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52 Sample Standard
Operating Procedure
Templates
Standard operating procedures (SOPs) ensure seamless processes that can
be followed repeatedly over a long period of time. Amongst these templates
you'll find SOPs covering a wide variety of industries, all of which can be
downloaded, edited and implemented to benefit your organization. 

Find the SOP that meets your needs by using the table of contents. 

Contents
SOP template for laboratory personnel...................................................................................  4
SOP template for cleaning and sanitizing food contact surfaces........................  9
SOP template for a club.......................................................................................................................  16
SOP template for an SEO agency/company........................................................................ 21
SOP template for management meetings............................................................................. 23
SOP template for quality management documents...................................................... 34
SOP template for laboratory experiments.............................................................................  40
SOP template for laser.......................................................................................................................... 53
SOP template for chemical hygiene plan............................................................................... 62
SOP template for serving food....................................................................................................... 67
One-page SOP template...................................................................................................................... 69
SOP template for acids......................................................................................................................... 70
SOP template for flammable gas.................................................................................................. 75
SOP template for toxic gas................................................................................................................ 80
Generic SOP template........................................................................................................................... 85
Tabulated SOP template..................................................................................................................... 88
SOP template for research................................................................................................................ 90
SOP template for laboratories........................................................................................................ 96
SOP template for health personnel............................................................................................ 101
SOP template for non-recovery surgery................................................................................. 103
SOP template for recovery surgery............................................................................................ 105
SOP template for small businesses............................................................................................ 108
SOP template for series of activities.......................................................................................... 110
SOP template for lab managers...................................................................................................... 113
SOP template for SOPs.......................................................................................................................... 116
Fillable SOP template.............................................................................................................................. 125
SOP template for process completion....................................................................................... 128
SOP template for agencies................................................................................................................. 132
SOP template for research laboratories................................................................................... 137
SOP template for satellite kitchens.............................................................................................. 140
SOP template for laboratory safety............................................................................................. 143
SOP template for event management....................................................................................... 150
SOP template for chemical laboratory....................................................................................... 167
SOP template for cleaning.................................................................................................................. 173
SOP template for fire department................................................................................................. 179
SOP template for food production................................................................................................ 181
SOP template for accounts payable............................................................................................ 194
SOP template for accounts receivable...................................................................................... 204
SOP template for food and drink service................................................................................. 218
SOP template for customer complaints.................................................................................... 233
SOP template for drivers....................................................................................................................... 242
SOP template for sales........................................................................................................................... 246
SOP template for inventory................................................................................................................ 263
SOP template for nursing..................................................................................................................... 274
SOP template for purchasing............................................................................................................ 279
SOP template for schools.................................................................................................................... 289
SOP template for software................................................................................................................. 319
SOP template for veterinary clinic................................................................................................ 350
SOP template for warehouse............................................................................................................ 352
SOP template for training.................................................................................................................... 358
SOP template for manufacturing................................................................................................... 359
SOP template for office administration..................................................................................... 385
 Standard Operating Procedure Requirements for
BSL2 and/or ABSL2 Containment

The Principal Investigator (PI) has the responsibility to inform the laboratory personnel of the
appropriate research procedures. When using hazardous or regulated biological agents the PI must
prepare a written Standard Operating Procedure (SOP) outlining the necessary precautions to safely
conduct research. An SOP is a set of specific guidelines designed to address the methods that will be
used and the safe handling of biological agents. The SOP must be available in the laboratory and in
the approved Animal Component of Research Protocol (ACORP).

The SOP is a valuable tool and worth the preparation time. A well-written SOP can be used to satisfy
several compliance requirements. SOP should be written for all procedures that pose an identified
potential risk to the health and safety of the laboratory personnel, although a separate SOP does not
need to be written for each individual experiment, procedures with the same hazards can be combined
into one SOP.

The process of writing SOPs requires an individual to think through all steps of a procedure and
perform a risk assessment before work has begun. The best approach to writing an SOP is to do it,
write it and test it. Be brief and succinct; the shorter the better. An SOP template is provided below.

ABSL2 and BSL2 requirements also include appropriate biohazard labeling. An example of
appropriate signage for a door is attached at the end of the template for your use. Remember, other
signs may also be appropriate, as long as they include the necessary information (Biohazard Symbol,
Biocontainment Level, name of agent and any necessary requirements to take prior to entering or
exiting the lab, and PI and lab contact information).
 Sample Standard Operating Procedure Template for Safe Handling of
(List organisms and/or animals) at BSL2/ABSL2 [select appropriate environment(s)]
Containment
Please edit and complete as necessary to address Biosafety Risks within your laboratory and/or animal
housing area.

Title of Procedure: One safety SOP can be used for more than one experimental protocol if the
material, equipment being used and potential hazards are the same.

Introduction and Purpose of Work: Provide a brief description of work.

If you are working with viral vectors and claiming replication deficiency, please provide details
describing confirmation of competency testing. Otherwise, the same biosafety precautions and animal
housing requirements must be followed as used for the wild type virus.

PI: Lab Location: (Building and room number)

Work Phone: Animal Housing Location: (Building and room number)
IACUC#: Species:
Issue Date: Revision Date:
Prepared by: IBC Approval (if applicable):

Applicable Regulatory Statutes / Guidelines: List only the appropriate.

[Examples: Export Control (http://www.bis.doc.gov/licensing/exportingbasics.htm), Select Agent Rules
(http://www.cdc.gov/od/sap/), OSHA Bloodborne Pathogens Standard
(http://www.osha.gov/pls/oshaweb/owadisp.show_document?p_table=STANDARDS&p_id=10051) ,
CDC/NIH’s Biosafety in the Microbiological and Biomedical Laboratories
(http://www.cdc.gov/od/ohs/biosfty/bmbl5/bmbl5toc.htm)
NIH rDNA Guidelines: http://oba.od.nih.gov/rdna/nih_guidelines_oba.html]

RISK ASSESSMENT:

Hazard Identification and Risk of Exposure to the Hazards: Describe the risk of the agents being
handled in the laboratory. If applicable, describe the signs and symptoms of illness and/or disease.
Determine if immunization is needed.
Routes of Transmission: Prior to assigning containment requirements, it is imperative to understand
the routes of transmission.
Some issues to address:
1. What are the exposure routes/risks of most concern? (Examples: Sharps exposures, Splash
exposures, Non-intact skin exposures, other exposures such as food, drink, inanimate objects). Describe
the sharps and fragile glass items that will be used (i.e. capillary tubes, needles, glass pipettes, Pasteur
pipettes).
2. If applicable, are there any off target effects (insertional mutagenesis, etc.) from exposure to
the biohazardous and/or recombinant material??
3. What are the consequences of exposure to the biohazardous and/or recombinant material?
MEDICAL CONSIDERATIONS:

Medical Screening and Surveillance (if necessary):

Personnel may also be offered vaccines or special counseling depending on the organism(s) handled in
the lab and availability of vaccines or prophylaxis.

Accidental exposures, such as splash to the face or a sharps injury shall be reported immediately to
Employee and Student Health by dialing 1-888-LUHS-888 (1-888-584-7888). The representative
will help categorize the risk of developing occupationally-acquired infection and provide advice on an
appropriate post-exposure treatment.

PRECAUTIONS:
All laboratory work shall fully comply with biosafety level 2 (BSL2) containment as described in the
current edition of the CDC/NIH’s Biosafety in the Microbiological and Biomedical Laboratories:
http://www.cdc.gov/od/ohs/biosfty/bmbl5/bmbl5toc.htm

Procedural Methods and Materials: Incorporate each category as it pertains to your work:

Door Signage & Equipment Labeling: (ex., doorway, refrigerators, incubators, cage signs)
a. Posting of signs is research staff’s responsibility!
b. Signs will be posted at all times when hazardous material is present.
c. Signs will be removed by research staff when hazardous material is no longer present.
Access to laboratory: (ex., describe restrictions, locks.)
Personal Protective Equipment (PPE): (describe entry and exit procedures to include donning and
doffing (removing) PPE before leaving the work area; list/describe the PPE worn)
Methods to minimize personal exposure: (work practices: Describe alternatives to sharps/safer
devices that will be used, explain the use of conveniently located sharps waste containers and absorbent
material on countertops to contain spills, leaks)
Methods to prevent the release of infectious agents/protect workers from aerosols, splashes,
splatters: (describe equipment/engineering controls: ex., Class II Biological Safety Cabinets (BSC),
covered centrifuge cups)
Specimen transport and removal of material(s) from the laboratory: (ex., leak proof transport
containers)
Standard microbiological methods: (ex., handwashing after removal of gloves and before leaving the
work area, no mouth pipetting, no food or drink in refrigerators where material is stored, no eating in
work area)
Cleaning & Disinfection: Describe surface decontamination, cleaning procedures and type of
disinfectant(s) used (i.e. 1:10 household bleach).
Waste Generation and Disposal Methods: Identify the types of waste generated (liquid waste, dry
waste, sharps waste, animal carcasses) and procedures for handling/disposing of biological waste
including contaminated, non-contaminated waste and use of sharps containers.
Spill and Accident Response Procedure: Describe all emergency procedures including spill clean-up.
Describe disinfectant (dilutions/contact times) and environmental decontamination procedures.
For Example, Outside of a BSC:
If spill is a respiratory hazard, (this risk should be described under RISK ASSESSMENT) mark the area
as SPILL, DO NOT ENTER and evacuate 30 minutes to allow aerosols to settle. After 30 minutes,
proceed with the following.
Place absorbent towels over the spill, apply freshly prepared 1:10 bleach* solution to entire area of spill
starting on the outer edges and working inward, contact time: 10 minutes, pick up sharp items with
mechanical device (not hands), place disposable sharp items in sharps waste container and non-sharps
clean-up materials in a leak-resistant disposable bag. Repeat the process to ensure complete
decontamination of organic material. *Large amounts of household bleach should not be autoclaved.
Personnel Exposure to Biohazards
a. Report exposure by calling the 1-888-LUHS-888 (1-888-584-7888), Employee and
Student Health
b. Complete the Report of Occupational Injury found at
http://www.luc.edu/hr/online_forms.shtml

TRAINING:

Training Requirements: Workers conducting research under this procedure must comply with the
following training requirements:
 Complete online Laboratory Safety-General training provided by Office of Research Services
(ORS) at medtraining.org. This training is required annually and is documented by ORS.
 Complete the online Biosafety Training for Lab Workers.
 All personnel shall read and fully adhere to this SOP.
 P.I. will keep documentation of personnel reading and understanding this lab-specific SOP
using a signature page (example attached).

FOR ANIMAL USE ONLY

PRECAUTIONS:
All animal work shall fully comply with animal biosafety level 2 (ABSL2) containment as described in
the current edition of the CDC/NIH’s Biosafety in the Microbiological and Biomedical Laboratories:
http://www.cdc.gov/od/ohs/biosfty/bmbl5/bmbl5toc.htm

Required Procedures for Work in ABSL2 Animal Facilities:

The researcher is responsible for:
1. Communicating the start date of the study and conveying the approved SOP for the animal work
to the Assistant Director, CMF
This communication must occur at least two (2) business days prior to initiation of the
work.
2. Initiating the work only after obtaining confirmation that your notification has been received.
3. Placing the proper signs on the animal room door and cages prior to the initiation of the study.
4. Removing the signs when the study is complete.
 Cage Cards and Door Signs: As soon as the animals have been dosed with the
biohazardous agent, cages must be marked with the biohazard cards and the attached sign
must be posted on the outside of the animal room door by research staff. This sign will be
removed by research staff once the infected animals and biohazardous agents are no longer in
the animal room.

Researcher’s Procedures in the ABSL2 Animal Facility: Describe procedures done within the
animal facility and engineering controls used such as a biological safety cabinet.
  EXAMPLE: Animals will be dosed intranasally with the biohazardous agent. All work with the
biohazardous agent will be done within a Class II biological safety cabinet.

Animal Cage-Change Procedures:

NOTE: at ABSL2, cage changes will be confined to a ventilated cage changing station or
biological safety cabinet and unless otherwise instructed by the IACUC, research staff will
change cages.

Standard ABLS2 cage change procedures:

a. Cages will be changed by research staff no sooner than 72 hours after the animals are
exposed to the biohazardous agent.
b. Cages (with bedding) will be bagged in red biohazard bags and taped shut.
c. CMF staff will transport bagged cages to autoclave.
d. Only after cages have been autoclaved will they be dumped as normal waste.

Exceptions to Standard CMF ABLS2 cage change procedures:

Describe necessary changes to the standard CMF ABSL2 cage changing procedures
 EXAMPLE: CMF Staff may change cages 72 hours after administration of this agent.
 EXAMPLE: Bleach is the only disinfectant recommended when working with this agent.
 FOR LAB USE
Example of appropriate signage for BSL2 laboratory doorway: PLEASE COMPLETE

AUTHORIZED PERSONNEL ONLY!

BIOHAZARD
BIOSAFETY LEVEL
2
Principal Investigator: ________________________
Agent (s): ___________________________________
Bldg: ___________ Room: _____________ (space must be approved by CMF)

Special Instructions/ Requirements Prior to Entry or Exit (i.e. personal protective

equipment, vaccination):

EMERGENCY HOME PHONE

CONTACT/ CONTACT WORK PHONE or PAGER
ADVICE
Primary
Secondary
Bio-safety Officer Matthew Hejna 66738 11411
 FOR ANIMAL USE
Example of appropriate signage for ABSL2 laboratory doorway: PLEASE COMPLETE

AUTHORIZED PERSONNEL ONLY!

BIOHAZARD

ANIMAL BIOSAFETY LEVEL

Principal Investigator: ________________________
2
Agent (s): ___________________________________
Bldg: ___________ Room: _____________ (space must be approved by CMF)

Special Instructions/ Requirements Prior to Entry or Exit (i.e. personal protective

equipment, vaccination):

EMERGENCY HOME PHONE

CONTACT/ CONTACT WORK PHONE or PAGER
ADVICE
Primary
Secondary
Bio-safety Officer Matthew Hejna 66738 11411
Example of Signature Page:

Standard Operating Procedure for Handling

[List organism(s)] at BSL2/ABSL2 [circle appropriate environment(s)] Containment

“I have read and understand this SOP. I agree to fully adhere to its requirements.”

Last First Signature Date

HACCP-Based SOPs

Cleaning and Sanitizing Food Contact Surfaces

(Sample SOP)

PURPOSE: To prevent foodborne illness by ensuring that all food contact surfaces are
properly cleaned and sanitized.

SCOPE: This procedure applies to foodservice employees involved in cleaning and

sanitizing food contact surfaces.

