What should be documented, how should it be documented, and where do I start?

 

Abstract

The development of documented procedures tends to be an evolutionary and arduous process for most companies.

Tribal Knowledge - Most companies start out, and many continue to operate on "Tribal Knowledge" (Bill taught Sam who manages Jake, the employee he trained to perform the task the way Bill said he wants it done). As companies grow and become more complex, control of day-to-day operations quickly becomes unmanageable. Hence - the development of "Ad-hoc Procedures".

Ad-hoc Procedures - Ad-hoc Procedures are documented instructions developed for handling operational problems or addressing special conditions, situations, activities or applications. They are typically narrow in scope, specific in nature, and address both interdepartmental and intradepartmental activities. As companies grow and employees come and go, there tends to be a build-up and/or layering of ad-hoc procedures creating a condition known as "over-documentation". The longer a company operates using ad-hoc procedures the more likely there will be instances of operational redundancies and interdepartmental inefficiencies.

Solution

The development, documentation, and implementation of “Formal Company Procedures".

Formal Company Procedures should address, in order of importance:

Core Functions - Your "core functions" are those activities within your company directly involved in providing products and/or services.

Customer Needs - Processes for determining customer product and/or service needs and methods for measuring your ability to deliver.

International, National, or Industry Standards - If your goal is to be compliant with, or obtain registration to, an established Standard you will need to have documented procedures that address all the applicable requirements of the Standard.

Beyond Ad-hoc Procedures - Formal Company Procedures

When transitioning from Ad-hoc Procedures to Formal Company Procedures executive management should think seriously about the types and extent of activities presently being performed to produce their product and/or services. The formalization of company procedures is the time when management should step back and take a fresh look at how the company is organized. Consideration should be given to:

• Their needs as a business entity and supplier of products/services,
• Focusing on "core functions" and outsourcing "support functions",
• Requirements of society (health, safety, security, and conservation of resources),
• State and local requirements,
• Their customer's needs and expectations, and
• Related International, National and Industry Standards.

Where do you start?

We recommend an objective, systematic, and comprehensive review and analysis of present operations when compared to an established International, National, and/or Industry Standard. An adequately documented process will typically identify:

• Responsibility, authority, and interrelationship of personnel,
• How various activities are to be performed,
• The documentation to be used, and
• The controls to be applied.

Procedure Documentation

The first set of considerations in selecting the most appropriate method for documenting an activity involves four main issues:

1. The documents purpose (i.e., general overview, assignment of responsibility, detailed work instruction),

2. Complexity of the activity (many interdepartmental or intradepartmental interactions or many detailed step-by-step tasks),

3. Skill level of the reader (the individual(s) that will be using the document), and

4. Whether a record of the activity being performed is desired.

The second set of considerations involves the five basic types of procedures:

	Written Procedures
Written Procedures are the best method for expressing concepts, statements of policy and/or general statements of responsibility.

	Process Maps
Process Maps are the best method for documenting complex processes when identification of who does what, when and how is desired (e.g., interdepartmental or complex intradepartmental processes).

	Pictorials or Photographs
Pictorials or Photographs are the best method for providing guidance in performing physically complex activities (e.g., how to build a house, weave a basket, or tie a shoe) or when an acceptable or unacceptable example is wanted (e.g., a good Solder joint, properly packed material, or properly banded pallet).

	Check Sheets
Check Sheets are the best method for providing detailed work instructions and for capturing what was accomplished and who performed the activity (e.g., Quality Control Sheet, or Document Coordination/Release Notification Record). Most “forms” are this type of procedure.

	Checklists
Checklists are the best method for providing detailed work instructions when a record of the work performed or the individual performing the activity is not required (e.g., step-by-step mixing instructions or a listing of activities to be considered during your quoting process).

The correct application of these types of documents will help ensure your documented procedures are clear, simple to follow, and enable your employees to maintain process repeatability and process control.The first step in continual improvement is getting control of your processes.

