Framework for the Development

of
Standard Operating Procedures (SOPs)
City of Cape Town
Specialized Technical Services

Contents Page

Contents
1. INTRODUCTION....................................................................................................... 3
1.1. What are SOPs?................................................................................................ 4
1.2. Other organizational Prescriptions and Directives............................................4
1.3. Types of SOPs.................................................................................................. 4
1.4. The Benefits of SOPs........................................................................................ 5
2. THE ROLE AND FUNCTION OF SOPS........................................................................6
2.1. The Role of SOPs.............................................................................................. 6
2.2. Interface with Other Documents......................................................................6
-

Policies.............................................................................................................. 6

2.3. The SOP Management Process.........................................................................6

3. CONDUCTING A NEEDS ASSESSMENT.....................................................................7
3.1. Introduction...................................................................................................... 7
The Needs Assessment seeks to answer two fundamental questions:....................7
3.2. Understanding the Operating Environment......................................................7
The operating environment refers to understanding the context in which
Specialized Technical Services functions.................................................................7
3.3. Standards of Practice....................................................................................... 7
3.4. Local Needs...................................................................................................... 7
3. .5. Information Sources....................................................................................... 8
3.6. The Needs Assessment Process.......................................................................8
Step One: Develop organizational support for conducting the needs assessment.. 8
Step Two: Develop a plan of action.Does this refer to criteria for a good practice
SOP (template)........................................................................................................ 8
Step Three: Review current SOPs............................................................................8
Step Four: Gather information on internal factors affecting SOPs...........................8
Step Five: Consider external factors affecting SOPs................................................8
Step Six: Develop a list of required SOPs based on the needs identified in Steps 4
and 5....................................................................................................................... 8
Step Seven: Analyze existing SOPs based on the information gathered in prior
steps....................................................................................................................... 8
Step Eight: Create a formal needs assessment document......................................8
3.7. Tool and Techniques......................................................................................... 8
4. DEVELOPING STANDARD OPERATING PROCEDURES..............................................9

4.1. Approach to SOP.............................................................................................. 9

4.2. The SOP Development Process.........................................................................9
5. IMPLEMENTING STANDARD OPERATING PROCEDURES.........................................10
5.1. Implementation Planning...............................................................................10
5.2. Notification..................................................................................................... 10
5.3. Distribution and Accessibility.........................................................................10
5.4. Training........................................................................................................... 10
5.6. Performance Monitoring.................................................................................10
6. EVALUATING STANDARD OPERATING PROCEDURES..............................................11
6.1. The Evaluation Process.................................................................................. 11
6.2. Conducting Evaluations..................................................................................11

1. INTRODUCTION
This document serves as a framework, manual and guide to develop effective
Standard Operating Procedures (SOPs) for the Specialized Technical Services
(STS) division of the City of Cape Town. It serves as resource for personnel
seeking a clear understanding of operational issues, and will facilitate
compliance with existing legislation, regulations, and standards related to
specialized technical services. It explains how SOPs can be developed, lists topic
areas that should be covered, and provides SOP templates with associated tools
and techniques that can be used in the development of SOPs.
This framework is intended to serve as a planning guide and reference
document for the business units of Specialized Technical Services in developing,
implementing, and maintaining SOPs. It describes general concepts, related
tools and techniques, specific steps, and resource requirements for managing
the SOP process. Each unit will need to tailor this information to their own
unique needs and preferences.
This framework has been organized into sections that reflect logical steps in a
formal SOP management program, as follows:
Section 2: The Role and Function of SOPs - This section describes the use
and content of SOPs in a typical service organization. Sample SOP categories are
presented, and the relationship between SOPs and other documents is explored.
Section 3: Conducting a Needs Assessment - This section describes
elements of an organizational process to examine existing SOPs, identify
shortfalls, and develop an action plan. Processes for assessing the current
operating environment, standard of practice, and local needs are discussed.
Section 4: Developing Standard Operating Procedures - This section
describes generic steps and requirements for preparing a comprehensive set of
SOPs. Related considerations include the use of committees or teams, staffing,
mechanisms for gathering input, document formats, and review and approval
processes.
Section 5: Implementing Standard Operating Procedures - This section
discusses the requirements and systems needed to ensure that new SOPs are
understood and used correctly. Subjects include planning, notification,
distribution, accessibility, training, and performance monitoring.
Section 6: Evaluating Standard Operating Procedures - This section
defines the purpose and types of formal processes that business units can use
to analyze the effectiveness of existing SOPs. General steps are presented.

1.1. What are SOPs?

An SOP is a written guideline that establishes a standard course of action that is
expected from STS personnel when perform their jobs.

1.2. Other organizational Prescriptions and Directives

During the compiling of SOPs it is important to be able to differentiate an SOP
from other organizational written prescriptions and directives. To facilitate this
differentiation the following definitions are used:
Policy A guiding principle or course of action adopted toward an objective or
objectives. Describes the general principle that will guide behavior or a definite
course or method of action to guide and determine present and future decisions.
Procedure Prescribes specific ways of doing specific activities. That which
regulates the formal steps into an action. It provides a series of steps followed in
a particular order.
Guideline A statement, indication, guide or outline of policy by which to
determine a current or future course of action.
Regulation A rule or order prescribed by authority to regulate conduct.
Rule A principle set up by authority, prescribing or directing action or
forbearance.
The following is a visual reference for the difference in terms.
Example:
Policy Go from Point "A" to Point "B".
Procedure Begin at Point "A" go to Point "B" by following the prescribed
directions.
Guideline Begin at Point "A" go to Point "B" but does not give explicit
directions as a procedure.
Rules and Regulations Do not cross any line, do not backtrack.