KEY WORDS: Food Contact Surface, Cleaning, Sanitizing

INSTRUCTIONS:
1. Train foodservice employees on using the procedures in this SOP.
2. Follow State or local health department requirements.
3. Follow manufacturer’s instructions regarding the use and maintenance of equipment
and use of chemicals for cleaning and sanitizing food contact surfaces. Refer to
Storing and Using Poisonous or Toxic Chemicals SOP.
4. If State or local requirements are based on the 2001 FDA Food Code, wash, rinse, and
sanitize food contact surfaces of sinks, tables, equipment, utensils, thermometers,
carts, and equipment:
 Before each use
 Between uses when preparing different types of raw animal foods, such as eggs,
fish, meat, and poultry
 Between uses when preparing ready-to-eat foods and raw animal foods, such as
eggs, fish, meat, and poultry
 Any time contamination occurs or is suspected
5. Wash, rinse, and sanitize food contact surfaces of sinks, tables, equipment, utensils,
thermometers, carts, and equipment using the following procedure:
 Wash surface with detergent solution.
 Rinse surface with clean water.
 Sanitize surface using a sanitizing solution mixed at a concentration specified on
the manufacturer’s label.
 Place wet items in a manner to allow air drying.

1
HACCP-Based SOPs

Cleaning and Sanitizing Food Contact Surfaces, continued

(Sample SOP)

INSTRUCTIONS, continued:
6. If a 3-compartment sink is used, setup and use the sink in the following manner:
 In the first compartment, wash with a clean detergent solution at or above 110 oF
or at the temperature specified by the detergent manufacturer.
 In the second compartment, rinse with clean water.
 In the third compartment, sanitize with a sanitizing solution mixed at a
concentration specified on the manufacturer’s label or by immersing in hot water
at or above 171 oF for 30 seconds. Test the chemical sanitizer concentration by
using an appropriate test kit.
7. If a dishmachine is used:
 Check with the dishmachine manufacturer to verify that the information on the
data plate is correct.
 Refer to the information on the data plate for determining wash, rinse, and
sanitization (final) rinse temperatures; sanitizing solution concentrations; and
water pressures, if applicable.
 Follow manufacturer’s instructions for use.
 Ensure that food contact surfaces reach a surface temperature of 160 oF or above
if using hot water to sanitize.

MONITORING:
Foodservice employees will:
1. During all hours of operation, visually and physically inspect food contact surfaces of
equipment and utensils to ensure that the surfaces are clean.
2. In a 3-compartment sink, on a daily basis:
 Visually monitor that the water in each compartment is clean.
 Take the water temperature in the first compartment of the sink by using a
calibrated thermometer.
 If using chemicals to sanitize, test the sanitizer concentration by using the
appropriate test kit for the chemical.
 If using hot water to sanitize, use a calibrated thermometer to measure the water
temperature. Refer to Using and Calibrating Thermometers SOPs.

2
HACCP-Based SOPs

Cleaning and Sanitizing Food Contact Surfaces, continued

(Sample SOP)

MONITORING, continued:
3. In a dishmachine, on a daily basis:
 Visually monitor that the water and the interior parts of the machine are clean and
free of debris.
 Continually monitor the temperature and pressure gauges, if applicable, to ensure
that the machine is operating according to the data plate.
 For hot water sanitizing dishmachine, ensure that food contact surfaces are
reaching the appropriate temperature by placing a piece of heat sensitive tape on a
smallware item or a maximum registering thermometer on a rack and running the
item or rack through the dishmachine.
 For chemical sanitizing dishmachine, check the sanitizer concentration on a
recently washed food-contact surface using an appropriate test kit.

CORRECTIVE ACTION:
1. Retrain any foodservice employee found not following the procedures in this SOP.
2. Wash, rinse, and sanitize dirty food contact surfaces. Sanitize food contact surfaces if
it is discovered that the surfaces were not properly sanitized. Discard food that comes
in contact with food contact surfaces that have not been sanitized properly.
3. In a 3-compartment sink:
 Drain and refill compartments periodically and as needed to keep the water clean.
 Adjust the water temperature by adding hot water until the desired temperature is
reached.
 Add more sanitizer or water, as appropriate, until the proper concentration is
achieved.
4. In a dishmachine:
 Drain and refill the machine periodically and as needed to keep the water clean.
 Contact the appropriate individual(s) to have the machine repaired if the machine
is not reaching the proper wash temperature indicated on the data plate.
 For a hot water sanitizing dishmachine, retest by running the machine again. If
the appropriate surface temperature is still not achieved on the second run, contact
the appropriate individual(s) to have the machine repaired. Wash, rinse, and
sanitize in the 3-compartment sink until the machine is repaired or use disposable
single service/single-use items if a 3-compartment sink is not available.
 For a chemical sanitizing dishmachine, check the level of sanitizer remaining in
bulk container. Fill, if needed. “Prime” the machine according to the
manufacturer’s instructions to ensure that the sanitizer is being pumped through

3
HACCP-Based SOPs

Cleaning and Sanitizing Food Contact Surfaces, continued

(Sample SOP)

CORRECTIVE ACTION, continued:

the machine. Retest. If the proper sanitizer concentration level is not achieved, stop
using the machine and contact the appropriate individual(s) to have it repaired. Use a
3-compartment sink to wash, rinse, and sanitize until the machine is repaired.

VERIFICATION AND RECORD KEEPING:

Foodservice employees will record monitoring activities and any corrective action taken
on the Food Contact Surfaces Cleaning and Sanitizing Log. The foodservice manager
will verify that foodservice employees have taken the required temperatures and tested
the sanitizer concentration by visually monitoring foodservice employees during the shift
and reviewing, initialing, and dating the Food Contact Surfaces Cleaning and Sanitizing
Log. The log will be kept on file for at least 1 year. The foodservice manager will
complete the Food Safety Checklist daily. The Food Safety Checklist is to be kept on file
for a minimum of 1 year.

DATE IMPLEMENTED: __________________ BY: _______________________

DATE REVIEWED: _____________________ BY: _______________________

DATE REVISED: _______________________ BY: _______________________

4
Club Standard Operating Procedures

Club Name:

Affiliation Type:

Club Chair Name:

Number of club members:

Open to the Public? Yes/No

Contact Details

Club Address:

Postcode:

Email:

Telephone:

Health and Safety

Safety Policy

Please detail your clubs Safety Policy and attach to this document
There are three main headings recommended for a policy statement: General Statement of Policy,
Organisation and responsibilities for carrying out the policy and Arrangements for ensuring safety
and health of members

First Aid & Accidents

Where are the first aid kit and accident book located?

Who is the main contact for First Aid at the club?

Where can the contact be located?

Who is responsible for the maintenance of the first aid box?

Who else is responsible for providing First Aid?

Club Standard Operating Procedures

Is there a document in the club to detail who can provide First Aid?
Some clubs have a current list of first aiders and their photos on a notice board

Fire & Evacuation

Please detail the clubs fire and evacuation procedure (e.g. where is the fire exits, where
should members meet once evacuated?)

Where is the location of fire extinguishers?

Who is responsible for maintenance of fire extinguishers?

Do you have a signing in sheet to record members inside the premises?

Who is responsible for the role call, to ensure no one is missing? (Name/Position)

Where are the Emergency contact details (for all members) kept?
Many clubs keep an accessible spread sheet of all contact details in case of an emergency

Emergency Procedures
Actions

Do you complete Incident/Accident Forms? Yes/No

Who is responsible for completing the Incident/Accident Forms?

How often are the Incident/Accident Forms reviewed? Who are these reviewed by?
It is usually best practice for the forms to be reviewed by the Club Committee and copies should be
forwarded to British Canoeing for insurance reasons

Club Standard Operating Procedures

How long are forms kept on record for within the club?
Forms should be kept in excess of 5 years

Name of designated British Canoeing expert to help with enquiries:

In the event of a serious incident, what instructions are there with respect to dealing with
the media?
Club coaches must NOT discuss any event with the press or admit liability to any party

Discipline
Please outline the clubs policy in regards to bad behaviour, infringement of the rules etc.?
Some clubs operate a three-strikes-and-you’re-out response. In these cases, the individual or
parent/guardian shall be informed of each strike in writing from the Club Chair. In some instances it
may be necessary to ban a member at the first infringement for the safety of club members or in the
interest of the clubs reputation

Use of Club Premises

Weekend Staff

Please provide the name of the employee/volunteer who remains at the club on a Saturday
to meet new arrivals and assist juniors?

Kitchen

Please detail available kitchen hours?

Who can serve food?

Who is responsible for checking sell-by dates?

Please detail procedures with regards to electrical appliances:

Club Standard Operating Procedures

Club Equipment

Please detail who is responsible for logging equipment and routinely safety checks?

Who can use club equipment and when?

What are the requirements for non-members using the equipment? (E.g. school groups)

Can club equipment be taken off site for use?

How and where should equipment be stored?

How are faults reported and recorded?

Keys

Who opens up? (E.g. Officials, Club members)

Who locks up?

What are the rules for locking the Club at the end of the day?

Where are keys kept?

Who has keys/access to keys? (E.g. Captains, Coaches)

Club Standard Operating Procedures

Where are spare keys kept (if any)?

Where are the keys to equipment stores kept (if any)?

Non-members/ Visitors
What are the clubs policies regarding non-members or visitors in the changing room
facilities?

Children will not be permitted to leave the centre without the knowledge or permission of
the Coach.

Unknown person(s) picking up a child should make themselves known to the Coach on
arrival of dropping the child at the centre.

Club Child Protection and Vulnerable Adults Policy

Does the club have a Child Welfare Officer? Yes/No

If yes, please detail Name and Contact details:

How often is this Policy reviewed?

Many clubs review this Policy annually

Club Standard Operating Procedures

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 Month DD, YEAR
Version X.X

HITSP Standard Operating Procedure (SOP) Template

(SOPT) – Meeting Management
HITSP/SOPT-1

Submitted to:

Healthcare Information Technology Standards Panel

Submitted by:

Process Review Committee

 DOCUMENT CHANGE HISTORY

Version
Number Description of Change Name of Author Date Published
1.0 Initial Draft of SOP Meeting Erik Pupo 03/02/2007
Management
 TABLE OF CONTENTS

NOTE TO TEMPLATE USERS .....................................................................................................................5

1.0 INTRODUCTION .................................................................................................................................6

1.1 Purpose ......................................................................................................................................6
1.2 Audience ....................................................................................................................................6
1.3 How to Use this SOP Template .................................................................................................6
1.3.1 Acronyms and Resources/References .........................................................................6
1.4 Copyright Permissions ...............................................................................................................6

2.0 PROCEDURE SUMMARY ..................................................................................................................7

2.1 Purpose and Scope....................................................................................................................7
2.2 Frequency ..................................................................................................................................7
As needed. ...........................................................................................................................................7
2.3 Required Tools ...........................................................................................................................7
2.4 Procedure Steps ........................................................................................................................7

3.0 PROCEDURE GUIDELINES ............................................................................................................ 10

4.0 PROCEDURE SUCCESS MEASURES ........................................................................................... 11

 FIGURES AND TABLES

Error! No table of figures entries found.

Error! No table of figures entries found.
NOTE TO TEMPLATE USERS

This template contains approved sections, table formats and text for the HITSP Process template.
The existing document structure and provided text are not to be altered by the Technical
Committees or Working Groups. Any suggested changes to the document structure or approved
text should be submitted as change requests to hitspcomments@ansi.org for evaluation by the
Editorial Review Team. and the Process Review Committee This note, along with all instructions
and sample data, should be deleted prior to document publication. In addition, the document
watermark should be changed to reflect the current document status (e.g. Draft, Ready for public
comment, etc.)
1.0 INTRODUCTION
1.1 PURPOSE

1.2 AUDIENCE

1.3 HOW TO USE THIS SOP TEMPLATE

1.3.1 ACRONYMS AND RESOURCES/REFERENCES

The acronyms used in this document are contained in the HITSP Acronyms List.

<This section should contain links to any other relevant resources and references such as the
Use Case or other relevant documents. TCs should verify that the links provided (for the
conventions, acronyms and any other resources) are up-to-date and are displayed in a short form
or linked to the document title. Links should refer to a folder, not a specific document. Additions
may be made to the approved text above to provide references to additional resources.>

1.4 COPYRIGHT PERMISSIONS

COPYRIGHT NOTICE

© 2007 ANSI - This material may be copied without permission from ANSI only if and to the
extent that the text is not altered in any fashion and ANSI’s copyright is clearly noted.

<Insert the standards requiring copyright information, along with the corresponding SDO. The
Editorial Review Team will be responsible for inserting the most up-to-date copyright permission
statement from each applicable SDO.>
2.0 PROCEDURE SUMMARY

2.1 PURPOSE AND SCOPE

This document provides general guidelines for setting up and running HITSP Technical
Committee and Coordinating Committee meetings.

2.2 FREQUENCY

As needed.

2.3 STAKEHOLDERS/ROLES

Stakeholder Role
Meeting Requestor
Meeting Scribe

2.4 REQUIRED TOOLS

Tool Owner
Meeting Agenda Meeting Requestor
Meeting Notes Meeting Requestor
GotoMeeting information Meeting Requestor

2.5 PROCEDURE STEPS

2.5.1 PRE-MEETING PREPARATION ACTIVITIES

 Meeting Requestor clarifies HITSP members’ roles (Scribe, Facilitator(s), etc.) for the
meeting.
 Meeting Requestor validates meeting invitee list.
 Meeting Requestor sends meeting invite from HHS EA Outlook calendar. Meeting
notices should be sent at least 1 business day prior to the meeting date.
 When meeting invitation goes out , notification will be posted on the HITSP Members
Sharepoint site.
 Meeting Requestor will send out GoToMeeting information, which must be included when
initial meeting notice is sent out.
  If new people are added to the invite list and an update is needed, the updated meeting
invitation is only sent to the new attendees.
 Meeting Requestor arranges for meeting logistics.
 At least 30 minutes prior to meeting start time, the Meeting Requestor ensures
conference phone is set up, checks connectivity, and processes any requests for non-
attendance.

2.5.2 PRE-MEETING ACTIVITIES WEB-EX INFORMATION AND INSTRUCTIONS

1. The GoToMeeting information and details needs to be included when the initial Meeting
Request was sent out

2.5.3 PRE-MEETING ACTIVITIES FOR PROCURING CONFERENCE ROOMS AND

MEETING FACILITIES

TBD

2.5.4 PRE-MEETING ACTIONS NEEDED WHEN HITSP LEADERSHIP ATTENDANCE IS

REQUIRED

1. Meeting Requestor must submit a request to Jessica Kant for technical committee
meetings and Michelle Maas Deane if coordinating committee meetings.

