Creating Standard Operating Procedures (SOP) By Jim Spinney, Spinney and Huber LLC

It can be said that we are engaged in one of the simplest businesses on earth. We get a box from the customer, place it on a shelf, find it when the customers needs it, and deliver it back to them. What could be easier than that? The problem with this business is that we have to perform these tasks in a timely, efficient, and error free manner whether we are storing and managing 500 boxes, 50,000 boxes, or 5,000,000 boxes.
During my consulting years, I have had to opportunity to audit many commercial record centers. Few have passed a facility audit of the boxes on the shelves matching the systems box location report. Some failed miserably. The common factor in the poorer operations was not having written documented procedures in place for their operations. These audits exposed the need for standard operating procedures (SOP).

What is a SOP?

A SOP is a written description of the way things are done in each work area of the record center. It is a set of instructions, having the force of a directive, covering those features of operations which lend themselves to a definite or standardized procedure.

Why have a SOP?

There are many benefits to having a written set of procedures. The staff will benefit because the document will describe the way in which their tasks are to be done and what training and equipment may be required for performing these tasks. Supervisors will benefit because they can be sure that the process is carried out in the same way, to the same standard, even in their absence.
A written SOP is also very useful as a training tool as you add or replace staff. The combination of on the job training and documented instructions creates an efficient, productive staff in an expedited method.
An important benefit of having a written SOP is that it helps assure the quality and consistency of the service provided. Those who have written procedures in place will benefit from the opportunity to critically examine the way things are done, enabling them to come up with better and more efficient systems for processes and procedures.

What needs to be included in a SOP?

-Purpose - what the SOP is trying to achieve
-Scope - what will (or will not) be covered by the SOP
-Process - an accurate and sequential work flow process of how the tasks are to be carried out and audited
-Responsibilities - who is responsible for carrying out the task
-Training and safety - what training is required for specific tasks and general safety guidelines and workplace directives 
-Materials and/or equipment - list any equipment required for the tasks along with the proper and safe usage of the equipment
-Reporting and documentation - describe what reports need to be generated to support the tasks or document the results.

Starting the process

Except for the simplest operations, an SOP cannot be developed by a single person. A team should be assigned the task and should include management, support staff, systems staff, and the workers performing the tasks.
Each process in the work flow should be demonstrated, documented and monitored for efficiency, cost effectiveness, risk, and safety. The process will show the equipment needs, the correct use of that equipment, and the steps required for introduction in the SOP.
The simplest way to write a SOP is to describe in detail the journey of a box, file, or tape through the facility, to and from the client's site. Write down in detail exactly what happens at each step and then do exactly what has been written down to see whether it works in practice.
Once this study has been made, the team can formulate a draft SOP.

Applying the SOP

Writing the SOP is the easy part. The difficult part is implementing them and ensuring they are adhered to. The best way to their implementation is to ensure the staff is involved at all stages when the SOP is being drafted. This will create a sense of ownership and they will follow the SOP because of their input and participation.
An audit process will show whether the procedure is being adhered to and whether the objectives are being met. It can also help identify areas of the operation where improvements need to be made.

In conclusion

This month, Prism International will be introducing their newest publication, "Standard Operating Procedures for Commercial Record Centers". This will assist in creating a SOP that is specific to the records management industry.
Enhanced quality, efficiency, reduced costs, and improved customer satisfaction are all benefits that will be created by writing, and using Standard Operating Procedures.