guidelines on writing sop

Wastewater and Solid Waste Management in Provincial Centers

D n GTZ TA No: 2000.2208.7 - Project GTZ TA No: 2000.2208.7 Ti liu d n s: GL 002 - Project Document No.: GL 002 Pht hnh ln: 01 - Edition: 01

HNG DN LP QUY TRNH TC NGHIP CHUN (SOP)GUIDELINES ON WRITING STANDARD OPERATING PROCEDURES (SOP)

H Ni, thng 3 nm 2007 - Hanoi, March 2007

B Xy dng H NiMinistry of Construction Hanoihp tc viin cooperation with

T chc Hp tc K thut cDeutsche Gesellschaft fr Technische Zusammenarbeit (GTZ) GmbH

H tr K thut ca GTZ do GFA thc hinTechnical Assistance on behalf of GTZ by GFA Consulting Group & Associates

B Xy Dng 37 L i Hnh Qun Hai B Trng H Ni Vit Nam T: 84-4-974 0938 Fax: 84-4-974 0939 Email: [email protected]

HNG DN LP QUY TRNH TC NGHIP CHUNGUIDELINES ON WRITING STANDARD OPERATING PROCEDURES (SOP)

Ngi lin h ca GFA Consulting Group GmbH Your contact with GFA Consulting Group GmbH Gudrun Krause Fax +49 (40) 6 03 06169 Email: [email protected]

a ch Address GFA Consulting Group GmbH Eulenkrugstrae 82 D-22359 Hamburg Germany

Ngi chun b This guidelines was prepared by Roderick H. Chisholm CPA [email protected]

061107-Guideline Writing SOP-Rod-EN&VN-1.doc

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HNG DN LP QUY TRNH GP PHN NH GI KT QU HOT NG CA NHN VIN .................................................................................................................................. 1 TRC KHI LP ......................................................................................................................... 2 La chn loi quy trnh ......................................................................................................... 3 Xc nh ni cn c quy trnh ............................................................................................... 3 Xc nh phm vi ca SOP. .................................................................................................. 3 Xc nh ngi s dng quy trnh ........................................................................................ 4 Quyt nh mc chi tit ca quy trnh .............................................................................. 5 Mc chi tit thch hp ...................................................................................................... 5 S dng SOP cho o to.................................................................................................... 6 nh gi kh nng c ca ngi s dng ......................................................................... 6 Xc nh b cc m t .......................................................................................................... 6 Son tho quy trnh .............................................................................................................. 6 Hng dn s 1 Phc tho quy trnh................................................................................. 7 Hng dn s 2 S dng t ng c ngha ch ng..................................................... 7 Hng dn s 3 S dng cc khong dung sai bt c khi no c th ............................. 7 Hng dn s 4 em n cho ngi s dng SOP s linh hot trong trnh t cc bc ..................................................................................................................................... 8 Hng dn s 5 Kim tra v Ph duyt ............................................................................ 8 Hng dn s 6 Thc hin ............................................................................................... 9 Hng dn s 7 m bo c php nht qun .................................................................. 9 Hng dn s 8 S dng t vng trong sng .................................................................. 9 Hng dn s 9 S dng cc mc c ch .................................................................... 9 PH LC A V D V MT QUY TRNH TC NGHIP CHUN........................................... 10

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TABLE OF CONTENTSINTRODUCTION TO WRITING PROCEDURES THAT CONTRIBUTE TO ASSESSING STAFF PERFORMANCE ............................................................................................................. 1 BEFORE WRITING ...................................................................................................................... 2 Choose the Type of Procedure............................................................................................. 3 Determine Where a Procedure Is Needed............................................................................ 3 Determine the Scope of the SOP. ........................................................................................ 3 Identify Who Will Use the Procedure .................................................................................... 4 Decide On a Level of Detail .................................................................................................. 5 Appropriate Level of Detail ................................................................................................... 5 Use the SOP for Training...................................................................................................... 6 Assess the Users Reading Ability ........................................................................................ 6 Define the Description Format .............................................................................................. 6 Generating a Procedure ....................................................................................................... 6 GUIDELINES FOR WRITING SOPs ............................................................................................ 7 Guideline No. 1 - Draw a Procedural Sketch ........................................................................ 7 Guideline No. 2 - Use Active Words ..................................................................................... 7 Guideline No. 3 - Use Ranges Whenever Possible .............................................................. 7 Guideline No. 4 - Give SOP Users Sequence Flexibility....................................................... 8 Guideline No. 5 - Review and Approval ................................................................................ 8 Guideline No. 6 Implementation ........................................................................................ 9 Guideline No. 7 - Develop Consistent Syntax...................................................................... 9 Guideline No. 8 - Use Clear Vocabulary ............................................................................... 9 Guideline No. 9 - Write Useful Headings ............................................................................. 9 ATTACHMENT A EXAMPLE OF A STANDARD OPERATING PROCEDURE ...................... 12

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HNG DN LP QUY TRNH GP PHN NH GI KT QU HOT NG CA NHN VIN Khi lp quy trnh, iu quan trng l phi lp k hoch cn thn, chng ta cn ch : Phong cch vit ca t chc. Cng mt vn nhng cc t chc khc nhau nhn mnh nhiu hay t ty thuc vo phong cch vit v bo co ca t chc. Kinh nghim v c im ca ngi s dng quy trnh Loi hnh nhim v, v d: qun tr, nhn thc, ra quyt nh. Ni cn quy trnh Phm vi ca quy trnh Mc chi tit Cch s dng t, v d: ch ng, phc tp Cc gch u dng S ng gp ca cc chuyn gia v ni dung.