2.5.5 DURING MEETING ACTIVITIES

1. Meeting Requestor requests a roll call.

2. Meeting Requestor gives meeting etiquette instruction to attendees (mute phone, hold…).
3. Meeting Scribe captures attendee list, notes, action items, and next steps.
4. Meeting Requestor tracks time, and ensures that agenda items are covered in a timely
manner and meeting objectives are met.
5. Prior to meeting close, Meeting Requestor reviews, highlights, and clarifies agreements
and understandings.

2.5.6 POST MEETING ACTIVITIES (GENERAL GUIDELINES)

1. Meeting Scribe submits meeting notes, action items, and next steps to the Meeting
Requestor for review and finalization.
2. Meeting Requestor finalizes and distributes/posts Meeting Notes and related meeting
materials to all attendees for approval.
3. Appropriate HITSP members/co-chairs follow-up on actions and next steps.
2.5.7 POST MEETING ACTIVITIES (MINUTES AND MEETING NOTES)

1. Meeting Scribe will send out draft Meeting Minutes within one business day so that
members and any HITSP stakeholders can discuss/review/comment on relevant and
timely issues.
2. Meeting Scribe will send out the full Meeting Notes within two business days of meeting.
3.0 PROCEDURE GUIDELINES

 All key HITSP meetings especially those attended by government employees require
careful planning, facilitation, and follow-through leveraging any pre-established tools and
templates.
 Level of coordination for ad hoc, last minute, or informal meetings will be determined on
an as-needed basis and based on time available of HITSP Project team members.
 Meeting Requestor is responsible for capturing and maintaining specific requirements of
recurring HITSP meetings, i.e.finalizing meeting material (agenda, pre-read), sending
meeting invitations or reminders, distributing material, backup plan if cancelled, etc.
 Meeting Requestor is responsible for rescheduling in case of cancellation. Invitees will
be notified if the meeting will be rescheduled. .
4.0 PROCEDURE SUCCESS MEASURES

Invitees receive meeting notice, agenda and related material at least 1 business day in advance
of the meeting.
 Institution Code:
Laboratory name Standard Operating Procedure (SOP) Version: no.
Location Date: of release
Head/Responsible person Master SOP for writing Page: 1 of 6
quality management documents

Content
1. Scope
2. Definitions and abbreviations
3. Personnel pre-qualifications
3.1 Medical fitness
3.2 Education and training
4. Procedure
4.1 Principle
4.2 Samples
4.3 Equipment and materials
4.4 Reagents and solutions
4.5 Detailed instructions for use
4.6 Reading, interpretation, recording and reporting
4.7 Quality control
4.8 Waste management and other safety precautions
5. Related documents
6. Rationale for change of SOP version

Compiled by Examined by Approved by Replaced New version

Name Code: Code:
Date
Signature

Laboratory area: No of copies: Reason for change:

Institution Code:
Laboratory name Standard Operating Procedure (SOP) Version: no.
Location Date: of release
Head/Responsible person Master SOP for writing Page: 2 of 6
quality management documents

Standard Operating Procedures (SOPs) are Quality Management (QM) documents

which have to meet international standards and norms such as DIN EN ISO 15189, DIN
EN ISO/IEC 17025, ISO 9000, CLSI (Clinical and Laboratory Standards Institute,
formerly NCCLS) GP2-A5.
Each SOP contains a header and a footer with the following information:
Header:
 Name, location and/or logo of the laboratory;
 name of highest-ranked responsible person;
 descriptive title of the SOP
 no. of SOP (digits) may be associated with a code, indicating the SOP domain
(e.g. methods/procedures = MP; health/safety = HS, equipment/maintenance =
EM, administration = AD);
 no. of version (two digits, separated by a dot);
 date of release;
 page number, out of total number of pages.
Footer
 Compilation: date, name, signature
 Examination: date, name, signature
 Approvement for release: date, name, signature
 Code of the replaced SOP (if any) with date of replacement and signature of the
responsible for decision
 Code of the new version (if any) with date of implementation and signature of the
responsible for decision
 number of authorized copies per laboratory area
 reason for change of SOP.

All SOPs contain a table of contents based on a common format. However, most topics
of content may be adapted, due to the different domain/area of SOPs.

1. Scope
Here is defined the specific scope of each SOP.
The generic SOPs in this document cover relevant technical procedures for microscopy,
culture and drug susceptibility testing (DST) of Mycobacterium tuberculosis based on
internationally accepted methods and mainly focused on the use of solid media. The use
of commercially available manual or automated liquid methods for purposes of culture
and/or DST and the use of line-probe assays for the detection of multi-drug resistant TB
are not covered in the present document.

2. Definitions and abbreviations

Institution Code:
Laboratory name Standard Operating Procedure (SOP) Version: no.
Location Date: of release
Head/Responsible person Master SOP for writing Page: 3 of 6
quality management documents

List of all abbreviations and definitions used in each SOP

change control
Procedure for the monitoring of changes that have an influence on the product
quality and/or quality assurance measures.
sample
Generic term to designate a part of a system; used in this document as the
equivalent of “specimen”.

CLSI: Clinical and Laboratory Standards Institute

DIN: Deutsches Institut für Normung
EN: European Norm
EQA: External Quality Assessment
IEC: International Electrotechnical Commission
ISO: International Organization for Standardization
QC: Quality Control (previously referred as Internal Quality Assurance)
QM: Quality Management
SOP: Standard Operating Procedure
TB: tuberculosis
WHO: World Health Organization

3. Personnel pre-qualifications

3.1 Medical fitness

In accordance with national laws and practices, arrangements should be made for
appropriate health surveillance of TB laboratory workers:
 before enrolment in the TB laboratory;
 at regular intervals thereafter, annually or bi-annually;
 after any biohazard incident;
 at the onset of TB symptoms.
Ideally, individual medical records shall be kept for up to 10 years following the end of
occupational exposure.
Laboratory workers should be educated about the symptoms of TB and provided with
ready access to free medical care if symptoms arise.
Confidential HIV counselling and testing should be offered to laboratory workers.
Options for reassignment of HIV-positive or immuno-suppressed individuals away from
the high-risk areas of the TB laboratory should be considered.
All cases of disease or death identified in accordance with national laws and/or practice
as resulting from occupational exposure to biological agents shall be notified to the
competent authority.

3.2 Education and training

Institution Code:
Laboratory name Standard Operating Procedure (SOP) Version: no.
Location Date: of release
Head/Responsible person Master SOP for writing Page: 4 of 6
quality management documents

List education and training topics which have to be given to successfully and safely carry
out an activity.
The training shall be:
 given before a staff member takes up his/her post;
 strictly supervised;
 adapted to take account of new or changed conditions;
 repeated periodically, preferably every year.

4. Procedure
Process documents describe a set of interrelated or interacting activities that transform
inputs into outputs; for a TB laboratory this means to transform an examination order
into a result report. Procedure documents give step-by-step instructions for what needs
to be done by the individual to successfully carry out an activity.

4.1 Principle

Short introduction to the basic principle(s) and/or reaction mechanisms underlying the
particular procedure.

4.2 Samples

If there is no related (applicable) SOP available, please provide the following

Information,
 type of samples/specimens that should be processed or analysed;
 labelling of the sample for proper identification throughout the procedure;
 the minimal amount needed;
 the method of collection;
 timing of the collection;
 additives for preservation of the analyte within the specimen during storage
and/or transportation;
 conditions for storage and transportation;
 the allowable time between collection and processing.

4.3 Equipment and materials

A list of equipment and materials must be carefully prepared and must include:
 the amount;
 quality (also the necessary specifications if required).
Instructions for calibration and maintenance should be included in the procedure only
when these activities are performed each time the procedure is done. Instructions for
Institution Code:
Laboratory name Standard Operating Procedure (SOP) Version: no.
Location Date: of release
Head/Responsible person Master SOP for writing Page: 5 of 6
quality management documents

equipment calibration, calibration verification, and maintenance that are performed other
than when the equipment is used to perform an examination procedure should be
written as separate SOPs.

4.4 Reagents and solutions

Instructions for stock and working solutions of reagents and solutions that are prepared
at times other than when the actual procedure is performed should be written in
separate SOPs.
The following information needs to be defined for all reagents
 quality and/or grade;
 detailed description of the safe preparation of solutions;
 proper labelling with name(s) of chemical(s), concentration, date of preparation,
date of expiry and, when applicable, name of the person who prepared it;
 information about stability;
 storage conditions (e.g. temperature, light protection, humidity);
 storage location for flammable and alkaline/acidic reagents;
 quality control of reagents and media;
 regular check of stock for expiry dates and loss of quality.

4.5 Detailed instructions

A comprehensive description of the steps of the procedure, together with practical hints
for the procedure.

4.6 Reading, interpretation, recording and reporting

Reading may provide qualitative, semi-quantitative or quantitative information. This

information forms the basis for a laboratory report which requires interpretation within
the clinical context. If applicable, specify:
 coding scheme used for interpretation;
 how to follow up for indeterminate results;
 how to resolve contradictory results;
 recording and files/forms used within the laboratory for documentation;
 report forms for results;
 dissemination of results to persons involved (clinician, epidemiologist, other
laboratories);
 reporting method.

4.7 Quality control

Instructions for quality control (QC), including negative and positive controls, and – if
necessary – for the workflow should be described in the SOP only when QC is
Institution Code:
Laboratory name Standard Operating Procedure (SOP) Version: no.
Location Date: of release
Head/Responsible person Master SOP for writing Page: 6 of 6
quality management documents

performed each time within the procedure. Instructions for QC performed other than
during the procedure should be the subject of a separate SOP.
QC procedures need to include the following :
 frequency with which controls should be done;
 number and levels of controls to use;
 type of quality control materials/strains to use;
 instructions for preparation and handling of control materials;
 corrective actions, if expected control criteria are missed;
 instructions for documentation of QC data/materials.
Measures for External Quality Assessment (EQA) must be described separately.

4.8 Waste management and other safety precautions

It is very important to establish and follow adequate waste management procedures: TB

laboratory activities generate contaminated materials that represent a biohazard for
laboratory personnel, as well as for the community and the environment. Specific
recommendations must be described whenever necessary.
Good laboratory practice must be observed in the performance of each activity.
Specific SOPs must be compiled to cover the different aspects of safety measures (e.g.
fire, electrical and chemical hazard, biosafety).

5. Related documents
Related documents include applicable national and/or international standards/norms and
literature used in the preparation of the SOP. Specific forms used must be attached.

6. Rationale for change of SOP version

Laboratories need a process for timely should to include:
 establishing the need for revision;
 revising the SOP and any related documents that also need to be changed;
 reviewing the revised SOP;
 approving the revisions and recording the approval;
 archiving the new version of the SOP in the master file;
 providing working copies of the newly approved SOP to all appropriate
personnel;
 instructing staff to familiarize themselves with any changes from the previous
version – they should sign to confirm that they have done this;
 collect and discard all copies of the former version of the SOP.
Change control should be described in the original SOP.
 Laboratory Specific Appendix I. Standard Operating Procedure Template

Preparing Standard Operating Procedures for Laboratory Activities

Introduction

An important first step in planning laboratory experiments is a comprehensive evaluation

of the potential hazards associated with the work. This includes hazards that may be
posed by chemicals, biological and radioactive materials, equipment, physical hazards
and conditions. This risk analysis should not be divorced from the other components of
the planning process, but rather integrated into a single process evaluation. This
evaluation should be documented and used a tool for future reference in the form of a
Standard Operating Procedure. In most cases SOPs should be developed in a
collaborative environment, with the involvement of multiple researchers as opposed to
individually.

Elements of a Standard Operating Procedure (SOP)

There are no absolute correct or incorrect methods for developing an SOP, nor is there a
single acceptable format. The process is not intended to be about filling out forms; the
process, when completed appropriately, ensures that safe work practices have been
developed for the experimental work. SOPs can be integrated directly into laboratory
manuals or procedural experimental guides, developed for a specific hazard such as an
individual chemical or class of chemicals or specific equipment. SOPs can be stand alone
documents or supplemental information included as part of research notebooks,
experiment documentation or research proposals. SOPs such contain, at a minimum, the
following information:

• Identification: Identify, specifically, the intended scope of the SOP. The SOP
can focus on specific processes and procedures, individual hazardous
materials or groups of hazardous materials, equipment and conditions.
Circumstances that would require Prior Approval, as discussed in Section 4.5
of the LCHP should also be included.
• Process Hazards Assessment: A hazards assessment which details potential
hazards associated with the activity/process. This would include hazardous
materials, physical hazards, equipment items electrical hazards, lasers etc.
• Exposure Controls Review: The hazards assessment information should be
utilized to consider potential exposures using the four “routes of exposure” as
a foundation.
• Engineering Controls: A detailed description of the engineering control
requirements of the process/procedure along with a method of ensuring proper
operation and efficacy.
• Personal Protective Equipment: A detailed description of the Personal
Protective Equipment requirements of the process/procedure along with the
location of supporting reference information.
• Storage and Handling Requirements: Detail storage requirements for
hazardous materials and process handling issues specific to the procedure.
 • Proficiency and Authorization: The training requirements for the specific
procedure, or piece of equipment should be clearly defined, along with a
mechanism to ensure proficiency within the laboratory. Specific procedures
for access control and authorization during the procedure should also be
outlined.
• Waste Management: Outline waste materials to be generated and appropriate
waste management procedures for the work.
• Decontamination Procedures: Specific methods for
decontamination/cleaning appropriate to the work being completed should be
included.
• Emergency Procedures: Detail the specific procedures to be followed if
emergency situations arise from the process/procedure. These steps will be
based on the hazard assessment and controls sections.

The Office of Environmental Health and Safety can assist in the development of
laboratory specific SOPs. An SOP template and an example of an experimental review
and completed SOP have been provided for your consideration.
 Laboratory Standard Operating Procedure-Risk Assessment

Section 1: Identification

Laboratory Group Name: Lab Specific ID#

Lab Location: PI/Lab Supervisor:

Date SOP Created: Date SOP Revised:

Type of SOP:
Procedural Hazardous Material Equipment Specific Other

Prior Approval Required (As outlined in the LCHP Section 4.5) Yes No

Specific Scope of this SOP:

Section 2: Process Hazards Assessment

Hazardous Materials-Chemical Not Applicable

Describe:

Describe:

Describe:

\ Describe:

Describe:
?