1.3. Types of SOPs

A number of different types of SOPs can be identified. These typically are as
follows:

SOPs for safety procedures

SOPs for Quality Assurance

SOPs for archiving and how to deal with complaints

SOPs for operating instruments and other vehicles, plant and equipment.
Methodic SOPs these describe a how to perform specific operational
tasks
SOPs for analytical methods
SOPs for administrative and managerial activities
SOPs for the preparations of reagents (compounds, mixtures, chemical
compositions etc.)

1.4. The Benefits of SOPs

SOPs are important in that they get everybody reading from the same hymn
sheet by providing a mechanism to communicate legal and administrative
requirements, organizational policies, operational efficiencies and strategic
plans to staff.
The benefits of effective SOPs are:
1. Standardization of activities SOPs formalizes standardization of roles and
activities.
2. Increased efficiency and productivity SOPs facilitates the optimal use of
inputs through activities to specific outputs.
3. Improved effectiveness - SOPs enables the consistent linking of outputs
with desired outcomes.
4. Working faster and eliminating waste.
5. Replication and growth.
6. Promotion of coordination and communication by identifying planned
and agreed upon roles and actions, SOPs promote coordination and
internal and external communication.
7. Better delegation and less micro-managing.
8. Cutting costs.
9. Improved and assured quality - SOPs promotes quality through consistent
implementation of a process or procedure within the organization.
10.
Improved navigating change and uncertainty.
11.
Decreased work effort, along with developed comparability,
credibility, and legal defensibility.
12.
Better utilizing staff and supervisors.
13.
As a training and reference resource written SOPs can provide a
framework for training programmes and briefings.
14.
Reduced learning curve/training time for new employees.
15.
Increased accountability and knowledge retention.
16.
Managing performance expectations SOPs describe and document
what is expected of personnel in the performance of their official duties.
17.
Improved health, safety and environmental consciousness in the
workplace.
18.
Well-written SOPs help to guarantee regulatory and legal
compliance.
19.
Systems analysis and feedback that allows comparison between
current work practice s and state-of-the-art standards of practice in
specialized technical services.
20.
Serve as checklist for co-workers.
21.
Serve as a checklist for auditors.

2. THE ROLE AND FUNCTION OF SOPS

2.1. The Role of SOPs

2.2. Interface with Other Documents

-

Policies
Norms and standards
Operational plans
Risk plans
Business plans
SDBIP
Service Level Agreements (SLAs)
Other

2.3. The SOP Management Process

3. CONDUCTING A NEEDS ASSESSMENT

3.1. Introduction
The Needs Assessment seeks to answer two fundamental questions:

What SOPs do we need?

Do the current SOPs meet our needs?

3.2. Understanding the Operating Environment

The operating environment refers to understanding the context in which
Specialized Technical Services functions.

3.3. Standards of Practice

Standard of practice is often used to describe accepted operating practices
within an industry or profession.

3.4. Local Needs

3. .5. Information Sources

3.6. The Needs Assessment Process

Step One: Develop organizational support for conducting the needs
assessment.
Step Two: Develop a plan of action.
Step Three: Review current SOPs.
Step Four: Gather information on internal factors affecting SOPs
Step Five: Consider external factors affecting SOPs.
Step Six: Develop a list of required SOPs based on the needs identified in
Steps 4 and 5.
Step Seven: Analyze existing SOPs based on the information gathered in
prior steps.
Step Eight: Create a formal needs assessment document.

3.7. Tool and Techniques

3.7.1. Swim-lane Flowchart
- For mapping processes.
3.7.2. Fishbone Diagram
- For cause-and-effect analysis to discover root causes, bottlenecks and
where and when a process is not working.
3.7.3. 80-20 Rule / Pareto Principle
- Identify the 20 % that cause 80 % of the effects.

4. DEVELOPING STANDARD OPERATING PROCEDURES

4.1. Approach to SOP

Concise
Step-by-step
Unambiguous
Short
Simple

4.2. The SOP Development Process

4.2.1. Build the Development Team

4.2.2. Provide Organizational Support

4.2.3. Establish Team Procedures

4.2.4. Gather Information and Identify Alternatives

4.2.5. Analyze and Select Alternatives

4.2.6. Write the SOP

4.2.7. Review and Test the SOP

4.2.8. Ratify and Approve the SOP

5. IMPLEMENTING STANDARD OPERATING PROCEDURES

5.1. Implementation Planning

5.2. Notification

5.3. Distribution and Accessibility

5.4. Training

5.6. Performance Monitoring

6. EVALUATING STANDARD OPERATING PROCEDURES

6.1. The Evaluation Process

6.2. Conducting Evaluations