INTRODUCTION TO WRITING PROCEDURES THAT CONTRIBUTE TO ASSESSING STAFF PERFORMANCEWhen writing procedures it is very important to plan carefully, we need to consider:

The organizations style of writing. Different organizations place greater and lesser emphasis upon the style of its reporting and writing. Experience and characteristics of the procedures users The type of task, e.g., administrative, cognitive, decision-making. Where the procedure is needed Scope of the procedure Level of detail Use of words, e.g., active, difficulty Bullet points Subject-matter experts contributions.

Ni chung, tt c chng ta u bi ti sao quy trnh (hay quy trnh tc nghip chun, SOP) li quan trng. Quy trnh s: xc nh cch thc hin mt nhim v t kt qu nh, chun ha cch thc hin mt nhim v hn ch ti a s thay i, l c s o to nhng ngi thc hin nhim v, l mt cng c thng tin h tr ngi thc hin nhim v trong cc hot ng cng vic. Mc d vy, chng ta cng bit rng c mt s kh khn gn lin vi vic lp v p dng SOP. Trong s , c nhng kh khn xut pht t mt thc t l quy trnh: thay i thng xuyn, khng phi lc no cng c tun th, mt qu nhiu thi gian kim tra v ph duyt, thiu nht qun v c s khc bit nh gia cc phng/ban, thng khng c bin son cho i tng l nhng ngi s dng cui cng, thng khng chi tit, hoc tri li, qu chi tit, khng tng xng vi cch thc hin cng vic trn thc t, v (cn nhiu kh khn khc). Quy trnh khng ch n gin l cc ti liu chc nng xc nh nhim v hoc ch dn phi lm g hay phi lm nh th no. Quy trnh l kt qu ca mt qu trnh bao gm bin son, r sot, ph duyt, thc hin, ph bin, duy tr

In general terms, we all know why procedures (or standard operating procedures, SOPs) are important. They will:

define how a task is to be performed to achieve a specified outcome, standardize the way a task is to be performed so as to minimize variation, form the basis for training the task performers, provide an informational tool that supports the task performers on the job activities.

However we are also aware that there are some difficulties that are apparent with the writing and adoption of SOPs. Some of these difficulties related to the fact that often they :

change frequently, are not always followed, take too long to review and approve, are inconsistent and slightly department to department, are often not written for end-users, are often not detailed enough or are too detailed, dont match how the job is really done, and (the list continues). different from

Procedures are more than simply functional documents that define a task or tell what to do or how to do it. Procedures are the results of a process that includes generation, review, approval, implementation,

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v kim sot. Phn ln cc kh khn lin quan n quy trnh nh lit k trn xut pht t cc hot ng khng ph hp hoc khng c kim sot ng cch.

distribution, maintenance, and control. Most of the procedural difficulties listed above have their roots in activities that are inadequate or improperly controlled.

Hnh 1/Figure 1

Bc 1 Bin son/ Step 1 Generation

Bc 2 R sot / Step 2 Review

Bc 7 Kim sot / Step 7 Control

CC BC SON THO V P DNG SOP / ADOPTING A SOP

Bc 3 Ph duyt / Step 3 Approval

Bc 6 Duy tr / Step 6 Maintenance Bc 5 Phn phi / Step 5 Distribution

Bc 4 Thc hin / Step 4 Implemenation

Trc khi lp SOP, iu quan trng l phi lp k hoch cn thn xc nh quy trnh s c trnh by v son tho nh th no. y s l nhng ch dn v phong cch v chng khng ch bao gm cch thc trnh by quy trnh m phi c c nhng im s nu di y. Mt khi nhng vn ny c gii quyt v thng nht, vic son tho, r sot v ph duyt quy trnh s nhanh hn nhiu. Thm na, quy trnh c son tho s d s dng hn cho mc ch o to v gp phn to ra kt qu hot ng tt hn v nht qun hn. Nhng hng dn di y tp trung vo vic lp quy trnh.

Before writing an SOP, it is important to plan carefully what your organizations procedures will look like and how they are to be written. That style guide covers more than just the appearance of the procedure; it needs to include the points discussed here.

Once these issues are resolved and agreed on, the generating, reviewing, and approving of a procedure will go much faster. Additionally, the resulting SOPs will be easier to use in training and will contribute to better, more consistent performance.

These guidelines focus on the writing of procedures.

TRC KHI LPTrc khi lp mt SOP, chng ta cn cn nhc quy trnh no cn thit, quy trnh no c, kinh nghim v c im ca ngi s dng (ngi thc hin), loi hnh v thi lng o to d kin, v cch thc SOP c dng trong cuc sng thc.

BEFORE WRITINGBefore writing an SOP, we need to consider what procedures are needed, what procedures have already been written, the experience and characteristics of the users (the performers), the type and amount of training intended, and how the SOPs will be used in real life.

