented to share information about this effort.
Purpose of Message
Audience
Modes
Target
Timeframe
Who is
Responsible
Status/Notes
1
2
3
4
5