Documented Procedures

The following points should be considered before development and documentation of your Procedures Manual:

We recommend small businesses have one manual (set of documents) containing all the Procedures, Work Instructions and Controlled Forms needed to provide adequate instruction and control of day-to-day operations – a company “Procedures Manual”. Take note that we said “Procedures Manual” not “Quality Manual”.

As your company grows your Procedures Manual can be reproduced or divided into sections (e.g. Administration, Engineering, Production, Shipping and Receiving) and distributed, as needed, to ensure adequate instructions are available at point of use.

When developing and documenting your company Procedures, Work Instructions, and Controlled Forms keep them clear, keep them simple, and keep them business focused. These are the procedures your employees will use to manage and control your day-to-day operations – they need to be user friendly, effective, efficient and make good business sense.

The documentation methods used and types of documents developed should be based on the needs of your company, the complexity of your operations, and the skills of your employees.

Document Format

When pulling together the Procedures Manual, and when documenting your Procedures, Work Instructions and Controlled Forms we recommend the following three guidelines.

1. Do not number your documents - Give them a Title.

If you number your documents (Procedures, Work Instructions, or Controlled Forms) to correspond to a specific International or National Standard you may find yourself with a major rewrite when the Standards are update (most Standards are updated every 3-5 years).

Example: Many, if not most, of the 40,000 + companies in North America registered to the ISO 9000:1994 (20 element) standard are spending a lot of time and energy rewriting, and unfortunately, renumbering their documents to the ISO9001:2000 (8 section) format.

Our (Results International) clients are simply rearranging their upper level document (Procedures Manual) to reflect the new 8 section format. All the supporting Work Instructions and Controlled Forms require no rewriting since they were given a title, not a number.

Additionally, having your employees refer to documents by their name or title (e.g., Production Quality Control Sheet) instead of a form number (e.g., QC-25) helps reinforce the purpose of the document and the importance of the activity.

Also, if you make products and/or provide services to different industries (e.g., Automotive, Telecommunications, or Aerospace) their sector specific requirements for Quality Management Systems (QS 9000 or ISO 16949, TL 9000, and AS 9100 respectively) are not numbered exactly the same.

2. Do not number the paragraphs in your Procedures – Give them Section and Sub-Section Titles.

Inserting new information or deleting existing information may require renumbering of the subsequent paragraphs in the document. This situation can be a document and data control nightmare if you have referenced a newly renumbered paragraph in other Procedures and Work Instructions.

3. Do not assign “revision levels” to documents – Give them “Issue Dates” or “Form Dates”.

Procedures and Work Instructions - Assign an “Issue Date”.

The “header” for all Procedures and Work Instructions should contain:

• The Document's Title,
• Issue Date, and
• COLOR Company Name or Logo

Controlled Forms - Assign a “Form Date”.

The “header” for all Controlled Forms should contain:

• The Document's Title, and
• COLOR Company Name or Logo

The “footer” on Controlled Forms should contain:

• The Form Date (e.g., Form Date: 07/01/03)

 

Software

You do not need to buy special software for maintaining document and data control.

Most computers purchased for business use come with Microsoft Office installed. If you have Microsoft Word and Microsoft Excel on your computer you have all the software you need to develop, document and maintain your Procedures Manual.

Once you have your Procedures, Work Instructions and Controlled Forms developed and documented you can “hyperlink” them. Hyperlinks allow your readers (employees) to transition from document to document with a click of the mouse. Refer to Microsoft "Help" for how to set up a "hyperlink".

If you want to develop flow charts and/or process maps you may want to purchase Microsoft VISIO Standard, a $200 software package that can be purchased at most computer supply stores like Comp USA or Micro Center.

If your goal is to have a paperless system, you may want to purchase Adobe Acrobat Standard ($200) or Professional ($500). It, too, can be purchased at most computer supply stores like Comp USA or Micro Center.

 

Conclusion:

Using the Results Method® for procedures development and documentation will ensure your formal company procedures are clear, simple, user friendly and remain business focused.

 

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