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La chn loi quy trnh SOP c 3 loi chnh: cc nhim v qun tr (cc quy tc hay nhim v da trn quy tc, chng hn nh ai c php ra vo mt khu vc c th); cc nhim v lin quan n nhn thc (v d nh quyt nh mt vn , r sot cc ghi chp ca phng th nghim); v cc nhim v lin quan n ng c (v d nh lp t mt thng gy men). Ba loi quy trnh ny c mt s im trng nhau. Xc nh ni cn c quy trnh xc nh ni cn c quy trnh, hy lp mt biu tin trnh cho mt lnh vc hot ng v xc nh cc qu trnh lin quan cng cc nhim v trong tng qu trnh. Nhng nhim v ny s tr thnh danh mc khi u cho cc tiu trong quy trnh ca bn. SOP c lp s xc nh cch thc thc hin nhng nhim v ni trn. Nu c quy trnh th c th sp xp li theo nhng nhim v c lit k. So snh biu tin trnh hoc tiu cho cc lnh vc khc nhau c th ch ra nhng lnh vc c th hoc l ra c th s dng quy trnh h tr vic chun ha. i khi mi ngi t ra cu hi liu SOP c cn thit khng. Trong trng hp nh vy, iu quan trng l tr li mt s cu hi sau y: Nhim v hoc hot ng c quan trng khng? Nhim v c nhiu ngi tham gia khng? Nhim v hoc qu trnh cng vic c nh hng n s an ton, tnh ng nht, bn, tinh khit hoc cht lng sn phm khng? Nhim v c cn c thc hin mt cch nht qun khng? Ch cn mt cu hi trong s trn c tr li C th lp quy trnh l vic nn lm. Xc nh phm vi ca SOP. Mt cu hi thng gp khc l Quy trnh c di bao nhiu?. Thc ra, cu hi ny thng c ngha l Quy trnh c phm vi rng n u? iu ny phn no ph thuc vo vic quy trnh c m t mt qu trnh gm nhiu nhim v (do nhiu ngi t nhiu phng ban khc nhau thc hin) hay khng, hoc quy trnh ch quy nh cho mt nhim v v cc bc cn thit hon thnh nhim v. i khi, cc t chc s dng nhiu loi ti liu chc nng c th hn, gi l hng dn cng vic,

Choose the Type of Procedure SOPs are of three main types:

administrative tasks (rules or rule-based, such as who has permission to enter a particular area); cognitive tasks (a decision- making activity, for instance, reviewing laboratory notebooks); and motor tasks (such as setting up a fermentor).

These distinctions have some overlap.

Determine Where a Procedure Is NeededTo determine where an SOP is needed, create a flow chart of an operational area and identify the processes involved and the tasks within those processes. Those tasks become your initial list of procedure titles.

The SOPs that are to be written will define how those tasks are to be performed. If procedures already exist, they can be mapped against the listed tasks. Comparing flow charts or titles of different areas can show where common procedures are or could be used to aid in standardization.

Sometimes people will ask whether an SOP is required. When asked that, it is important that several questions are answered:

Is the task or activity important? Is more than one person involved? Does the task or process affect the safety, identity, strength, purity, or quality of the product? Does the task need to be done consistently?

If the response to any of those questions is yes, Then it is recommended that a procedure be written.

Determine the Scope of the SOP.Another frequently asked question is How long should a procedure be? What that question usually means is, How broad should the procedure be? In part, that depends on whether a procedure describes a process with many tasks (performed by various people in different sections or departments) or whether the procedure defines one task and the steps needed to accomplish that task. Sometimes, organizations use more specific types of functional documents called work instructions to provide details on how one person accomplishes his or

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hng dn chi tit cch thc mt nhn vin cn thc hin cng vic. Mt s t chc phn bit gia SOP v hng dn cng vic, s khc khng phn bit. Tuy nhin d c tn gi nh th no th cc ti liu chc nng ny vn phi c cu trc hp l h tr kt qu hot ng thc t. Cc t chc ln thng c mt h thng cp bc cc quy trnh tun theo cc chnh sch c xy dng trong qu trnh lp k hoch chin lc. Khi cc quy trnh ny c khoanh vng phm vi p dng, chng s tp trung hn vo cch thc vn hnh ca mt phng/ban c th. Ni chung, iu quan trng l phi quyt nh c nn lp SOP ring cho tng nhim v khng hay ch lp mt SOP chung cho tt c mi nhim v. Trn thc t, s la chn tt hn l nhm cc nhim v do mt i hoc mt c nhn lm trong cc iu kin vn hnh bnh thng vo mt quy trnh (v d nh lp t, vn hnh, tho d v lau dn). Cc nhim v khc (v d nh sa cha sai st, bo tr, v iu chnh kch c) c th c quy nh trong cc SOP ring bit. Khng c cch lm no tuyt i ng hay tuyt i sai khi lp quy trnh: son tho v duy tr mt quy trnh ngn vi phm vi nh th d hn, nhng cui cng bn li phi lp ra nhiu quy trnh hn. T quan im ca ngi s dng, cc quy trnh t 2 n 6 trang thng khng ng ngi nh mt ti liu 30 trang. Xc nh ngi s dng quy trnh Ngi s dng cp 1 l nhng ngi thc s thc hin nhng nhim v c xc nh trong quy trnh; ngi s dng cp 2 l nhng ngi c th cn bit mt iu g v quy trnh nhng khng trc tip s dng quy trnh. Ai l ngi s dng cp 1 ca quy trnh? H c kinh nghim khng? Tc thay th v tuyn dng nhn vin trong t chc ca bn c n nh khng? Nhn vin ca bn c kh nng c ti liu bng ngn ng dng vit SOP khng v mc kh nng n u? Trn thc t nhn vin s s dng ti liu nh th no? Nhn vin c cng khai quy trnh ti ni lm vic khng, hay ch s dng quy trnh khi cn tham kho? Ngi s dng quy trnh c thng xuyn thc hin nhim v khng? H s c o to n mc no? Cu tr li cho nhng cu hi ny s xc nh mc c th ca quy trnh.