Describe:
?
Section 2: Process Hazards Assessment

Hazardous Materials-Biological Not Applicable

Describe:

Hazardous Materials-Radiological Not Applicable

Describe:

Physical and Equipment Hazards Not Applicable

Glassware Compressed Gases High/Low Pressures

Electrical Electromagnetic High/Low Temperatures

Centrifuge Autoclave Vacuum

Lasers Microwaves Rotary Evaporator

Open Flame Elevated Noise Soldering/Welding

Oil Bath Heat Guns Heating Mantles

Hot Plate Ultrasonicators Stirring/Mixing Device

Moving Parts Puncture Hazards Hand/Power Tools

Flying Particles Oversized Objects Heavy Objects

Elevated Height Ovens/Furnaces Computer Work

Other Describe:

Other Describe:

Other Describe:

Other Describe:

Other Describe:

Other Describe:
Section 3: Exposure Controls Review

• Inhalation Hazards Describe

• Absorption Hazards Describe:

• Ingestion Hazards Describe:

• Injection Hazards Describe:

Section 4: Engineering Controls

Chemical Fume Hood Certification Date:

Biological Safety Cabinet Certification Date:
Laminar Flow Hood Certification Date:
Perchloric Acid Hood Certification Date:
Glove Box Localized Ventilation Shielding Guarding
Other Describe:

Other Describe:

Other Describe:

Section 5: Personal Protective Equipment

Laboratory Coat Tyvek Suit Chemical Apron

Safety Glasses Face Shield Flame Retardant Clothing

Laser Goggles Welding Shield Chemical Splash Goggles

Gloves Type:

Respiratory Protection Type:

Hearing Protection Type:

Other Describe:

Other Describe:

Other Describe:
Section 6: Storage and Handling Requirements

Not Applicable

Describe

Section 7: Proficiency and Authorization

Not Applicable

Describe

Section 8: Waste Management

Not Applicable

Describe
Section 9: Decontamination Procedures

Not Applicable

Describe

Section 10: Emergency Procedures

Describe

Notes/Comments
 Example Experimental Review

Experiment: Graham's Law of Diffusion

Description: Hydrogen chloride and ammonia diffuse from opposite ends of a long tube.
They meet and react to produce ammonium chloride, a white solid powder. The distances
of the white powder from either end of the tube are measured, and the ratio compared
with a predicted ratio from Graham's Law. The experiment is not expected to give close
quantitative agreement between calculated and observed values, but the ammonia does
diffuse faster than the HCl, as expected.

Procedure:

1. In a hood, one drop of concentrated hydrochloric acid is placed in well-1 of a 12-

well strip.
2. A drop of 6 M ammonia is placed in well-12 of the same strip.
3. The strip serves as a source of reagents. These small amounts may be moved to a
desk.
4. A glass capillary is dipped one end into the hydrochloric acid, and then the other
end into the ammonia. In each case, capillary action draws a small amount of
liquid into the capillary.
5. The capillary is placed flat against a dark surface. In just a few moments, a white
solid forms inside the capillary.
6. Use a millimeter rule to measure the distance between the boundary of each liquid
in the capillary and the white solid.
7. Clamp a long tube (20 to 25 mm in diameter) horizontally
8. Place drops of the chemicals on cotton wads set on watch glasses.
9. Using tweezers, insert these wads into the open ends of the glass tube. Stopper the
ends. Note which end contains the ammonia.
10. Wait. It takes 5 to 10 minutes for the reaction to take place to a noticeable extent.
11. Mark the location of the reaction product using a marking pencil or opaque tape.
12. Measure the length of the tube, and the distance from one cotton wad to the mark.

-American Chemical Society

 Laboratory Standard Operating Procedure-Risk Assessment

Section 1: Identification

Laboratory Group Name: EHS Example Lab Specific ID#Demo#1

Lab Location: Blaw Knox PI/Lab Supervisor: Dr.Smith

Date SOP Created: 4/21/06 Date SOP Revised: NA

Type of SOP:
Procedural X Hazardous Material Equipment Specific Other

Prior Approval Required (As outlined in the LCHP Section 4.5) Yes No X

Specific Scope of this SOP: Procedural SOP detailing EHS considerations for experiment
involving Graham’s Law of Diffusion

Section 2: Process Hazards Assessment

Hazardous Materials-Chemical Not Applicable

Describe:

X Describe: Concentrated Hydrochloric Acid pH=1, Ammonia Solution pH=11

X Describe: Ammonia Solution designated as Poisonous

\ Describe:

Describe:
?

Describe:
?
Section 2: Process Hazards Assessment

Hazardous Materials-Biological Not Applicable X

Describe:

Hazardous Materials-Radiological Not Applicable X

Describe:

Physical and Equipment Hazards Not Applicable

Glassware X Compressed Gases High/Low Pressures

Electrical Electromagnetic High/Low Temperatures

Centrifuge Autoclave Vacuum

Lasers Microwaves Rotary Evaporator

Open Flame Elevated Noise Soldering/Welding

Oil Bath Heat Guns Heating Mantles

Hot Plate Ultrasonicators Stirring/Mixing Device

Moving Parts Puncture Hazards X Hand/Power Tools

Flying Particles Oversized Objects Heavy Objects

Elevated Height Ovens/Furnaces Computer Work X

Other X Describe: Clamping of glass tube

Other Describe:

Other Describe:

Other Describe:

Other Describe:

Other Describe:
Section 3: Exposure Controls Review

• Inhalation Hazards X Describe: Both HCL and NH3 are extremely destructive to
mucous membranes and the respiratory tract.

• Absorption Hazards X Describe: Both HCL and NH3 are corrosive to the skin and
may cause skin sensitization and may be absorbed through the skin.

• Ingestion Hazards X Describe: Ingestion of HCL can cause circulatory failure.

Both HCL and NH3 are corrosive

• Injection Hazards X Describe: Potential broken glass clamping action

Section 4: Engineering Controls

Chemical Fume Hood X Certification Date: 2/10/06

Biological Safety Cabinet Certification Date:
Laminar Flow Hood Certification Date:
Perchloric Acid Hood Certification Date:
Glove Box Localized Ventilation Shielding Guarding
Other Describe:

Other Describe:

Other Describe:

Section 5: Personal Protective Equipment

Laboratory Coat X Tyvek Suit Chemical Apron

Safety Glasses Face Shield Flame Retardant Clothing

Laser Goggles Welding Shield Chemical Splash Goggles X

Gloves X Type: Nitrile wrist length

Respiratory Protection Type:

Hearing Protection Type:

Other Describe:

Other Describe:

Other Describe:
Section 6: Storage and Handling Requirements

Not Applicable

Describe X: All work for this experiment is to be conducted inside the Chemical fume
hood. Caution should be employed when saturating the cotton with the liquids. Do not
inhale the vapors. Caution should be used when clamping the tube to the rack as to not
break the glass. HCL and NH3 are chemically incompatible and must be stored and
handled accordingly. MSDS sheets for all laboratory chemicals are located in the white
binder labeled “MSDS” on the middle shelf of the tan filing cabinet. The HCL and NH3
solutions should both be stored below 25C in the corrosives storage area under the hood.
Alkaline and Acidic materials are segregated in the cabinet using secondary containment.

Section 7: Proficiency and Authorization

Not Applicable

Describe X In order to complete this experiment the user must have completed the Office
of Environmental Health and Safety’s Laboratory Safety session. In addition, the user
must have received laboratory specific information regarding the use of the chemical
fume hood, emergency equipment and evacuation information from a senior member of
the group or Dr. Smith.

Section 8: Waste Management

Not Applicable

Describe X This experiment creates two waste streams;

#1 Cotton swabs contaminated with HCL are to be placed in the Hazardous Waste
container, labeled for them, in the white cabinet under the lab bench near the sink.
#2 Cotton swabs contaminated with NH3 are to be placed in the Hazardous Waste
container, labeled for them, in the white cabinet under the lab bench near the sink.

Section 9: Decontamination Procedures

Not Applicable

Describe X When the experiment has been completed the work surface of the chemical
fume hood should be cleaned with a simple soap and water solution. Soap is available
under the sink near the computer
Section 10: Emergency Procedures

Describe X Small quantities (<50ml) of spilled materials can be cleaned up using soap
and water. If concentrated or excessive quantities of either HCL or NH3 are spilled the
laboratory should be evacuated immediately. All large spills must be reported to Public
Safety at;

For more information on spills consult the LCHP Section 4.13.

Notes/Comments
 Black Text – is considered mandatory content
Red text – fill in appropriate information for factual accuracy
Blue Text – (sample text) may be retained, edited, or deleted as appropriate.
Approved by Principal Investigator_____________________________Date:________________

Approved by Laser Safety Officer: _____________________________Date:________________

Standard Operating Procedure

LOCATION
TYPE OF LASER OR EXPERIMENT

I. Purpose

This Standard Operating Procedure (SOP) outlines requirements to be considered by an authorized

user for the TYPE OF LASER (S) OR EXPERIMENT as well as describes the normal operation
of the laser and any hazards that may be encountered during normal operation. Finally, the SOP
explains how to minimize any hazards and how to respond in an emergency situation.

II. Personnel

A. Authorized Personnel: The TYPE OF LASER (S) OR EXPERIMENT may be operated only
by authorized personnel who are fully cognizant of all safety issues involved in the operation
of this equipment. These personnel are to ensure that the laser is only operated in the manner
consistent with this document. To become an authorized user, one must:

1. Complete Environment, Health & Safety (EH&S) Laser Safety training

2. Pass the EH&S laser safety quiz (located in the Laser Safety Manual)
3. Read and fully understand the SOP
4. Receive training on the TYPE OF LASER (S) OR EXPERIMENT by an authorized user.
5. Sign the authorized user sheet to affirm that the above steps have been completed.

B. Unauthorized personnel: No unauthorized personnel may enter ROOM LOCATION during

laser operation unless accompanied by an authorized user. All visitors must be briefed on
proper safety protocol and must wear appropriate laser safety goggles located on the premises.

III. Hazards

A. Laser Hazards: The LASER TYPE is a Class 4 or 3b (list class) laser. Severe eye damage
(including blindness) and skin damage can result from direct beam and specular reflections.
Eye damage can also result from diffuse reflections. If your laser is a Class 3B it will not
cause skin damage or harm from a diffuse reflection, strike that reference.

B. Electrical Hazards: Electrical shock or electrocution could result from direct contact with high
voltage. LIST TYPES OF ELECTRICAL HAZARDS ASSOCIATED WITH LASER USE,
EQUIPMENT, OR EXPERIMENT.
 C. Chemical: LIST TYPES OF CHEMICAL HAZARDS ASSOCIATED WITH LASER USE,
OR EXPERIMENT.

D. Pressure Hazards: LIST TYPES OF PRESSURE HAZARDS ASSOCIATED WITH LASER

USE, OR EXPERIMENT.

E. Other: LIST TYPES OF OTHER HAZARDS ASSOCIATED WITH LASER USE,

EQUIPMENT, OR EXPERIMENT.

IV. Hazard Controls

A. Lasers

1. Only authorized personnel will operate lasers.

2. The laboratory doors will be closed and locked when the laser is operating.

3. During alignment, the laboratory doors will be closed and a sign posted stating “Laser
alignment in progress. Do not enter. Eye protection required.” (signs available from
LSO)

4. Unauthorized personnel will be only allowed entry to the laboratory during laser operation
with the supervision of an authorized user under the terms specified in section II.B.

5. Laser protective eyewear for sufficient protection against (wavelengths) nm are available
and are located at LOCATION OF EYEWEAR. Laser protective eyewear must always be
worn when the laser is in operation. No filters or other optics will provide suitable
protection; use only laser safety protective eyewear.

6. Specular and diffuse reflections will be controlled using apertures, beam housings and
enclosures, and optics. All of these control methods must be in place during normal
operation.

7. Laser alignment must be performed only by following the steps outlined in the alignment
procedure supplement or alignment section.

8. Perform physical surveys to determine if there are stray beams (specular or diffuse)
emanating from each laser and its optics, and then document the beam surveys noting the
location of stray beams and the measures taken to control them.

9. If the beam path must be changed significantly by relocating the laser or optics, all users
must be notified of the change.

10. The same precautions that are taken for safe operation of the laser must also be followed
when adjusting any of the optics in use with the apparatus.

Standard Operating Procedure – Lasers – Template 2

 11. When a new principal investigator (PI) takes over use of the laser system, the
new user must conduct a survey for unwanted stray or diffuse beams.

B. Electrical (List hazard controls)

1. Enclosures for protection against the high voltages of the laser power supply or laser
head may only be removed after the power supply has been unplugged from the outlets
and after following the safety procedures outlined in the safety and operations manual
provided by the manufacturer.

2. Only qualified personnel may perform all internal maintenance to the laser. More than
one user must be present when performing said maintenance.

3. Every portion of the electrical system, including the printed circuit cards, should be
assumed to be at dangerous voltage level.

C. Chemical (List hazard controls)

D. Pressure (List hazard controls)

E. Other (List hazard controls)

V. Normal Operation

(SAMPLE TEXT – text below may be retained, edited, or deleted as appropriate for factual
accuracy)

A. Inspect all electrical and water connections for damage and connectivity.

B. Complete the “check-in” portion of the checklist included in this document as Appendix A.
The checklist serves to confirm that all basic systems are operating within expected parameters
and that basic safety mechanisms are in place. The laser use log is a set of forms adjacent to
the experimental set up and is used to ascertain the current state of the laser system. Log all
use and add individual notes as necessary. Also, replacement of optics and other routine
maintenance should be noted in the log. Once the checklist is complete, the laser may be
turned on.

C. Turn laser system on.

D. System alignment. See the attached alignment procedure supplement/alignment section for
details.

E. Shutdown laser system.

Standard Operating Procedure – Lasers – Template 3

 F. Complete the log entry and the checkout portion of the checklist in Appendix A.

VI. Emergency Procedures

A. Laser accidents: Follow the steps outlined in the Procedure for Laser Accidents in Appendix
B. or See the Emergency Procedures for Laser Accidents posted on your wall.

B. Power outage: If there is a power outage, turn off the laser system to avoid a hazardous
situation when power is restored.

Standard Operating Procedure – Lasers – Template 4

Authorized Users
I have read and understand the Standard Operating Procedures for TYPE OF LASER (S) OR
EXPERIMENT

Name (print) Signature Date PI Initial

Standard Operating Procedure – Lasers – Template 5

Appendix A – Checklist for using Type OF LASER OR EXPERIMENT

Check in: (SAMPLE TEXT – text below may be retained, edited, or deleted as appropriate for factual
accuracy)

-Door is closed and locked. All personnel are wearing the proper safety eyewear.

-Inspect the Laser System for any blockages or apparent misalignment.

-Confirm that the beam path is set up to hit the sample properly.

-Ensure that all vinyl enclosures are placed properly in the work area.

-Record laser energy in the logbook.

-During the run, ensure that the laser is hitting the sample correctly.

-Record any anomalous behavior in the logbook. (call service technician?)

Check out:

-Shut off the laser.

