What is a Standard Operating Procedure (SOP)?

Quick Definition: Standard operating procedures are documents that help organizations achieve consistent, accurate results when performing repetitive technical tasks. 

Do you remember an exercise you did as a kid where you had to explain, step-by-step, how to make a peanut butter and jelly sandwich? You have to get two slices of bread, then peanut butter, then jelly, and spread the two onto the slices of bread to complete the sandwich. Done. Right? 

What about the plate? How do you plan to spread the peanut butter and jelly onto the bread? (This exercise often included a demonstration of the teacher putting the jar of peanut butter on the bread to show how detailed the instructions needed to be.) The whole purpose was to instill in us the importance of providing detailed instructions. 

Standard Operating Procedures, or SOPs, are like the grown-up version of those directions. They provide the instructions necessary to inform anyone with the appropriate access and authorization to carry out the applicable tasks and functions specified within a given SOP. Standard operating procedures guide users and organizations through the process of doing something right every single time, as they provide repeatable, concise instructions. 

This article will detail the need for SOPs in the information technology and security industry. You will also learn how to create an effective SOP and some best practices when updating existing SOPs and implementing new SOPs. 

What is a Standard Operating Procedure?

An SOP is a well-documented set of instructions explaining the steps required to complete a task or project. SOPs allow organizations to standardize processes, which streamlines efficiency and makes it easy to train just about anyone with the appropriate access to complete the applicable tasks. 

Components of Standard Operating Procedures

Quality standard operating procedures generally consist of six components:

Objective

Clearly state the purpose for each SOP. If the SOP details the creation of new virtual machines (VMs) using a standard template, a good title for the SOP might be something like “Standardized Virtual Machine Provisioning.” 

Scope

Define when and where this standard operating procedure applies. Continuing with the earlier example of an SOP to provision new virtual machines, this SOP would likely apply to the IT team in situations where either new resources are needed, or existing resources need to be replaced. 

Responsibilities

This component of the SOP identifies the roles required to plan, execute, and validate the process of carrying out the specified actions. IT teams might be responsible for provisioning the VM, accounting may need to confirm any incurred costs are within budget, the security team may need to validate the VM has been scanned and meets the acceptable security criteria, and the networking team may need to assign firewall and routing rules to the new VM. 

Procedures

This is where the small details should be listed. Think of this section as a runbook for listing each step. It will cover details such as the VM naming convention, IP addressing schemes, security requirements, and more. 

References

To keep SOPs more manageable, it is common to reference other documentation, such as relevant policies and standards. Instead of listing individual security controls and configurations within the SOP, it’s easier to reference something like a device hardening standard, which has its own list of criteria, such as which services to enable or disable, or what actions need to be logged.

Appendices

This is where any additional relevant information should be listed or referenced. This section typically references architecture diagrams, data flowcharts, troubleshooting guides, and other policies and standards. 

Types of Standard Operating Procedures in IT

There are a few different types of SOPs within the technology industry, each with a distinct purpose.

• Technical SOPs: These are typically aimed at system configurations like our earlier example, software deployments, and troubleshooting.

• Administrative SOPs: These SOPs provide guidance for asset management, change management, and acquisition. 

• Security SOPs: Security SOPs often include step-by-step information for items such as incident response, encryption and backups, and access control and provisioning. 

• Emergency SOPs: These SOPs will hopefully never be needed, but they are crucial when required. They often cover what actions to take regarding disaster recovery and business continuity.

How to Create an Effective SOP

Having a poorly written SOP can be worse than having none at all. To ensure your SOPs contain the correct information (and are actually helpful), follow these steps: 

Identify Processes and Tasks

The first step in building an effective SOP is identifying the processes that require standardization. This usually involves engaging various stakeholders within the organization to determine which processes are repeated and consistent. 

Document Procedures

As you document the different tasks and processes, make sure to follow these best practices: 

• Use Clear and Concise Language: Remember, the goal of an SOP is to provide detailed instructions for repeatable processes. Write SOPs in a way that makes it easy enough for anyone to complete the task following those instructions successfully. 

• Provide Detailed Steps: Again, this step-by-step guide should be so easy you could practically take a new hire with the proper access and have them successfully accomplish the goal outlined in the SOP. 

• Include Visual Aids: Diagrams and screenshots can be of great value when utilizing an SOP. Think of an SOP to install a physical switch into a network rack – it might be nice to use a photo of an existing switch configuration to demonstrate things like cable management, position within the network rack, and how much space is between the switch and the next device. 

• Use Templates: You don’t need to recreate the wheel, so to speak. Chances are similar SOPs have been created and published elsewhere, making it easy for you to tailor existing SOPs to the specific needs of your organization. Once you find a format that works, consider creating a custom template for your use. 

Review and Approval Process

Each initial draft of a Standard Operating Procedure should undergo thorough review prior to approval.

• Involve Stakeholders: SOPs should be a collaborative effort. If you do not involve the teams required to execute the SOP, you risk failing to identify specific steps or items along the way, which will reduce the accuracy and effectiveness of your SOP. 

• Maintain Revision History: Ensure the SOP evolves rather than being replaced and track that evolution. For example, clearly identify the date of the last review and approval of your organization’s device hardening SOP and list all prior review and approval dates within the document. 

• Implement Version Control: Add another safeguard to SOPs by assigning version numbers to each document so users know when they’re using the most current version of an SOP.

How to Implement an SOP

Creating an SOP is just the start. After outlining each process, take the time to get everyone on board. Here's how to ensure your SOPs are actually helpful. 

Training and Onboarding

New hires should be informed of the SOPs as part of their onboarding process, and all employees should review SOPs as part of annual training. 

Integration with IT Infrastructure

SOPs should be stored in an area easily accessible to anyone who might need them. Organizations could use a tool to both store and grant users access to specific SOPs as needed with access controls. 

Monitoring and Compliance

SOPs should be periodically reevaluated to ensure their existence and effectiveness. Many compliance frameworks specify the frequency of these reviews.

Continuous Improvement

Again, periodic reviews and updates are essential to maintaining accurate and effective SOPs. Employees should also be encouraged to provide input when SOPs could benefit from updates. 

What are the Best Practices for SOP Management?

Here are a few more tips to ensure your SOPs are useful, effective, and remain relevant. 

• Maintain a Centralized Repository: Store SOPs in a dedicated location accessible to those who need them.

• Standardize Format and Naming Conventions: Using consistent naming conventions and formats helps with user-friendliness.

• Ensure Accessibility and Versioning: The latest versions of SOPs should always be the first and most accessible version available to users.

• Schedule Regular Review and Update Cycles: SOPs are only as effective as you make them. Keep the information relevant and current.

• Use Cross-Referencing and Linking: It is preferable to reference and link other SOPs, policies, and standards within documents. Doing so not only increases ease of use, but also helps build a comprehensive overview of how all the SOPs, policies, and standards work together. 

Conclusion

Standard operating procedures are essential to helping organizations increase efficiency and accuracy when conducting activities, and they are crucial for maintaining compliance. SOPs allow organizations to achieve repeatable, accurate results time and time again. 

Want to learn more about how to ensure your projects run smoothly? Check out the project management training on CBT Nuggets.