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STANDARD OPERATING PROCEDURES

QUALITY ASSURANCE OFFICE

WHAT ARE STANDARD OPERATING PROCEDURES?

• A set of sequenced, step-by-step instructions, procedures and tasks for staff

and students to follow in order to carry out named routines and required

operations, some of which might be complex and/or multi-staged, requiring

decisions to be taken.

• Regard SOPs as rules to be followed, i.e. non-negotiable and non-avoidable.

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WHY HAVE STANDARD OPERATING PROCEDURES?

• Standard Operating Procedures (SOPs) are used to ensure consistency, reliability, efficiency, effectiveness, safety and efficacy.

• SOPs are designed to ensure that activities are error-free.

• They strive to ensure that all key aspects of a procedure and task are addressed, with responsibilities indicated.

• SOPs are intended to be highly reliable and fail-safe.

• SOPs are essential for ‘institutional memory’ and for staff training and development.

• SOPs are intended to facilitate communication: everyone understands what should be done, how, in what sequence, and by whom.

• Staff and students need to know whom to approach and where to go for a particular matter, without people making their own, ‘private’ arrangements.

• SOPs can be used for accountability.

• SOPs must only be used where they are appropriate; not all the work and

operations of a unit are susceptible and/or appropriate for SOPs, therefore

decide which are and are not susceptible/appropriate, and why.

• SOPs must be concrete, practical, practicable and unambiguous.

• SOPs should be easy to understand, carefully laid out (for ease of understanding

the sequence of tasks and decisions), and with flow charts.

• SOPs should be written in terms that the users will understand.

• SOPS must cover all possibilities (‘what if?’) and all aspects of the task.

• Flow charts should indicate decision points, tasks, with hyperlinks to supporting

documents.

• Everyone MUST follow the SOP; no ‘private’ arrangements.

EFFECTIVE STANDARD OPERATING PROCEDURES

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How to Write Excellent Standard Operating Procedures (SOPs)• ‘Scope and applicability. In other words, describe the purpose of the process, its

limits, and how it’s used. Include standards, regulatory requirements, roles and responsibilities, and inputs and outputs.

• Methodology and procedures. The meat of the issue ̶ list all the steps with necessary details, including what equipment needed. Cover sequential procedures and decision factors. Address the “what ifs” and the possible interferences or safety considerations.

• Clarification of terminology. Identify acronyms, abbreviations, and all phrases that aren’t in common parlance.

• Health and safety warnings. To be listed in its own section and alongside the steps where it is an issue. Do not gloss over this section.

• Equipment and supplies. Complete list of what is needed and when, where to find equipment, standards of equipment, etc.

• Cautions and interferences. Basically, a troubleshooting section. Cover what could go wrong, what to look out for, and what may interfere with the final, ideal product.’

http://www.virtualeadmin.com/how-to-write-excellent-standard-operating-procedures-sops/

AREAS OF AN SOP

• Introduction and overview

• Definitions

• Purpose

• Scope

• Responsibilities

• Procedures (in sequence, with stages clearly marked)

• Flow chart

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WRITING A STANDARD OPERATING PROCEDURE

1. Identify the ‘home’/unit/office of the SOP: who has issued the SOP.

2. Decide what needs to have an SOP, and whether the SOP is valid, necessary and useful – what is appropriate for, and susceptible fairly and reasonably to, an SOP.

3. Justify the procedure which requires a standard operation.

4. Decide the purpose(s) of the SOP.

5. Provide definitions of key terms.

6. Ensure that the definitions and words used can be understood by the users.

7. Decide the scope/focus of the SOP: what procedure/task it addresses/ covers.

8. Identify to whom the SOP applies: who must use it.

WRITING A STANDARD OPERATING PROCEDURE9. Identify the particular responsibilities at each stage of the SOP, and what

people are required to do and what they have responsibility for.

10. Write the SOP, addressing what the activities are, the sequence of steps to be taken and tasks to be done, and decisions needed at each stage of the procedure.

11. Identify ‘check points’ and requirements for each stage of the SOP, as appropriate.

12. Use a SOP template where possible and appropriate.

13. Effective criteria for completion of each step.

14. Include (hyperlink) references that support the procedure or to which the SOP refers.

15. Ensure that there is an effective date, version number, approval date, review date on the SOP.

16. Inform all relevant parties of the SOP. 8

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SOP TEMPLATE1. Title of the SOP.2. The unit issuing the SOP.3. Person responsible for the SOP (a named person) and what they are responsible for.4. The purpose of the SOP.5. Provide definitions of key terms.6. The scope/focus of the SOP (the procedure/task).7. To whom the SOP applies.8. Content of the procedure: each detailed step in sequence, with: subtitles; tasks;

decisions and consequences; responsibilities; hyperlinks to documents/people.9. Check points at each step (where appropriate).10. Criteria for completion of each step.11. Flow chart/process chart.12. Approval date.13. Effective date.14. Review date.15. Reference number (which indicates the version number).

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ADVICE ON COMPILING SOPS

• Write in the active voice.

• Write in short sentences: one idea per sentence.

• Check that every step and requirement is included.

• Check carefully that all aspects of the operation in question are addressed, with requirements for the ‘what if’ issues?

• Ensure that everyone knows the SOP, understands it, uses it and follows it exactly and completely, without veering from it for ‘private’ reasons/ arrangements.

• Use an SOP template.

• Use diagrams and flow charts.

• Trial the SOPS before coming to a final version.

http://templatelab.com/sop-templates/

GAES: IQA PROCEDURES

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GAES: IQA PROCEDURES

GAES: IQA PROCEDURES

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DUBLIN CITY UNIVERSITY

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Shape Shape Definition shape Shape Definition

Data Document

Pre-defined Process Preparation

Decision Start/ End of Process

Process Reference Information

SHAPES TO BE USED

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SOPs FOR ACADEMIC UNITS

• Many SOPs will be University and/or Administrative/Support/Service unit level. However, they apply also to academic staff.

• Developing SOPs in non-academic units will require that non-academic unit to liaise with the academic unit, and vice versa.

• Academic units will need SOPs for e.g.: programme and module outlines; module design; programme and module development and approval; launching new programmes; programme and module information; marking and moderation; reporting; completing databases; for record keeping; program and module review and accreditation; for convening committee meetings; research proposals and bids; bringing in speakers; interviewing prospective students; reviewing student progress; programme and module management; field trips and internships; invigilating examinations; reviewing budget proposals; creating departments and centres; management structures; scholarships; considering promotions; research leave etc.

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WHAT DOES IT MEAN FOR ME?

1. You must know the relevant SOPs very well.

2. You must keep to them, not veer from them. There is no variance or personal/ private choice on whether or not to use them and/or how to use them.

3. You must know where to go and to where to refer staff and students for specific matters, and not take matters into your own hands where there is an SOP.

4. You must be prepared to create and write SOPs, and to participate constructively in discussions on the creation of, feedback on and modifications to draft SOPs.

5. You must be prepared to collect, collate, provide, analyse and report evidence of using SOPs for improvement and development.

6. You must be prepared to respond to QAE-related requests from the QA Office.

7. You must be prepared to defend the SOPs and to know their limitations.

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24THANK YOU