Standard Operating Procedure – Lasers – Template 6

Appendix B – Procedure for Laser Accidents

In the event of a laser accident, follow the procedure below:

1. Ensure that the laser system is shut off.

2. Provide for the safety of the personnel (first aid, evacuation, etc.) as needed. Note — if an eye
injury is suspected, have the injured person keep his/her head upright and still to reduce bleeding
in the eye. A physician should evaluate laser injuries as soon as possible.

3. Obtain medical assistance for anyone who may be injured.

OSU Student Health Services (Normal Hours) 541-737-9355

Fire Department from a Campus Phone dial 911 911
Police Department from a Campus Phone dial 911 911

4. If there is a fire, pull the alarm, and contact the fire department by calling 911. Do not fight the
fire unless it is very small and you have been trained in fire fighting techniques.

5. Inform the Office of Environmental Health & Safety (EH&S) as soon as possible.

6. During normal working hours, call one of the following:

EH&S Office 737-2273

Laser Safety Officer 737-7080
Radiation Safety Office 737-2227

After normal working hours, call 541-737-7000 (7-7000 from campus phones) to contact OSU
Dispatch Center who can contact the above using their emergency call list.

7. Inform (PI NAME) and the current group safety officer as soon as possible. If there is an injury,
(PI NAME) will need to submit a report of injury to the Worker’s Compensation Office.

8 After the incident, do not resume use of the laser system until the High Intensity Light and Laser
Use Committee has reviewed the incident and approved the resumption of operation.

Standard Operating Procedure – Lasers – Template 7

Appendix C - Alignment Procedures

A. Procedural Considerations
1. To reduce accidental reflections; watches, rings, dangling badges, and other reflective objects
must be taken off before any alignment activity begins.
2. Use of non-reflective tools should be considered.
3. Access to the room/area is limited to authorized personnel only.
4. Perform alignments with a colleague or “buddy.”
5. Review alignment procedures.
6. Identify equipment and materials necessary to perform alignment.
7. Remove all unnecessary equipment, tools, and combustible materials to minimize the
possibility of stray reflections and non-beam accidents.
8. Persons conducting the alignment must be authorized by the PI.
9. A ‘Notice” sign is posted at the entrance when temporary laser control areas are set up or
unusual conditions warrant additional hazard information.

B. Internal Alignment Mirrors

(SAMPLE TEXT – text below may be retained, edited, or deleted as appropriate for factual
accuracy)

1. Ensure that all users are wearing laser protective eyewear, warning signs are posted, and
laboratory doors are closed and locked. Check that the laser path goes to the power meter and
is enclosed.
2. Turn on the cooling water.
3. Turn on the power supply, checking that the water light comes on.
4. Turn to current mode/ full power; turn on the laser and press start.
5. Adjust vertical and horizontal knobs back to maximum power.
6. Turn off the laser and power supply.
7. Take off the lid and screw on safety overrides.
8. Test the power again (after turning the laser back on). Adjust to full power.
9. Use a non-reflective 7/16 wrench. Turn the vertical front knob to ___ power and adjust the
back vertical knob in the opposite direction to see if power increases past the original power.
If so, repeat. If not, turn the front knob in the other direction and repeat.
10. When the power is maximized, turn off the laser.
11. Replace the laser covering and let the cooling water run for 30 minutes.

C. External Optics
(SAMPLE TEXT – text below may be retained, edited, or deleted as appropriate for factual
accuracy)

1. Ensure that all users are wearing laser protective eyewear, warning signs are posted, and
laboratory doors are closed and locked. Check that the beam path will be blocked.
2. Turn on the cooling water.
3. Turn on the power supply, checking that the water light comes on.
4. Turn to current mode/ full power; turn on the laser and press start. (LASER BEAM POWER
SETTING-USE LOWEST POSSIBLE POWER FOR ALIGNMENT)

Standard Operating Procedure – Lasers – Template 8

 5. Set up the first optic, block the beam path optic, and carefully release the original block to
ensure that the beam will hit the center of the mirror.
6. Set up two targets in the beam path, unblock the beam, and center the beam using adjustments
on the optic.
7. Continue until optics are set up properly.
8. After the alignment is complete, turn off the laser and let the cooling water run for 30 minutes.
9. Replace ALL laser beam enclosures/stops.
10. Check for stray beams at each step and again after completing all alignment steps.

Standard Operating Procedure – Lasers – Template 9

 CHEMICAL HYGIENE PLAN: STANDARD OPERATING
PROCEDURE TEMPLATE

Basic laboratory safety rules and procedures are outlined in the SCU Chemical
Hygiene Plan however you may need to create laboratory-specific safety
procedures to adequately address the unique hazards in your area. Use this
template to create these.

#1 CONTACT INFORMATION

Procedure Title

Procedure Author

Date of Creation/Revision

Name of Responsible
Person (The Lab Supervisor)

Location of Procedure
(Building and room number)

RESTRICTED SUBSTANCE (If required. See section #10 of this template)

Approval

#2 THIS STANDARD OPERATING PROCEDURE (SOP) IS FOR A:

Specific laboratory procedure or experiment

Examples: synthesis of chemiluminescent esters, folate functionalization of polymeric
micelles, etc.

Generic laboratory procedure that covers several chemicals

Examples: distillation, chromatography, etc.

Generic use of specific chemical or class of chemicals with similar hazards

Examples: organic azides, mineral acids, etc.

#3 PROCESS OR EXPERIMENT DESCRIPTION

[FOLLOWING GUIDANCE TEXT MAY BE DELETED WHEN COMPLETING THE FORM]

Provide a brief description of your process or experiment, including its purpose. Do not provide a
detailed sequential description as this will be covered by section #6 of this template. Indicate the
frequency and duration below.
Frequency:
□ one time □ daily □ weekly □ monthly
□ other:_____________
Duration per Expt: __________ minutes; or ______hours
 #4 SAFETY LITERATURE REVIEW & HAZARD SUMMARY


[FOLLOWING GUIDANCE TEXT MAY BE DELETED WHEN COMPLETING THE FORM]
 all physical and health hazards associated with the materials and procedures used in this SOP. Examples
1. List

of potential hazards include: toxicity, reactivity, flammability, corrosivity, pressure, etc.

2. List all references you are using for the safe and effective design of your process or experiment, including safety
literature and peer-reviewed journal articles.


Suggested Safety References include:

~American Chemical Society. Journal of Chemical Health and Safety. Available online at

http://www.sciencedirect.com/science/journal/18715532.

~Canadian Centre for Occupational Health and Safety. Web Information Service. Available online at

http://ccinfoweb.ccohs.ca.

~Furr, A. Keith. CRC Handbook of Laboratory Safety. Available online at http://crcnetbase.com.

~Hall, Stephen K. Chemical Safety in the Laboratory. Available in Swain Library.
~Lewis,
 Richard J. Sax’s Dangerous Properties of Industrial Materials. Available online at
http://www.knovel.com.

~National Oceanic and Atmospheric Association. CAMEO Database of Hazardous Materials. Available online at

http://cameochemicals.noaa.gov.

~National Research Council. Prudent Practices in the Laboratory: Handling and Disposal of Chemicals.
 online at http://www.nap.edu.
Available

~Pohanish, Richard P. Sittig’s Handbook of Toxic and Hazardous Chemicals and Carcinogens. Available online

at http://www.knovel.com.
 National Library of Medicine. TOXNET Chemical, Toxicological, and Environmental Health Data.
~U.S.
 online at http://toxnet.nlm.nih.gov.
Available


.gov.

#5 STORAGE REQUIREMENTS

[FOLLOWING
[FOLLOWING GUIDANCE
GUIDANCE TEXT
TEXT MAYMAY BE DELETED
BE DELETED WHENWHEN COMPLETING
COMPLETING THE FORM] THE FORM]
Describespecial
Describe special handling
handling andand storage
storage requirements
requirements for hazardous
for hazardous chemicals
chemicals in your laboratory,
in your laboratory, especially for
highly reactive/unstable
especially materials, highly flammable
for highly reactive/unstable materials,
materials, and corrosives.
highly flammable materials, and corrosives.

#6 STEP-BY-STEP OPERATING PROCEDURE

[FOLLOWING GUIDANCE
[FOLLOWING GUIDANCETEXT TEXT MAY
MAYBE BE
DELETED]
DELETED]
1. For each step’s description, include anystep-specific
1. For each step’s description, include any hazard,
step-specific personal
hazard, protective
personal equipment,
protective equipment,
engineering controls, and designated work areas in the left hand column.
engineering controls, and designated work areas in the left hand column.
a. Guidance on Engineering and Ventilation Controls – Review safety literature and peer-
a. Guidance
reviewedon Engineering
journal articles and Ventilation
to determine Controls –engineering
appropriate Review safety andliterature
ventilationand
controls
peer-reviewed
for your process or experiment. Guidance is available from the EHS Director.controls for
journal articles to determine appropriate engineering and ventilation
yourb.process or experiment.
Guidance on Personal Guidance
Protective is Equipment
available from the EHS Director.
- Respiratory protection is generally not
b. Guidance
required onforPersonal Protective
lab research, provided Equipment - Respiratory
the appropriate protection
engineering is generally
controls not
are employed.
requiredFor
for additional
lab research, provided
guidance the appropriate
on respiratory engineering
protection, consultcontrols
with theare employed.
EHS Director.For
c. Designated
additional guidance work area(s) - Required
on respiratory protection,whenever
consultcarcinogens,
with the EHS highly acutely toxic materials, or
Director.
reproductive
c. Designated toxins
work are used.
area(s) The intent
- Required of a designated
whenever work area
carcinogens, is toacutely
highly limit andtoxic
minimize
materials, or reproductive toxins are used. The intent of a designated work area is tothe
possible sources of exposure to these materials. The entire laboratory, a portion of limit and
minimizelaboratory,
possible or a laboratory
sources fume hood
of exposure or bench
to these may be The
materials. considered a designatedaarea.
entire laboratory, portion of
the laboratory, or a laboratory fume hood or bench may be considered a designated area.
2. Describe the possible risks involved with failure to follow a step in the SOP in the right hand
column.
2. Describe the possible risks involved with failure to follow a step in the SOP in the right hand
column.
 Step-by-Step Description of Your Potential Risks if Step is
Process or Experiment Not Done or Done
Incorrectly (if any)
Step 1: Don personal protective equipment.

□ appropriate street clothing (long pants, close-toed shoes)

□ gloves; indicate type:______________________________
□ safety goggles □ safety glasses □ face shield
□ lab coats
□ other:___________________________
Step 2: Check the location/accessibility/certification of the safety
equipment that serves your lab including fume hoods, safety showers,
spill kits, fire extinguisher, etc.

Step 3: Describe the next step in the procedure.

Describe the next step in the procedure.

Step 4: Describe the next step in the procedure (add additional steps
Describe the next step in the procedure (add additional steps as needed).
as needed).
Step 5: Dispose of hazardous solvents, solutions, mixtures, and
reaction residues as hazardous waste.

Step 6: Cleanup work area and lab equipment.

[FOLLOWING GUIDANCE
[FOLLOWING GUIDANCETEXT TEXTMAY
MAYBE BEDELETED]
DELETED]
Describe specific cleanup procedures forwork
Describe specific cleanup procedures for workareas and
areas lablab
and
equipment that must be performed after completion of your
equipment that must be performed after completion of your process or
process
experiment. For carcinogens and reproductive toxins, designated
or experiment. For carcinogens and reproductive toxins, designated
areas must be immediately wiped down following each use.
areas must be immediately wiped down following each use.

Step 7: Remove PPE and wash hands.

#7 EMERGENCY PROCEDURES

A. Health-Threatening Emergencies (ex: fire, explosion, health-threatening hazardous material spill or

release, compressed gas leak, or valve failure)
1. Call 911
2. Alert people in the vicinity and activate the local alarm systems.
3. Evacuate the area and go to your Emergency Assembly Point (EAP): Indicate EAP here.
4. Remain nearby to advise emergency responders.
5. Once personal safety is established, call Campus Safety at extension 4444
[PRECEDING GUIDANCE TEXT MAY BE DELETED]
If personnel exposed or injured:
6. Remove the injured/exposed individual from the area, unless it is unsafe to do so because of the
medical condition of the victim or the potential hazard to rescuers.
7. Call 911 if immediate medical attention is required.
8. Administer first aid as appropriate.
9. Flush contamination from eyes/skin using the nearest emergency eyewash/shower for a minimum of
15 minutes. Remove any contaminated clothing.
10. Bring to the hospital copies of MSDSs for all chemicals the victim was exposed
B. Non-Health Threatening Emergencies
For non-health threatening injuries and exposures
Call Campus Safety at extension 4444.

For hazardous material spills or releases which have impacted the environment (via the
storm drain, soil, or air outside the building) or for a spill or release that cannot be
cleaned up by local personnel:
1. Call Campus Safety at extension 4444

C. Small Spills/Local Cleanup:

In the event of a minor spill or release that can be cleaned up by local personnel using
readily available equipment:
1. Notify personnel in the area and restrict access. Eliminate all sources of ignition.
2. Review the MSDS for the spilled material, or use your knowledge of the hazards of the
material to determine the appropriate level of protection.
3. Wearing appropriate personal protective equipment, clean up spill. Collect spill
cleanup materials in a tightly closed container. Manage spill cleanup debris as
hazardous waste.
4. If greater than 30 ml, or if it will take longer than 15 minutes for you to clean up,
immediately call Campus Safety at extension 4444 to report the spill, and notify your
supervisor.

D. Building Maintenance Emergencies (e.g., power outages, plumbing leaks):

Call Facilities Operations at 408-554-4742.

#8 WASTE DISPOSAL

Describe the quantities of waste you anticipate generating and appropriate waste disposal procedures.
Include any special handling or storage requirements for your waste. Contact the EHS Director for
questions and additional guidance. [PRECEDING GUIDANCE TEXT MAY BE DELETED]

#9 TRAINING REQUIREMENTS

General Training (check all that apply):

□Chemical Hygiene Plan
□Other:________________________

Location Where Records

Maintained:

Laboratory-specific training (check all that apply):

□ Review of MSDS for other chemicals involved in process/experiment
□ Review of this SOP
□Other:_________________________

Location Where Records

Maintained:
 #10 PRIOR APPROVALS

You must
You mustseek prior
seek approval
prior from the
approval Chemical
from Hygiene Officer
the Chemical Hygiene if you plan toifuse
Officer youa Restricted
plan to use a
Substance (See SCU Chemical Hygiene Plan).
Restricted Substance (See SCU Chemical Hygiene Plan).
HACCP-Based SOPs

Serving Food
(Sample SOP)

PURPOSE: To prevent foodborne illness by ensuring that all foods are served in a
sanitary manner.