her job. Some organizations distinguish between SOPs and work instructions, others do not. However irrespective of what such functional documents are called, they need to be well constructed to support actual performance. Large organizations generally have a hierarchy of procedures that follow from the policies developed as part of the strategic planning process. As these procedures get more localized, they are more focused on how a section or department or area operates.

In general it is important to decide whether to write an individual SOP for each task or one procedure covering all the tasks. In practice it a better choice would be to group into one procedure those tasks that are done by one team or individual during normal operations (for example, setup, operation, disassembly, and cleaning). Then the other tasks (for example, troubleshooting, preventative maintenance, and calibration) would be separate SOPs. No right or wrong way exists for procedures: Smaller, shorter procedures are easier to develop and maintain, but you end up with more of them.

From a users point of view, several two- to six-page procedures are less intimidating than one 30- page document.

Identify Who Will Use the ProcedurePrimary users are those who actually perform the tasks defined; secondary audiences are those who may need to know something about the procedure but do not directly use it.

Who are your primary users? Are they experienced? Is your work force stable in its turnover and hiring? What is the reading level of work personnel in the language in which the SOPs will be written? How will staff actually use the document? Will staff have the procedure open in their work areas (the expected practice with laboratory methods), or will they use it only as a reference? How frequently will users perform the task? How much training will they be given?

The answers to these questions will shape the amount of detail contained in your procedure.

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Quyt nh mc chi tit ca quy trnh Mt vic quan trng cn quyt nh trc khi lp SOP (hoc trc khi sa i mt h thng quy trnh) l xc nh mc chi tit m quy trnh cn p ng. iu c cho l rt quan trng - l cn i mc chi tit vi mc k nng ca ngi s dng. Qu nhiu chi tit s gy nhm ln, qu t chi tit th khng thng tin. Do nn m bo mc chi tit thch hp quy trnh thng tin v ngi s dng c th tun th quy trnh m khng b nhm ln. Khi lng chi tit ti thiu cho mt quy trnh cn bao gm cc cu hi ci g c ngha then cht (tc l cc bc cn thit xc nh nhng g s xy ra), cc cu hi nh th no c ngha then cht (tc l cc bc ph xc nh tng bc chnh s c thc hin nh th no), v ai, nu thch hp (tc l ai s thc hin nhng bc chnh v bc ph, nu khng ch c mt ngi lin quan). Tnh cht quan trng c hiu l nhng iu cn thit ngi thc hin hon thnh thnh cng mc ch ca quy trnh. mt mc no , tnh cht quan trng ph thuc vo nhng g m ngi thc hin c o to, cng nh kinh nghim v trnh ca anh ta/c ta. Khi mc chi tit tng ln (theo di ca ti liu), nh ngha tnh cht quan trng s c m rng. i vi cc SOP c vit chi tit hoc rt chi tit, cc cu hi nh th no s t hn. Cc nguy c khi vit mt quy trnh chi tit v rt chi tit bao gm: Nhng quy trnh nh vy c th rt kh c v kh p dng. Hn na, cc quy trnh ny c th khng chp nhn s sai st. Ch cn mt trong s cc chi tit rt c th thay i, quy trnh s sai v mt k thut. Do , thch thc y l phi son tho c mt ti liu hu ch ch quy nh nhng quy trnh hoc nhim v tht s cn thit. Mc chi tit thch hp Ti liu cn chi tit hn nu: Nhim v t khi c thc hin Nhim v c nhiu ngi tham gia Nhim v ch cho php sai st nh trong thc hin Nhim v c ngha quan trng o to cha ton din t thi gian thc hnh Mc chun ho. Khng phi tt c cc SOP ang p dng trong t chc u c mc chi tit nh nhau; iu hp l l phi son tho c cc quy trnh p ng nhu cu

Decide On a Level of DetailA major decision to make before writing any SOP (or before revising a procedure system) is defining the level of detail that should be met. It seems that it is very important to balance the level of detail with the skill level of the user. Too much detail will be confusing, and too little will be uninformative. It is suggested that the Appropriate Level of of Detail is reached when theres sufficient for the procedure to be followed without confusion. The minimum amount of detail in a procedure should include the critical whats (the required steps defining what is to happen), the critical hows (the sub steps defining how each step is to be performed), and when applicable, the whos (that is, who performs those steps and sub steps) if more than one person is involved.

Criticality is defined as that which is necessary for a performer to be successful in accomplishing the goal of the procedure. In part, criticality depends on the performers training, experience, and education. As the detail level increases (along with the length of the document), the definition of criticality widens.

For SOPs with high and fine levels of detail, less critical hows are included. Hazards exist in using high or fine levels of detail:

Such procedures can be hard to read and follow. Also, they can be unforgiving: If one of the very fine details changes, the procedure is technically wrong.

Therefore, the challenge is to create a useful document that defines the process or task only to the necessary.

