Sop

As implied above, the initiative and further procedure for the preparation, implementation and
management of the documents is a procedure in itself which should be described. These SOPs should at
least mention:

who can or should make which type of SOP;
to whom proposals for a SOP should be submitted, and who adjudges the draft;
the procedure of approval;
who decides on the date of implementation, and who should be informed;
how revisions can be made or how a SOP can be withdrawn.
It should be established and recorded who is responsible for the proper distribution of the documents, the
filing and administration (e.g. of the original and further copies). Finally, it should be indicated how
frequently a valid SOP should be periodically evaluated (usually 2 years) and by whom. Only officially
issued copies may be used, only then the use of the proper instruction is guaranteed.

In the laboratory the procedure for the preparation of a SOP should be as follows:

The Head of Laboratory (HoL) charges a staff member of the laboratory to draft a SOP (or the HoL does
this himself or a staff member takes the initiative). In principle, the author is the person who will work
with the SOP, but he or she should always keep in mind that the SOP needs to be understood by others.
The author requests a new registration number from the SOP administrator or custodian (which in smaller
institutes or laboratories will often be the HoL, see 2.4). The administrator verifies if the SOP already
exists (or is drafted). If the SOP does not exist yet, the title and author are entered into the registration
system. Once the writing of a SOP is undertaken, the management must actively support this effort and
allow authors adequate preparation time.

In case of methodic or apparatus SOPs the author asks one or more qualified colleagues to try out the
SOP. In case of execution procedures for investigations or protocols, the project leader or HoL could do
the testing. In this phase the wording of the SOP is fine-tuned. When the test is passed, the SOP is
submitted to the SOP administrator for acceptance. Revisions of SOPs follow the same procedure.

2.3 Preparation of SOPs

The make-up of the documents should meet a minimum number of requirements:

1. Each page should have a heading and/or footing mentioning:
a. date of approval and/or version number;
b. a unique title (abbreviated if desired);
c. the number of the SOP (preferably with category);
d. page number and total number of pages of the SOP.
e. the heading (or only the logo) of originals should preferably be printed in another colour than black.
Categories can be denoted with a letter or combination of letters, e.g.:

- F for fundamental SOP
- A or APP for apparatus SOP
- M or METH for analytical method SOP
- P or PROJ for procedure to carry out a special investigation (project)
- PROT for a protocol describing a sequence of actions or operations
- ORG for an organizational document
- PERS for describing personnel matters
- RF for registration form (e.g. chemicals, samples)
- WS for worksheet (related to analytical procedures)

From this description it would seem that the preparation and administration of a SOP and other
quality assurance documentation is an onerous job. However, once the draft is made, with the
use of word processors and a simple distribution scheme of persons and departments involved,
the task can be considerably eased.

A model for a simple preparation and distribution scheme is given in Figure 2-1. This is a
relation matrix which can not only be used for the laboratory but for any department or a whole
institute. In this matrix (which can be given the status of a SOP) can be indicated all persons or
departments that are involved with the subject as well as the kind of their involvement. This can
be indicated in the scheme with an involvement code. Some of the most usual involvements are
(the number can be used as the code):

1. Taking initiative for drafting
2. Drafting the document
3. Verifying
4. Authorizing
5. Implementing/using
6. Copy for information
7. Checking implementation
8. Archiving

There is a multitude of valid approaches for distribution of SOPs but there must always be a
mechanism for informing potential users that a new SOP has been written or that an existing
SOP has been revised or withdrawn.

It is worthwhile to set up a good filing system for all documents right at the outset. This will
spare much inconvenience, confusion and embarrassment, not only in internal use but also with
respect to the institute's management, authorities, clients and, if applicable, inspectors of the
accreditation body.

The administrator responsible for distribution and archiving SOPs may differ per institute. In
large institutes or institutes with an accredited laboratory this will be the Quality Assurance
Officer, otherwise this may be an officer of the department of Personnel & Organization or still
someone else. In non-accredited laboratories the administration can most conveniently be done
by the head of laboratory or his deputy. The administration may be done in a logbook, by means
of a card system or, more conveniently, with a computerized database such as PerfectView or
Cardbox. Suspending files are very useful for keeping originals, copies and other information of
documents. The most logic system seems to make an appropriate grouping into categories and
a master index for easy retrieval. It is most convenient to keep these files at a central place such
as the office of the head of laboratory. Naturally, this does not apply to working documents that
obviously are used at the work place in the laboratory, e.g., instrument logbooks, operation
instruction manuals and laboratory notebooks.

The data which should be stored per document are:

- SOP number
- version number
- date of issue
- date of expiry
- title
- author
- status (title submitted; being drafted; draft ready; issued)
- department of holders/users
- names of holders
- number of copies per holder if this is more than one
- registration number of SOPs to which reference is made
- historical data (dates of previous issues)
The SOP administrator keeps at least two copies of each SOP; one for the historical and one for
the back-up file. This also applies to revised versions. Superseded versions should be collected
and destroyed (except the copy for the historical file) to avoid confusion and unauthorized use.

Examples of various categories of SOPs will be given in the ensuing chapters. The contents of a
SOP for the administration and management of SOPs can be distilled from the above. An
example of the basic format is given as Model F 002.

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As implied above, the initiative and further procedure for the preparation, implementation and

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