SCOPE: This procedure applies to foodservice employees who serve food.

KEY WORDS: Cross-Contamination, Service

INSTRUCTIONS:
1. Train foodservice employees on using the procedures in this SOP. Refer to the Using
and Calibrating Thermometers SOP.
2. Follow State or local health department requirements.
3. Follow the employee health policy. (Employee health policy is not included in this
resource.)
4. Wash hands before putting on gloves, each time the gloves are changed, when
changing tasks, and before serving food with utensils. Refer to the Washing Hands
SOP.
5. Avoid touching ready-to-eat foods with bare hands. Refer to the Using Suitable
Utensils when Handling Ready-To-Eat Foods SOP.
6. Handle plates by the edge or bottom; cups by the handle or bottom; and utensils by
the handles.
7. Store utensils with the handles up or by other means to prevent contamination.
8. Hold potentially hazardous food at the proper temperature. Refer to the Holding Hot
and Cold Potentially Hazardous Foods SOP.
9. Serve food with clean and sanitized utensils.
10. Store in-use utensils properly. Refer to the Storing In-Use Utensils SOP.
11. Date mark and cool potentially hazardous foods or discard leftovers. Refer to the
Date Marking Ready-to-Eat, Potentially Hazardous Foods, and Cooling Potentially
Hazardous Foods SOPs.

MONITORING:
A designated foodservice employee will visually observe that food is being served in a
manner that prevents contamination during all hours of service.

1
HACCP-Based SOPs

Serving Food, continued

(Sample SOP)

CORRECTIVE ACTION:
1. Retrain any foodservice employee found not following the procedures in this SOP.
2. Replace improperly handled plates, cups, or utensils.
3. Discard ready-to-eat food that has been touched with bare hands.
4. Follow the corrective actions identified in the Washing Hands; Using Suitable
Utensils When Handling Ready-To-Eat Foods; Date Marking Ready-to-Eat,
Potentially Hazardous Foods; Cooling Potentially Hazardous Foods; and Holding Hot
and Cold Potentially Hazardous Foods SOPs.

VERIFICATION AND RECORD KEEPING:

The foodservice manager will periodically check the storage and use of utensils during
service. In addition, the foodservice manager will complete the Food Safety Checklist
daily. The Food Safety Checklist is to be kept on file for a minimum of 1 year.

DATE IMPLEMENTED: __________________ BY: _______________________

DATE REVIEWED: _____________________ BY: _______________________

DATE REVISED: _______________________ BY: _______________________

2
 SOP #

Xxxxxx Department Revision #

Xxxxxx
Division/Function
Implementation Date

Last Reviewed/Update
Page # 1 of xx Date
SOP Owner Approval

Standard Operating Procedure

1. Purpose

Describe the process for <official name of SOP>.

Describe relevant background information.

2. Scope

Identify the intended audience and /or activities where the SOP may be relevant.

3. Prerequisites

Outline information required before proceeding with the listed procedure; for example,
worksheets, documents, IFAS reports, etc.

4. Responsibilities

Identify the personnel that have a primary role in the SOP and describe how their
responsibilities relate to this SOP. If necessary, include contact information.

5. Procedure

Provide the steps required to perform this procedure (who, what, when, where, why, how).
Include a process flowchart.

6. References

List resources that may be useful when performing the procedure; for example, Admin
policies, Municipal Code, government standards and other SOPs.

7. Definitions

Identify and define frequently used terms or acronyms. Provide additional and/or relevant
information needed to understand this SOP.

Documents: SOP short-form

 STANDARD OPERATING PROCEDURE
ACIDS

Research Group: _______________________________________________________________________

Author: ______________________________________________________________________________

Last revision date: ____________________________________________________________________

Room and Building: ___________________________________________________________________

Contact information: ___________________________________________________________________

Section 1: This standard operating procedure is for

□ The generic use of acids

□ A specific laboratory procedure involving acids

□ Acid baths

Note: this SOP is not intended for hydrofluoric, perchloric or nitric acids. Use specific SOP templates for
these compounds.

Section 2: Acid(s) to be used

State name of acids, physical properties, warning properties (if any) and MIOSHA exposure limit. If a
mixture, state the percent, molarity or ppm of the acid component.

1|Page
Section 3: Potential Hazards
List physical and health hazards associated with the acid(s), and/or toxic chemical intermediates of the
acids. This should include any potential unintended reaction that may release toxic, flammable or
corrosive gases.

Suggested:
Product (M)SDS
NIOSH Pocket Guide to Chemical Hazards - http://www.cdc.gov/niosh/npg/

Section 4: Personal Protective Equipment

All work in laboratories must be performed under the guidelines for appropriate laboratory attire, as
defined by the MSU Chemical Hygiene Plan:
- Close-toe shoes
- Long pants or long skirt covering the legs from the waist to the top of shoes
- Safety glasses or goggles, as appropriate
- Laboratory coat
- Chemical resistant gloves

In addition, a face shield and chemical-resistant apron must be worn when quantities greater than
1 liter are manipulated, or when the potential for splash or spatter can occur. This includes the
preparation and use of acid baths.

State where PPE for this procedure can be found in the laboratory

Identify documentation that gloves used with the particular acid(s) is appropriate and resistant.

Section 5: Engineering Controls

Describe engineering controls that will be used to minimize potential exposure to acids, such as fume
hoods, secondary containment vessels, containers, etc.

Please note:

- Eyewash and safety showers must be present and unobstructed

- Use concentrated acids in the fume hood

2|Page
Section 6: Special Handling and Storage Requirements
Describe how acids will be segregated from incompatible, oxidizing and base solutions

Describe how mineral acids will be segregated from organic acids

Describe how secondary containers with acid solutions will be labeled with chemical name and hazard
warning label(s)

Describe where acetic acid will be stored with flammable compounds.

Note:

- For laboratories with aggregate quantities of corrosive material in excess of 10 gallons, a

͞CORROSIVE LIQUIDS͟ sticker shall be visible on the external door to the laboratory
- Do not store chemicals (particularly acids) underneath sinks.

Section 7: Accidental Release Procedures

Small spills <1 liter:
A small amount of appropriate neutralizer for spills should be kept near the fume hood where the work
will be conducted. For spills less than 50ml, neutralize any contaminated surfaces or equipment with
sodium bicarbonate solution.

lf a larger quantity of acid is spilled, evacuate the area and call 911.

Large spills >1 liter:

- Push the fume hood’s emergency purge button, if appropriate and safe to do so
- Evacuate the laboratory
- Close the laboratory door behind last person
- Call 911 for assistance
- Pull the fire alarm if the release is reacting with other chemicals or materials and creating hazardous
vapors outside of the laboratory
- Remain on scene in a safe location until help arrives

Section 8: Exposure Procedures

Skin exposure: For large exposures, or exposures to the face or eyes, call 911 immediately for assistance.
Rinse affected skin with plenty of water while removing contaminated clothing and shoes. Rinse for at
least 15 minutes or until help arrives.

For small, uncomplicated skin exposures, rinse affected skin with plenty of water. Seek medical
attention or proceed as directed by your PI or lab manager.

3|Page
Eye exposure: Call 911 immediately. Wash eyes for at least 15 minutes or until help arrives, lifting the
upper and lower eyelids.

Section 9: Waste Disposal Procedures

Dispose of waste acids by submitting online waste pickup requests every 90 days to MSU EHS at:
www.ehs.msu.edu. Collect waste in a suitable waste container or polypropylene carboy provided by
MSU EHS. Ensure a completed waste tag is attached to the container at all times. Do not use metal
containers.

Section 10: Material Safety Data Sheets / Safety Data Sheets

List location(s) of (M)SDS for the acid(s). This should include a printed copy in the laboratory in an easily
accessible location

Section 11: Training and Awareness

Employees working with acids must complete the following training:

□ Chemical Hygiene and Hazardous Waste Initial / Refresher

□ Site Specific Training with PI or lab manager

□ Review and signature of this completed SOP

□ Other ________________________________________________________________

If appropriate, identify other employees in the vicinity who may be affected should an unintended
reaction or release of acid occur. Describe how those employees will be notified of this experiment, the
location of this SOP and (M)SDS, and point contact person available for questions.

Section 11: Protocols

Attach a copy of your protocol here, including an estimate of how long the process takes and how
frequently it will be conducted. Provide a general sequential description of work, including details such
as amounts of acids used, special safety equipment utilized, pre-operational checks for leaks, etc.

4|Page
Section 12: SOP Review and Prior Approval
I, the PI/Supervisor, grant the following laboratory personnel approval to perform the above SOP

Name: _______________________________________________________________________________

Name: _______________________________________________________________________________

Name: _______________________________________________________________________________

PI/Laboratory Supervisor signature: _____________________________________ Date: _____________

I have reviewed and understood this Standard Operating Procedure, and agree to abide by the protocols
described herein:

Signature:______________________________________________________ Date:__________________

Signature:_____________________________________________________ Date:__________________

Signature:_____________________________________________________ Date:__________________

A completed copy of this Standard Operating Procedure has been reviewed and approved by MSU Office
of Environmental Safety:

MSU EHS Staff: ____________________________________________________ Date:_______________

5|Page
 STANDARD OPERATING PROCEDURE
FLAMMABLE GAS

Research Group: _______________________________________________________________________

Author: ______________________________________________________________________________

Last revision date: ____________________________________________________________________

Room and Building: ___________________________________________________________________

Contact information: ___________________________________________________________________

Section 1: This standard operating procedure is for

□ The generic use of a flammable gas

□ A specific laboratory procedure involving a flammable gas

Section 2: Hazardous gases to be used

State name of gas(es), physical properties, warning properties (if any) and MIOSHA exposure limit. If a
mixture, state the percent or part per million of the flammable gases and other gases in the mixture. Be
sure to state the lower and upper flammability range of the gas or gas mixture.

Section 3: Potential Hazards

List physical and health hazards associated with the flammable gas, and/or toxic chemical intermediates
of the gas.

Suggested:
Product (M)SDS

1|Page
NIOSH Pocket Guide to Chemical Hazards - http://www.cdc.gov/niosh/npg/

Section 4: Personal Protective Equipment

All work in laboratories must be performed under the guidelines for appropriate laboratory attire, as
defined by the MSU Chemical Hygiene Plan:
- Close-toe shoes
- Long pants or long skirt covering the legs from the waist to the top of shoes
- Safety glasses or goggles, as appropriate

In addition, flame resistant (FR) lab coats must be worn when working with flammable materials,
including flammable gas.

State where PPE for this procedure can be found in the laboratory

Section 5: Engineering Controls

Describe engineering controls that will be used to prevent explosions and fires such as flame arrestors,
restricted flow orifices, intrinsically safe regulators, gas cabinets(if necessary)

Please note:

- Flammable gases must be kept 20ft or more away from oxidizing gases/oxygen cylinders.
- Pyrophoric gases (such as silane) have specialized equipment requirements. Please contact
Genevieve Cottrell at 432-8715 for more information
- Acetylene gas has unique properties, requiring specialized equipment. Refer to the Acetylene SOP
for more information.
- Mixing of flammable gases and oxygen in secondary containers or in processes is prohibited

Section 6: Special Handling and Storage Requirements

Describe how the gas cylinder will be secured

Describe how the experimental apparatus will be tested with an inert, non-toxic gas (͞dry-run͟) before
attaching the flammable gas cylinder, if appropriate

Describe how the system will be tested for leaks, and the preventive maintenance schedule for leak
testing

Typical leak points are the packing nut, the valve threads, the collar, the pressure relief device, the
regulator, and other attachments. If a leak is found, tighten the connection from which acetylene is
leaking. Remember that the regulator connection is a left-handed thread and must be turned to the left
to be tightened

2|Page
List anticipated purchase amounts, and maximum amounts of flammable gas expected to be in the
laboratory at any time. Note: The maximum allowable aggregate quantity of flammable gas in a
laboratory is 1000ft3. Please contact Genevieve Cottrell at 432-8715 if quantities larger than 1000ft3 are
necessary

Section 7: Accidental Release Procedures

Describe measures to be taken should an accidental release of a flammable gas occur.

This should include:

- Initiation of the fume hood’s emergency purge button, if appropriate and safe to do so
- Shut down of potential ignition sources, if safe to do so
- Evacuation of the laboratory
- Closing of laboratory door behind last person
- Calling 911 for assistance
- Pulling the fire alarm if release is large or has the potential to escape the confines of the laboratory
- Remaining on scene in a safe location until help arrives
-

Section 8: Exposure Procedures

If the gas is toxic as well as flammable, describe measures to be taken should a toxic gas exposure to a
person occur

This should include:

- Calling 911 immediately for assistance

- Notifying PI or department administrator
- Specific first aid procedures as described in the (M)SDS

Section 9: Waste Disposal Procedures

Liquid or solid hazardous waste byproducts of reactions with flammable gases may have to be disposed
of via MSU EHS. Describe waste disposal procedures here, if these waste products will be produced.

Do not attempt to ͞empty͟ or ͞bleed͟ a gas cylinder either in the open air, or in a fume hood. Describe
person responsible for ensuring full cylinders are ordered and used cylinders are returned promptly to
Airgas.

NOTE: All compressed gas cylinders must be returned to Airgas or other supplier when empty or no
longer in use. The purchase of non-returnable gas cylinders is prohibited.

3|Page
Section 10: Material Safety Data Sheets / Safety Data Sheets
List location(s) of (M)SDS for flammable gases. This should include a printed copy in the laboratory in an
easily accessible location

Section 11: Training and Awareness

Employees working with flammable gases must complete the following training:

□ Chemical Hygiene and Hazardous Waste Initial / Refresher

□ Compressed Gas Safety

□ Site Specific Training with PI or lab manager

□ Review and signature of this completed SOP

□ Other ________________________________________________________________

If appropriate, identify other employees in the vicinity who may be affected should an unintended
reaction or release of flammable gas occur. Describe how those employees will be notified of this
experiment, the location of this SOP and (M)SDS, and point contact person available for questions.

Section 11: Protocols

Attach a copy of your protocol here, including an estimate of how long the process takes and how
frequently it will be conducted. Provide a general sequential description of work, including details such
as amounts of flammable gases used, special safety equipment utilized, pre-operational checks for leaks,
etc.