Appropriate Level of DetailA higher level of detail is called for when:

Task is infrequently performed Many different people are involved Little variation in performance can be allowed Task is critical Training is not comprehensive Little time to practice Level of standardization.

Not all the SOPs in use throughout the organization need the same level of detail; it is reasonable to write to meet the needs of the users.

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ca ngi s dng. Cc khu vc hoc phng/ban khc nhau c th c nhng nhu cu khc nhau. (Cc t chc c hng dn cng vic thng tp trung vo mt nhim v c th v mt ngi (hoc v tr cng vic) c th chu trch nhim v nhim v . S dng SOP cho o to Mc ch v phm vi ca SOP l cc yu t c th h tr o to. Mc ch ca SOP c th ng nht vi mc ch ca kha o to. Phm vi ca SOP (p dng SOP u v cho ai) s rt c ch khi xc nh nhng ngi cn c o to. nh gi kh nng c ca ngi s dng Mt s t chc tin hnh kim tra kh nng c ca nhn vin, nhng nhiu t chc hon ton khng c nim g v vic ny. Th ch cho cc d liu l mt hng dn phc tho v cch vit quy trnh cho cc b phn hot ng t n bc 7 v kh nng c v vit quy trnh cho cc cn b chuyn mn vi kh nng c t bc 10 n bc 12. Microsoft Word c cc cng c ci t sn kim tra kh nng c (v d nh cng c cho im theo bc Flesch-Kincaid), qua y c th c mt nim khi qut v kh nng c ti liu. c c n im ny trong ti liu ny s t bc 10 theo thang tnh im ca cng c Flesch-Kincaid. so snh, hu ht cc t nht bo c vit mc xp x bc 12. Cu vn ngn gn, t ng t m tit v cc on ngn, tt c u gip cho quy trnh tr nn d c hn. Xc nh b cc m t im cui cng cn cn nhc trc khi vit l quyt nh xem quy trnh s c trnh by nh th no (b cc ca quy trnh). Xem thm Ph lc A bit thm mt s v d v b cc ca quy trnh. Son tho quy trnh Sau khi hon thnh phn m u, ngi vit cn bit hoc tranh th s tr gip ca mt ngi c kin thc k thut lin quan n cc nhim v hoc qu trnh cng vic s c quy nh trong SOP, xc nh quy trnh s c son cho ai, mc chi tit n u v cch trnh by nh th no. Ghi nh: Nh Sholem Asch tng ni, Vit s tr nn n gin hn nu bn c iu g ni.Different sites or departments may have different needs. (Organizations that write work instructions typically focus on a particular task and the particular person (or job position) responsible for that task.)

Use the SOP for TrainingElements of a procedure that help with training include the SOPs purpose and its scope. The purpose can be equated to the goal of a training event: The scope (where and to whom the procedure applies) is useful in identifying those who need to be trained.

Assess the Users Reading AbilityAlthough some organizations have examined the reading levels of their work force, many have no idea. In lieu of data, a rough guide is to write procedures used in operational areas to a 7th-grade level and those used by professional staff to a 10th- to 12thgrade level

Microsoft Word has built-in readability testing tools (such as the Flesch-Kincaid grade-level score) that can provide a rough idea of a documents readability.

The Flesch-Kincaid reading grade level for this article up to this point is 10th grade. For comparison, most daily newspapers are written at approximately a 12th-grade level. Short sentences, words with few syllables, and short paragraphs all contribute to more readable procedures.

Define the Description FormatOne last item to consider before beginning to write is to decide what the procedural description is to look like (the layout of the procedure). Please refer to appendix A which gives some examples of procedures layouts.

Generating a ProcedureWith the preliminaries completed, the writer needs to know or to enlist the assistance of a person who has the technical knowledge required of which processes or tasks need to be defined by SOPs and for whom they are intended, the level of detail needed, and the format to be used. Remember: As Sholem Asch said, Writing comes more easily if you have something to say.

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HNG DN VIT SOPHng dn s 1 Phc tho quy trnh Trc khi bt u vit quy trnh, hy vit mt bn phc tho bao gm: mt biu tin trnh n gin, mt bn m t vn tt v nhng g cn lm trong tng bc, cc cu hi nh th no c ngha then cht, thi im tin hnh cc bc (tn hiu), v bt k thng s k thut no cn c p ng, cc lu phng nga, cnh bo hoc cc ghi ch khc. T bn phc tho ny, vic vit quy trnh bng b cc hoc mu chnh thc s d dng hn. u im ca vic phc tho quy trnh l nhng ngi quen thuc nht vi qu trnh cng vic hoc nhim v c th lm vic phc tho (y l nhng ngi c gi l chuyn gia theo ni dung, h c th s ngn ngi nu c yu cu vit c mt quy trnh y ). Khi bn phc tho hon thnh, mt ngi c k nng vit chuyn nghip c th vit c quy trnh nhanh v d dng hn. Hng dn s 2 S dng t ng c ngha ch ng Khi vit SOP, s pht sinh vn phong cch vit: Bn s dng bao nhiu t? Rt kh vit nhng cu k s dng nhiu t. Cc hot ng hoc yu cu thng b che lp mt di nhng cu kiu ny. Hn na, khi r sot v ph duyt, quy trnh cng nhiu t th cng to ra nhiu vn bn ci. Cch tt nht l vit r rng v th ch ng. Cu trc vn tt nh trong in tn s c ch. Hu ht ngi vit quen vi quy tc s dng cc ng t ch ng bt u cu (v d nh hy tho ci u vi phun). Cc nghin cu ch ra rng khi c, chng ta thng c vi t u cu, b qua on gia cu, tm du chm cu sau quay tr li c khong 3-4 t cui trc du chm cu. iu cho thy chng ta thng hi li bing khi c. Nhng nhng ngi vit quy trnh li ly iu ny lm li th: h thng t nhng thng tin quan trng u hoc cui cu. Hng dn s 3 S dng cc khong dung sai bt c khi no c th V d: Hy iu chnh mc pH n 7,5 (hoc trong khong t 7,0 n 7,8). Cu ny cho bit khong dung sai cho php (trong ngoc n) gim bt s sai st. Nu s dng cc khong dung sai, bn cn

GUIDELINES FOR WRITING SOPs Guideline No. 1 - Draw a Procedural SketchBefore starting to write a procedure, create a sketch that includes a simple flow chart, a telegraphic description of what is done at each step, the critical hows, when the step is performed (the cue), any specifications that need to be met, and any warnings, cautions, or other notes.

From that sketch, it is easier to write a procedure using the official layout or template. An advantage gained by creating a procedural sketch is that the sketch can be done by those most familiar with the process or task - the subject matter experts (SMEs) - who may be intimidated if asked to write a procedure.

Once the sketch is completed, a more skilled writer can easily and quickly write the procedure.

Guideline No. 2 - Use Active WordsA style issue comes into play when writing the SOP: How many words do you use? Narrative statements with lots of words - can be difficult to work with. Actions or requirements are typically buried in such statements. Also, when it comes time for review and approval, more words provide more material for people to argue over. Writing in a clear, active tense is best. Telegraphic wording structures are useful. Most writers are familiar with the rule of thumb that suggests using active verbs to begin sentences (for example, Disassemble the spray head). Studies have shown that when we read, we look at the first several words, skip over the middle, look for the period mark, and then, going backward from the period, read the last three to four words in the sentence. That means we are usually a little lazy in our reading. But procedure writers use that to their advantage: They put the important information at the start or at the end of statements

Guideline No. 3 - Use Ranges Whenever PossibleFor example: Adjust pH to a target of 7.5 (7.0 to 7.8), noting the allowable range in parentheses to reduce deviations. If ranges are used, be sure that they are consistent with the registrations, approvals, and

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chc chn rng chng thng nht vi cc ng k, ph duyt v cc nghin cu c hiu lc. Hng dn s 4 em n cho ngi s dng SOP s linh hot trong trnh t cc bc S dng cc gch u dng thay cho s v ch ci, nu thch hp. Cc s v ch ci xc nh mt chui hot ng trong cc bc phi c thc hin theo ng trnh t . Cc gch u dng khng th hin th bc hay trnh t. Mt phng n thay th khc l ghi ch trn cc bc c nh s hoc gch u dng (v d nh, Ghi ch: 5 bc di y c th c thc hin theo trnh t bt k). Sau khi vit xong quy trnh d tho, v trc khi chuyn sang giai on kim tra chnh thc, cc chuyn gia ni dung s phi r sot ti liu mt cch cn thn. i khi, mi ngi hot ng trong cc ngnh khc gi y l thng qua quy trnh d tho, nhng vi nhng ngi lm vic trong cc c quan cng ch nh chng ta, vic ny t kht khe hn nhiu. Vic r sot c th ch n gin l trnh by ti liu d tho cho nhng ngi s thc hin nhim v, hoc bn lun v cc bc thc hin trong mt nhm nh 3, 4 ngi. Mc ch r sot l bo m rng ti liu d tho hon chnh, chnh xc v kh thi. Nhng bc r sot nh th ny gip cho giai on kim tra chnh thc nhanh hn. Hng dn s 5 Kim tra v Ph duyt Sau khi quy trnh d tho c son xong, c th bt u giai on kim tra thng thng c hai kiu kim tra. Trc tin l kim tra chung mt ai (khng nht thit phi l mt chuyn gia v ni dung) s xem ti liu d tho m bo rng ti liu c trnh by ng, ngha l ch c duy nht mt u v s hiu, y cc trang v ph lc, v.v. Tip theo l kim tra ni dung vic ny nht thit phi c chuyn mn hoc c s kin thc c th. Kim tra ni dung s c s tham gia ca cc phng/ban nh phng kim sot m bo cht lng, phng ph duyt, phng qun l cc v vic lin quan n lut nh, v cc phng/ban khc, nu ph hp. im mu cht qu trnh kim tra din ra nhanh gn v hiu qu l phi m bo rng tt c nhng ngi kim tra bit r phong cch trnh by v mc chi tit ca quy trnh cng nh cc ni dung c th cn xem xt trong qu trnh kim tra. Vic n nh nhng tiu ch (c l l trong mt Quy trnh v cc quy trnh) s gip gim ti a kh nng c iu g sai st hoc ai thch sng to t ng (Thm na,

validation studies.

Guideline No. 4 - Give SOP Users Sequence FlexibilityWhen it is appropriate, use bullet points (?) instead of numbers or letters. Numbers or letters indicate that a sequence is being defined and that the steps must be performed in that order. Bullet points indicate the absence of hierarchy or sequence. An alternative is to put a note above the numbered or bulleted steps (Note: the following five steps can be performed in any sequence).