4|Page
Section 12: SOP Review and Prior Approval
I, the PI/Supervisor, grant the following laboratory personnel approval to perform the above SOP

Name: _______________________________________________________________________________

Name: _______________________________________________________________________________

Name: _______________________________________________________________________________

PI/Laboratory Supervisor signature: _____________________________________ Date: _____________

I have reviewed and understood this Standard Operating Procedure, and agree to abide by the protocols
described herein:

Signature:______________________________________________________ Date:__________________

Signature:_____________________________________________________ Date:__________________

Signature:_____________________________________________________ Date:__________________

A completed copy of this Standard Operating Procedure has been reviewed and approved by MSU Office
of Environmental Safety:

MSU EHS Staff: ____________________________________________________ Date:_______________

5|Page
 STANDARD OPERATING PROCEDURE
TOXIC GAS
Research Group: _____________________________________________________________________

Author: ____________________________________________________________________________

Last revision date: ____________________________________________________________________

Room and Building: __________________________________________________________________

Contact information: _________________________________________________________________

Section 1: This standard operating procedure is for

□ The generic use of a toxic gas

□ A specific laboratory procedure involving a toxic gas

Section 2: Toxic gases to be used

State name of toxic gas(es), physical properties, warning properties (if any) and MIOSHA exposure limits

Section 3: Potential Hazards

List physical and health hazards associated with the toxic gas, and/or toxic chemical intermediates of the
gas.

Suggested:
Product (M)SDS
NIOSH Pocket Guide to Chemical Hazards - http://www.cdc.gov/niosh/npg/
ATSDR Toxic Substances Portal - http://www.atsdr.cdc.gov/substances/toxsearch.asp

1|Page
Section 4: Personal Protective Equipment
All work in laboratories must be performed under the guidelines for appropriate laboratory attire, as
defined by the MSU Chemical Hygiene Plan:
- Close-toe shoes
- Long pants or long skirt covering the legs from the waist to the top of shoes
- Safety glasses or goggles, as appropriate

In addition, flame resistant (FR) lab coats must be worn when working with flammable materials,
including toxic gases that may also be flammable.

State where PPE for this procedure can be found in the laboratory

Section 5: Engineering Controls

Describe engineering controls that will be used to minimize potential exposure to toxic gas

Please note:

- Toxic gas cylinders must be used and stored in ventilated gas cabinets or chemical fume hoods.
Describe what type of ventilation controls will be used (gas cabinet, fume hood) and date of last
certification/testing
- The experiment should be contained within a fume hood. Describe how the experiment will be
contained in a fume hood.
- For operations that cannot be contained in a fume hood, the use of critical orifices, automatic
shutoffs and hazardous gas alarms may be necessary. Consult with MSU EHS for further information
- Some toxic gases require specialized regulators and supply piping, due to their toxic and/or corrosive
natures. Consult with Airgas or MSU EHS for further information. Describe type of compatible
tubing and regulators to be used with the gas.

Section 6: Special Handling and Storage Requirements

Describe how the toxic gas will be secured inside the fume hood or ventilated gas cabinet

Describe how the experimental apparatus will be tested with an inert, non-toxic gas ( dry-run ) before
attaching toxic gas cylinder

Describe how the system will be tested for leaks, and the preventive maintenance schedule for leak
testing

List anticipated purchase amounts, and maximum amounts of toxic gas expected to be in the laboratory
at any time

State how the use of the toxic gas and associated apparatus is a minimum two-person procedure – no
working alone with toxic gases

2|Page
Section 7: Accidental Release Procedures
Describe measures to be taken should an accidental release of toxic gas occur.

This should include:

- Initiation of the fume hood’s emergency purge button, if safe to do so

- Shut down of equipment, if safe to do so
- Evacuation of the laboratory
- Closing of laboratory door behind last person
- Calling 911 for assistance
- Pulling the fire alarm if release is large or has the potential to escape the confines of the laboratory
- Remaining on scene in a safe location until help arrives

Section 8: Exposure Procedures

Skin exposure: For large exposures, or exposures to the face or eyes, call 911 immediately for assistance.
Rinse affected skin with plenty of water while removing contaminated clothing and shoes. Rinse for at
least 15 minutes or until help arrives.

For small, uncomplicated skin exposures, rinse affected skin with plenty of water. Seek medical
attention or proceed as directed by your PI or lab manager.

Eye exposure: Call 911 immediately. Wash eyes for at least 15 minutes or until help arrives, lifting the
upper and lower eyelids.

Inhalation exposure: call 911 immediately. Move to fresh air and wait for paramedics to arrive.

Section 9: Waste Disposal Procedures

Liquid or solid hazardous waste byproducts of reactions with toxic gases may have to be disposed of via
MSU EHS. Describe waste disposal procedures here, if these waste products will be produced.

Do not attempt to empty or bleed a compressed cylinder either in the open air, or in a fume hood.
Describe person responsible for ensuring full cylinders are ordered and used cylinders are returned
promptly to Airgas.

NOTE: All compressed gas cylinders must be returned to Airgas or other supplier when empty or no
longer in use. The purchase of non-returnable gas cylinders is prohibited.

3|Page
Section 10: Material Safety Data Sheets / Safety Data Sheets
List location(s) of (M)SDS for toxic gases. This should include a printed copy in the laboratory in an easily
accessible location

Section 11: Training and Awareness

Employees working with toxic gas must complete the following training:

□ Chemical Hygiene and Hazardous Waste Initial / Refresher

□ Compressed Gas Safety

□ Site Specific Training with PI or lab manager

□ Review and signature of this completed SOP

□ Other ________________________________________________________________

If appropriate, identify other employees in the vicinity who may be affected should an unintended
reaction or release of toxic gas occur. Describe how those employees will be notified of this experiment,
the location of this SOP and (M)SDS, and point contact person available for questions.

Section 11: Protocols

Attach a copy of your protocol here, including an estimate of how long the process takes and how
frequently it will be conducted. Provide a general sequential description of work, including details such
as amounts of toxic gases used, special safety equipment utilized, pre-operational checks for leaks, etc.

4|Page
Section 12: SOP Review and Prior Approval
I, the PI/Supervisor, grant the following laboratory personnel approval to perform the above SOP

Name: _______________________________________________________________________________

Name: _______________________________________________________________________________

Name: _______________________________________________________________________________

PI/Laboratory Supervisor signature: _____________________________________ Date: _____________

I have reviewed and understood this Standard Operating Procedure, and agree to abide by the protocols
described herein:

Signature:______________________________________________________ Date:__________________

Signature:_____________________________________________________ Date:__________________

Signature:_____________________________________________________ Date:__________________

A completed copy of this Standard Operating Procedure has been reviewed and approved by MSU Office
of Environmental Safety:

MSU EHS Staff: ____________________________________________________ Date:_______________

5|Page
STANDARD OPERATING PROCEDURE Insert Department
SOP No: Insert number
SOP Title: Insert title

SOP Number Insert Number

SOP Title Insert Title

NAME TITLE SIGNATURE DATE

Author

Reviewer

Authoriser

Effective Date:
Review Date:

READ BY

NAME TITLE SIGNATURE DATE

Adapted from CTRG Template SOP Version 2.1

© Copyright: The University of Oxford 2009
Page 1 of 3
STANDARD OPERATING PROCEDURE Insert Department
SOP No: Insert number
SOP Title: Insert title

1. PURPOSE
A brief description of the purpose of the SOP, it should describe why the SOP is
required (e.g. compliance with GCP and other internal procedures and guidelines).
Any regulations or procedures referred to in “Purpose” section should be identified.
The source should be given in the reference section rather than direct quotes.

2. INTRODUCTION
A general introduction, with a statement of rationale.

3. SCOPE
A statement that outlines the areas and context covered by the SOP.
If there are any areas in which this SOP specifically does NOT apply, these should
also be mentioned.

4. DEFINITIONS
When appropriate, a list of definitions should be included for terms used in the SOP.
Acronyms and abbreviations should be explained at the point of use within the SOP
and not listed in this section.

5. RESPONSIBILITIES
A summary of the roles listed in the procedure and the responsibilities of each role
holder for the procedures detailed in the SOP.
The details of the responsibilities should be a brief list of the key tasks performed.
This section should not be a complete summary of the SOP.

6. SPECIFIC PROCEDURE
This section is the main text of the SOP. It details the procedure for the task to be
performed.
There should be sufficient detail, clearly expressed, to enable a trained person to
perform the procedure without supervision.
There should also be sufficient detail to enable a trained person to use the document
to train others to perform the task.
The use of flow diagrams may be useful, especially in complex procedures.

7. FORMS/TEMPLATES TO BE USED
Where Forms/Templates are referenced in the text, the numbers and titles are listed
under this section.

Adapted from CTRG Template SOP Version 2.1

© Copyright: The University of Oxford 2009
Page 2 of 3
STANDARD OPERATING PROCEDURE Insert Department
SOP No: Insert number
SOP Title: Insert title

8. INTERNAL AND EXTERNAL REFERENCES

This section is used to list all controlled internal references (e.g. SOPs) and external
references referred to within the text of the SOP only.

8.1 Internal References

Insert relevant references as required, sufficient for the user to find the source
document.

8.2 External References

Insert relevant references as required, sufficient for the user to find the source
document. Web references should be included were possible.

9. CHANGE HISTORY
Where the SOP is the initial version:
 SOP No: Record the SOP and version number
 Effective Date: Record effective date of the SOP or “see page 1”
 Significant Changes: State, “Initial version” or “new SOP”
 Previous SOP no.: State “NA”.
Where replacing a previous SOP:
 SOP No: Record the SOP and new version number
 Effective Date: Record effective date of the SOP or “see page 1”
 Significant Changes: Record the main changes from previous SOP
 Previous SOP no.: Record SOP and previous version number

Effective Previous
SOP no. Significant Changes
Date SOP no.

Adapted from CTRG Template SOP Version 2.1

© Copyright: The University of Oxford 2009
Page 3 of 3
STANDARD OPERATING PROCEDURE Insert Department
SOP No: Insert number
SOP Title:

SOP Number Insert Number

SOP Title Document Control

NAME TITLE SIGNATURE DATE

Author

Reviewer

Authoriser

Effective Date:

READ BY

NAME TITLE SIGNATURE DATE

STANDARD OPERATING PROCEDURE Insert Department
SOP No: Insert number
SOP Title:

1. PURPOSE

2. INTRODUCTION

3. SCOPE

4. RESPONSIBILITIES

4.1 Chief/Principal Investigator

5. SPECIFIC PROCEDURE

5.1 Version control and naming convention

5.2 Other considerations

5.3 Storage and archiving

6. FORMS/TEMPLATES TO BE USED

7. INTERNAL AND EXTERNAL REFERENCES

7.1 Internal References

7.2 External References

8. CHANGE HISTORY

Effective Previous
SOP no. Significant Changes
Date SOP no.
Your Research Site Page 1 of 6
SOP No.: SOP-CO-03
Revision: Original
Effective Date:

Your Research Site

Your Research Address
Your Research City
Standard Operating Procedure

Confidential & Proprietary Information

Department: Area(s)

Title: SOP No.: SOP-CO-03

Effective Date: Revision:

Approving Official: Clinical Investigator

_______________________________ ______________________________
Name (Printed) Title

_______________________________ ______________________________
Signature Date of Approval
Your Research Site Page 2 of 6
SOP No.: SOP-CO-03
Revision: Original
Effective Date:

CORRECTIVE AND PREVENTATIVE ACTIONS

1. PURPOSE

2. SCOPE

3. BACKGROUND

This procedure is conducted in accordance with:

4. PROCEDURE
Your Research Site Page 3 of 6
SOP No.: SOP-CO-03
Revision: Original
Effective Date:

Assessment Tracking Log

Sponsor Protocol List and Describe Clinical Research Date(s) of
Number Document, System, or Team Member Review
Facility Inspection Performing
Performed Review

5. Revision Tracking or
Reapproval Documentation
Position Signature Date Signed Description of
Revision(s); Date of
Revision(s); Note if
Signature(s) is for
Reapproval Only
Medical Director

Director of Clinical Research

Assessment Plan

Protocol Number: ______________ Assessment Plan Issued Date: __________

Sponsor: _____________________ Issuer’s Initials: ____________
Date(s) of Review: ________________
Reviewer(s): _______________________________
Your Research Site Page 4 of 6
SOP No.: SOP-CO-03
Revision: Original
Effective Date:
Overall Purpose of the Assessment:

Describe the System, Documents, and/or Facility to Be Assessed:

List Clinic Research Team Members to be Involved:

Lead Reviewer:

Additional Comments:

Expected Initial Preliminary Timeline:

Initial Update:
Expected Completion:

_________________________ _________________
Clinic Director Signature Date of Signature

_________________________ _________________
Clinical Investigator Signature Date of Signature
Your Research Site Page 5 of 6
SOP No.: SOP-CO-03
Revision: Original
Effective Date:

CORRECTIVE and PREVENTATIVE ACTIONS

FORM
Section I

Identified Issue:

Section II

Casual Analysis:

Section III

Proposed Resolution(s):

Section IV

Final Root Causal Analysis

Issued Resolved On: ____________________

Continuing to be Reviewed: ______________ Next Planned Assessment: ___________________
 Your Research Site Page 6 of 6
SOP No.: SOP-CO-03
Revision: Original
Effective Date:
Issue Completion Tracking Log

Assessment Date: Reviewer(s): _______________

Investigator: __________________ Prepared By: ___________ Date: __ __________

Protocol Number(s): ________________

Corrective Action Review:

Clinical Research Director: __________________ Date: ________

Clinical Investigator: _______________________ Date: ________

Completion Responsible Completion

Observation(s) Recommendation Corrective Action Target Date Person(s) Date
 Standard Operating Procedure
Chemical name, class, or process
SOP is not complete until it has been filled out, signed, and dated by the PI and relevant lab
personnel.

Lab specific information

Department Click here to enter text.

Principal Investigator Click here to enter text.
Office Phone Click here to enter text.
Laboratory Safety Contact Click here to enter text.
Lab Phone Click here to enter text.
Building Click here to enter text.
Locations covered by this SOP Click here to enter text.
Emergency Contact Click here to enter text.
Date SOP was written Click here to enter a date.
Date SOP was approved by PI Click here to enter a date.

Scope of the SOP

Describe why a SOP is required, scope of the work, and any requirements for any additional
approval.

Physical and chemical properties

CAS number: Section 1 of an update SDS

Chemical structure: Click here to enter text.

Physical State: Section 9 of an updated SDS

Physical Appearance: Section 9 of an updated SDS

Melting/ Boiling Point: Section 9 of an updated SDS

Other: Click here to enter text.

Potential hazards / Toxicity

Hazard category: Section 2 of an updated SDS

Pictogram: Select all that apply.

Standard Operating Procedure Page 1

 ☐ ☐ ☐ ☐

☐ ☐ ☐ ☐

Signal Word: Section 2 of an updated SDS

LD50 or other toxicological information: Section 11 of an updated SDS

Chemical Stability or Reactivity: Section 10 of an update SDS

Engineering Controls

☐ Local exhaust
☐ Fume hood: Lab location
☐ Glove box
☐ Biosafety Cabinet (Class Click here to enter text.)
☐ Other (Please specify): Click here to enter text.