Once the draft procedure is written, and before it goes into the official review phase, SMEs should examine it carefully.

Sometimes people in other industries call that validating the draft procedure, but to us in the public service, it is a much less rigorous task. It can be as simple as showing it to others who perform the task or talking through the steps in a small group of three or four people.

The goal is to be sure the draft document is complete, correct, and doable. Such steps make the formal review phase faster.

Guideline No. 5 - Review and ApprovalWhen a draft procedure emerges from the generation phase, it is ready for review - typically two types of review. In inspection reviews, someone (it doesnt have to be a content expert) looks at the draft document to be sure it looks right; that is, that it has a unique title and number, all the pages and attachments are present, and the like. Next comes the content review, which does require expertise or a specific knowledge base. This would include the quality assurance, validation, and regulatory affairs departments and other departments as appropriate.

A key to rapid, effective reviews is to make sure all reviewers know the style and level of detail required and also know the specific things to look for during their review. Having those criteria assigned (perhaps in your Procedure on Procedures) minimizes the chance that something will fall through the cracks or that everyone will be a wordsmith. (Also, if the SOP was written in a telegraphic fashion using fewer words, fewer words will be worked over.)

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nu SOP c vit vn tt theo phong cch in tn th cng t t cng tt). Hng dn s 6 Thc hin Trc khi c hiu lc, nhng ngi s s dng quy trnh cn c ph bin v o to v quy trnh. Guideline No. 6 ImplementationBefore the effective date of a procedure, it needs to be communicated, and training provided for, those who will use it.

Hng dn s 7 m bo c php nht qun Hy tun th cc quy tc ng php tr phi bn c l do thch ng khng lm nh vy. S dng cc cu cng ngn cng tt trong cc bc ca quy trnh. Hy m t cc bc ny tht c ng nhng khng qu vn tt nh in tn. Hy s dng cch ch ng. Vit cc bc ny bng cc ng t mnh lnh nguyn th cha chia. Hng dn s 8 S dng t vng trong sng iu quan trng l quy trnh s dng cc t ng d hiu v truyn t ng ngha, v cc t c s dng nht qun. S dng t ng thng nht trong mt quy trnh v gia cc quy trnh khc nhau. S dng cc t ngn gn, n gin v ph thng trong cch dng t chun. Trnh dng cc t c th b hiu nhm. Hn ch s dng t vit tt v ch cu to t cc ch u t. Hng dn s 9 S dng cc mc c ch Bo m rng cc mc tm tt c nhng thng tin cha trong mi chng. S dng cc mc cp 1 cho cc on tm tt khi qut nht, v tng dn mc c th khi ln n cc mc cp 4. S dng t nht 2 mc mi cp. S dng quy tc ng php tng t nhau nu cc mc cng cp . Lp li ch th trong cu u tin ca on st ngay sau mc, thay v s dng mt i t thay th. Trnh bt u mc bng mo t hoc mt thut ng k thut c bt u bng ch vit thng. Khng lp li chnh xc mi t ng ca mc chnh trong cc mc ph. Lun nh rng mc dng xc nh nhng im chnh; mc c vai tr chuyn tip, ch ra cu trc tng th ca vn bn, v xc nh cc chng c th c mt cch chn lc.

Guideline No. 7 - Develop Consistent SyntaxFollow the rules of grammar unless there is a very good reason not to do so. Use sentences that are as short as possible in steps. Write steps that are concise, but not telegraphic. Use the active voice. Write steps as positive commands.

Guideline No. 8 - Use Clear VocabularyIt is important that procedures use words that are easy to understand and convey correct meaning. It is also important that words be used consistently.

Use words procedures.

consistently

within

and

among

Use short, simple words that are common in standard usage. Avoid words that may be misunderstood. Restrict the use of abbreviations and acronyms.

Guideline No. 9 - Write Useful Headings Make sure that the headings summarize theinformation discussed within a section.

Use level-one headings for the broadest summaries, and become more specific as you progress to level-four headings. Use at least two heads at each level. Use parallel grammar when writing headings at the same level. Repeat the subject in the first sentence of the paragraph following a head, rather than using a pronoun to represent it. Avoid starting headings with articles or with a technical term that begins with a lowercase letter. Don't repeat the exact text of higher-level headings in subheads. Always remember that headings identify key points, serve as transitions, show the overall structure of the document, and identify specific sections for selective reading.

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PH LC A V D V MT QUY TRNH TC NGHIP CHUN Quy trnh tc nghip chun (SOP)

Tn quy trnh M, s hiu & s bn ca quy trnh Ngi son tho: . Ngi ph duyt: Ngi hiu nh cui cng: .

Kim sot vic lu tr ti liu o to v Vn hnh v Bo dng AM-OM-TR/ No. 22 / Vers. 1 Ngy: 17/5/2004 Ngy: 25/5/2007 Ngy:

Ngi thc hin: Ngi gim st: Ngy bt u quy trnh:

ng Hng

ng Phng 1/7/2007

Tuyn b chnh sch: SOP ny gii quyt cc yu cu nu trong iu 64, Chnh sch o to s 14 nm 1987)

Phm vi p dng: (Tt c cc nhn vin thuc phng o to, c bit l ngi lu tr ti liu o to)

Mc tiu thc hin: (Khi thc hin chnh sch ny, ngi lu tr ti liu o to s c kh nng thc hin quy trnh v lu tr ton b ti liu o to do phng o to lp s dng v chnh sa sau ny).

Cc ch s kt qu: Tt c cc ti liu c trnh by bng c hai th ting lu tr, v tt c cc cuc hp u c phin dch phc v r rng).

C s lp quy trnh: C 3 nh thu, mi nh thu mt thnh ph, v theo hp ng, mi nh thu u phi o to y v Vn hnh v Bo dng, ng thi cung cp s tay vn hnh bo dng cho tt c mi nh xng v thit b m h s xy dng, lp t v bn giao. iu quan trng l chng ta phi c c cc ti liu o to ny v lu tr chng mt cch an ton v d truy cp sau ny o to cc nhn vin mi v o to li cc nhn vin c).

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Quy trnh

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Tt c cc th t v ti liu s c gi trc tip n phng o to v chuyn thng cho Nhn vin kim sot ti liu (gi tt l MCP) Ngay khi nhn c ti liu, MCP s nh s ti liu v ghi vo danh mc cc ti liu c son tho cho mc ch o to Vn hnh v Bo dng) Sau MCP s in thng tin vo hai phiu ti liu, mt phiu c nh km vi ti liu v phiu kia c vo tp h s kim sot ti liu ang s dng. Hai phiu ti liu ny phi ging nhau. Tip , MCP s chuyn ti liu v cc phiu ti liu cho ngi c trch nhim nhn xt, ngi ny phi k vo c hai phiu ti liu. Ngay sau khi ngi nhn xt c xong ti liu v vit ra cc nhn xt ca mnh cng nh kin ngh cc thay i, hoc chp nhn rng ti liu iu kin c ph duyt, ti liu s c tr li cho MCP cng vi hai phiu ti liu c k. Nu nh phi sa i, ti liu s c MPC chuyn tr li cho ngi vit (xem tip bc 9) Nu c nh gi l bn chnh thc, ti liu s c MPC chuyn ln cho Gim c PMU ph duyt. As a follow on to no 7 above Ngay sau khi ngi vit thc hin cc sa i cn thit, ti liu s c chuyn tr li cho MCP a cho ngi nhn xt kim tra. Lu rng quy trnh nhn xt, sa i v kim tra s tip tc lp li cho n khi ngi nhn xt va v chp nhn rng ti liu tiu chun trnh duyt. Ngay khi ngi nhn xt cm thy rng ti liu sn sng c duyt, ti liu s c chuyn cho MCP k v trnh ln Gim c PMU xem xt ph duyt. Ngay sau khi ti liu c ph duyt, MCP s ly ti liu v chuyn mt bn sao li cho ngi vit bit thng tin, bn gc s c lu sau ny cc cn b ca phng o to c th s dng, tham kho cho mc ch theo di o to.

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ATTACHMENT A EXAMPLE OF A STANDARD OPERATING PROCEDURE

Standard Operation Procedure (SOP)

Name of procedure Code, number & version of procedure Originated by: . Approved by: Last Revised by: .

Control of O&M Training Documentation AM-OM-TR/ No. 22 / Vers. 1 Date: May 17, 2007 Date: May 25, 2007 Date:

To be followed by: Supervisor: Date procedure commences:

Mr. Hung Mr. Phuong July 1, 2007

Policy statement: This SOP addresses the requirements of clause 6 of the Training Policy no. 4 of 2006

Scope: All staff in the training unit and in particular the training documentation person

Performance Objective: Once this policy has been implemented, the training documentation person will be able to accept and archive all training documentation held by the unit for future use and revision.

Performance Indicator: All documentation will be numbered, safely stored and easily recovered.

Rationale: There are 3 contractors, one in each of the thee cities and each is required by their contract to provide full Operations and Maintenance training, and manuals for all of the plant and equipment that they will construct, install and hand-over. It is important that this documentation is received and archived in a safe and easy accessible manner for future training of new staff and refresher training of existing staff

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Process 1 All correspondence and materials will be directly sent to the training unit and given directly to the Materials Control Person. (hereafter called MCP) The MCP will immediately on receipt assign the document a discrete number and list it in the document inventory (specially prepared for O&M training) The MCP will then fill out two document records, one to be attached to the document and one to be placed in the running document control file. The two documents will always be kept so that they are identical. The MCP will then take the document and the document records to the relevant commentator for immediate action, and that person will sign both document records Once the commentator has read the document and made written comments, and recommendations for revision, or agreed that it is in a state to be further approved, the document will be returned to the MCP, and both record sheets signed. If the document needs further revision it will be returned to the originator by the MPC, (go to 9) If the document is considered to be in its final format then it is to be taken by the MCP, to the Director of the PMU for approval. As a follow on to no 7 above Once the originator has made the necessary revisions then document will be returned to the MCP, who will return it to the commentator for checking. Note - this cycle of comments and revision and checking, will continue until the commentator is satisfied that the document is of a sufficient standard to be forwarded for approval. Once the commentator feels that the document is ready for approval it will, be returned to the MCP signed for and taken to the director of the PMU for approval. Once the document has been approved it will be collected by the MCP and a copy sent to the originator for information, the original will be filed for future reference and use by the staff of the training unit for monitoring.

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