Administrative Controls

☐ Additional Training (Please specify): Click here to enter text.

☐ Special work practice (Please specify): Click here to enter text.

Personal Protective Equipment

Body protection:
☐ Lab coat
☐ Flame-resistant lab coat
☐ Barrier lab coat
☐ Splash apron
☐ Other (Please specify): Click here to enter text.

Gloves:
☐ Latex
☐ Nitrile
☐ Butyl rubber
☐ Neoprene
☐ Silver shield

Standard Operating Procedure Page 2

 ☐ Double
☐ Other (Please specify): Click here to enter text.
Please see glove compatibilities charts if unsure which glove material is appropriate.
Ansell: http://www.ansellpro.com/download/Ansell_8thEditionChemicalResistanceGuide.pdf
Kimberly Clark: http://www.kcproductselector.com/gloves.aspx
Showa Best Glove: http://www.showagroup.com/innovation/chemical-resistance
MAPA Professional: http://www.mapa-pro.com/

Eye protection:
☐ Safety Glasses
☐ Safety Goggles
☐ Face shield
☐ Other (Please specify): Click here to enter text.

Respiratory protection:
☐ None required (PEL is not expected to be reached)
☐ N-95 respirator
☐ Half-face respirator (Cartridge: Click here to enter text.)
☐ Full-face respirator (Cartridge: Click here to enter text.)
☐ Other (Please specify): Click here to enter text.

Hygiene measures: Avoid contact with skin eyes, and clothing. Wash hands before breaks and
immediately after handling the product.

Emergency Procedures

Dial 123 from a campus phone or 773-702-8181 from a non-campus phone for UCPD

Inhalation: Remove from area into fresh air. Consult a physician. See Section 4 of an updated
SDS for any additional information
Ingestion: Contact a physician. See Section 4 of an updated SDS for any additional information
Skin contact: Remove any contaminated clothing and wash with copious amounts of water for
15 minutes. Contact a physician. See Section 4 of an updated SDS for any additional information
Eye contact: Rinse with copious amounts of water for 15 minutes in an emergency eyewash.
Consult a physician. See Section 4 of an updated SDS for any additional information
Injection: Section 4 of an updated SDS

Spill
Small spill (<1L of non-toxic chemical): If comfortable doing so contain the spill with appropriate
absorbable materials. Clean the spill working from the outside perimeter in. Dispose as hazardous
waste. If there is an exposure please see above. See Section 6 of an updated SDS for additional
information.

Standard Operating Procedure Page 3

 Large spill (>than 1L or highly hazardous and or volatile): If possible contain the spill. Warn
others and evacuate the lab. Call 123 from a campus phone or 773-702-8181 for UCPD. Be prepared to
provide information such as building, room, location in the room, chemical, if anyone was exposed, and
any other relevant information. If there is an exposure please see above. See Section 6 of an updated
SDS for additional information.

Fire: If comfortable doing so attempt to extinguish the fire with the appropriate extinguisher
using the PASS method. If unable or not comfortable to extinguish alert others and begin evacuation.
Activate emergency pull station and contact UCPD at 123 (773-702-8181 from a non-campus phone). Be
present when emergency responders arrive to answer any additional questions they may have. See
Section 5 of an updated SDS for additional information.

Special handling and storage requirements

Handling: Section 7 of an updated SDS

Storage: Section 7 of an updated SDS

Waste and Decontamination Procedure

Click here to enter text.

Protocol/Procedure
Maximum amount allowed: Click here to enter text.
Temperature and Pressure Range: Click here to enter text.
Stock concentrations: Click here to enter text.
Working concentrations: Click here to enter text.

Example Procedure: Click here to enter text.

Note
Any deviation from this SOP requires approval from PI.

Documentation of Training (signature of all users is required)

Prior to conducting any work with Click here to enter text., designated personnel must provide
training to his/her laboratory personnel specific to the hazards involved in working with this substance,
work area decontamination, and emergency procedures.
The Principal Investigator must provide his/her laboratory personnel with a copy of this SOP and
a copy of the SDS provided by the manufacturer.
The Principal Investigator must ensure that their laboratory personnel have attended
appropriate laboratory safety training and are current with any refresher training required.

I have read and understand the content of this SOP:

Printed Name Signature Date

Standard Operating Procedure Page 4

Principal Investigator Click here to enter a
date.

Click here to enter text. Click here to enter a

date.

Click here to enter text. Click here to enter a

date.

Click here to enter text. Click here to enter a

date.

Click here to enter text. Click here to enter a

date.

Click here to enter text. Click here to enter a

date.

Click here to enter text. Click here to enter a

date.

Click here to enter text. Click here to enter a

date.

Click here to enter text. Click here to enter a

date.

Additional Resources

List or link documents such as fact sheet, protocol, or incident report

Standard Operating Procedure Page 5

 Standard Operating Procedure
Title: Version Effective Page 1 of 2
Insert Title Number: Date:
<#> <DATE>

Revision History
Version Effective Description
No. Date

Template instructions (to be deleted upon use):

This template has all necessary styles embedded. Please use only those styles
included in the document. Do not reformat anything, as this may affect the
styles.

There are additional explanatory text and sample headings included for your
convenience. Modify as appropriate during implementation.

Approved By: Date:

_____________________________________________ ____________________
INSERT NAME AND TITLE HERE, Signature above
 Standard Operating Procedure
Title: Version Effective Page 2 of 2
Insert Title Number: Date:
<#> <DATE>

1 Purpose
Instruction: Include a simple statement regarding why you are writing this document.
It may also be helpful to describe the purpose of the subject matter in the SOP.

2 Scope
Instruction: This describes to whom or under what circumstances (or both) the
document applies.

3 Definitions/Acronyms
Instruction: If the definition is standard (accepted throughout the Industry) and
published, cite the publication (or website).
3.1 First term: Definition of first term. (Citation, if applicable)
3.2 Second term: Definition of second term. (Citation, if applicable)

4 Procedures
4.1 Heading 2
4.2 Heading 2
 Example bullets
 Example bullets

4.1.1 Heading 3
4.1.1.1 Heading 4

5 References
Instructions: List all citations and references to other documents/tools. If none,
include “None” herein.

6 Appendices
Instructions: Use appendices sparingly. If forms or other items are included as
appendices, consider identifying them as EXAMPLES if it is acceptable to edit them
when they are used. If no appendices are included, delete this section

END OF DOCUMENT
 University of Newcastle Animal Care and Ethics Committee

STANDARD OPERATING PROCEDURE – SAMPLE TEMPLATE – NON RECOVERY SURGERY

ACEC Use ONLY

Standard Operating Procedure No: Version Number: 1.0
Date Approved:
Date for Review:
SOP Reference
(for use in ACEC applications):

Summary:
Name of procedure Eg. Terminal Brain Tracer Injection
Species Eg. Mouse
Procedure 2. Animal Unconscious without recovery
Classification

Details
1. Describe the surgical procedure in detail.

2. Pre-operative procedures. What procedures will be performed to prepare the animal for surgery
(eg. fasting, withholding of water, placement of vascular catheters)?

3. Anaesthesia. Give details of the anaesthetic agent(s) and technique to be used. Include details
of pre-operative sedatives or tranquilisers.

Drug name Dose rate Route Timing of administration, and frequency

(generic name, not (mg/kg body (eg. 30 minutes pre-operative, to induce anaesthesia,
during procedure, at specific intervals during the
trade name) weight)
procedure)

4. Intra-operative medications. Provide details of any other intra-operative medications that will
be administered to the animal during surgery (eg. paralysing agents, fluids, antibiotics. Do not
include experimental drugs).

Drug name Dose rate Route Timing of administration, and frequency

(generic name, not (mg/kg body (eg. at beginning of procedure, at specific intervals
trade name) weight) during the procedure)

5. Are any of the above medications considered paralysing agents? If YES, why do you need to use
a paralysing agent? Note: Neuromuscular blocking agents must not be used without adequate general
anaesthesia, or an appropriate surgical procedure that eliminates sensory awareness.
6. Monitoring. What clinical or physiological criteria will be used to monitor the depth of
anaesthesia and general well being of the animal during surgery? Please attach copies of any
forms used for intra-operative monitoring.

7. Physical support. What physical methods will be used to support the animal during surgery (eg.
heating pads, blankets, etc.)?

References – ACEC Policy and Guidelines

Anaesthesia and analgesia:
http://www.newcastle.edu.au/Resources/Divisions/Research/Units/Animal%20Ethics/revision/acec13-
oct03.pdf
 University of Newcastle Animal Care and Ethics Committee

STANDARD OPERATING PROCEDURE – SAMPLE TEMPLATE – RECOVERY SURGERY

ACEC Use ONLY

Standard Operating Procedure No: Version Number: 1.0
Date Approved:
Date for Review:
SOP Reference
(for use in ACEC applications):

Summary:
Name of procedure Eg. Abdominal implant surgery
Species Eg. Rat
Procedure From list below. Access hidden text for an explanation of each category and
Classification enter the most appropriate classification

Procedure Classification. Indicate the category that best describes the highest impact of this procedure.

1. Observation involving minor interference

2. Animal unconscious without recovery

3. Minor conscious intervention

4. Minor surgery with recovery

5. Major surgery with recovery

6. Minor physiological challenge

7. Major physiological challenge

8. Death as an endpoint

9. Production of genetically modified animals

Details
1. Describe the surgical procedure in detail.

2. Pre-operative procedures. What procedures will be performed to prepare the animal for surgery
(eg. fasting, withholding of water, placement of vascular catheters)?

3. Anaesthesia. Give details of the anaesthetic agent(s) and technique to be used. Include details
of pre-operative sedatives or tranquilisers.
 Drug name Dose rate Volume to be Route Timing of
(generic name, (mg/kg administered (PO, IM, SC or administration,
not trade name) body IP) and frequency
and concentration weight) (eg. 30 minutes pre-
operative, to induce
in mg or ug/mL anaesthesia, during
procedure, at specific
intervals during the
procedure)

4. Analgesia:

Drug name Dose rate Volume to be Route Timing of Duration

(generic name, (mg/kg administered (PO, IM, SC or administration & (eg. days)
not trade name) body IP) frequency
and concentration weight) (eg. 30 minutes pre-
operative, during
in mg or ug/mL
procedure,
immediately
post-operative,
every 12 hours
post-operatively)

5. Preparation of the surgical site. Describe how the surgical site(s) will be prepared prior to
surgery (eg. removal of hair or feathers, disinfection of skin).

6. Sterile field. Describe the procedures that will be followed to ensure maintenance of a sterile
field during surgery (eg. disinfected/sterile operating area; surgeon's cap and face mask; sterile
gown, gloves, drapes and instruments). Note: Aseptic technique must be used on ALL animal species.

7. Intra-operative medications. Provide details of any other intra-operative medications that will
be administered to the animal during surgery (eg. paralysing agents, fluids, antibiotics. Do not
include experimental drugs).

Drug name Dose rate Volume to be Route Timing of

(generic name, (mg/kg administered administration,
not trade name) body and frequency
weight) (eg. at beginning of
procedure, at
specific intervals
during the
procedure)

8. Are any of the above medications considered paralysing agents? If YES, why do you need to use
 a paralysing agent? Note: Neuromuscular blocking agents must not be used without adequate general
anaesthesia, or an appropriate surgical procedure that eliminates sensory awareness.

9. Monitoring. What clinical or physiological criteria will be used to monitor the depth of
anaesthesia and general well being of the animal during surgery? Please attach copies of any
forms used for intra-operative monitoring.

10. Physical support. What physical methods will be used to support the animal during surgery (eg.
heating pads, blankets, fluids, etc.)?

Post-operative care:

11. How long will the animal survive after surgery? (If multiple surgeries are planned, answer for the
last surgery before euthanasia.)

12. Describe the post-operative care:

(i) During the first 24 hours. Include plan for monitoring, antibiotics, fluids, methods to maintain body
temperature etc.

(ii) Thereafter. Include plan for monitoring (particularly for procedure-related complications), suture
removal, special feeding, special housing etc.

References – ACEC Policy and Guidelines

1. Anaesthesia and analgesia:
http://www.newcastle.edu.au/Resources/Divisions/Research/Units/Animal%20Ethics/revision/
acec13-oct03.pdf

2. Aseptic surgical techniques in rodents:

http://www.newcastle.edu.au/Resources/Divisions/Research/Units/Animal%20Ethics/revision/
acec19.pdf

3. Monitoring:
http://www.newcastle.edu.au/Resources/Divisions/Research/Units/Animal%20Ethics/docs/ace
c20.pdf
Standard Operating Procedure Confidential
SOP EFFECTIVE
TITLE:
NUMBER: DATE:
PAGE 1 of 2
Standard Operating
SOP-0102.02
Procedures

APPROVAL BLOCK

APPROVALS TITLE SIGNATURE/DATE

Prepared By:

Reviewed By:

Approved By:

1. PURPOSE

2. SCOPE

3. REPONSIBILITIES

4. REFERENCES

5. BUSINESS REQUIREMENTS

6. PROCEDURE

Responsible Party Action Step

Creation and Routing of an SOP and/or Working
Instruction
1.

2.
3.
4.
Standard Operating Procedure Confidential
SOP EFFECTIVE
TITLE:
NUMBER: DATE:
PAGE 2 of 2
Standard Operating
SOP-0102.02
Procedures

Responsible Party Action Step

5.

6.

7.
8.
Revising and Routing of an SOP and/or
Working Instruction

9.
10.
11.
Approving an SOP and/or Working Instruction

12.
13.
14.
15.

16.
17.

7. DEFINITIONS/ACRONYMS

8. FORMS

VERSION HISTORY

EFFECTIVE
VERSION DESCRIPTION OF CHANGE
DATE
Standard Operating Procedure Template Bizmanualz.com

Document # Title: Print Date:

[ID] [Procedure Name] [Date]
Revision # Prepared By: Date Prepared:
1.0 [Author’s Name] [Date]
Effective Date: Reviewed By: Date Reviewed:
[Date] [Reviewer’s Name] [Date]

Standard: Approved By: Date Approved:

[Standard, Law, [Approver’s Name] [Date]
or Regulation]

Policy:

Purpose:

Scope:

Responsibilities:

Definitions:

Procedure:
1.0 [FIRST PREPARATORY ACTIVITY - PLAN]

2.0 [SECOND ACTIVITY - DO]

3.0 [THIRD ACTIVITY – CHECK]
4.0 [FOURTH ACTIVITY – ACT]
5.0 [USE MORE ACTIVITIES AS NEEDED]
Effectiveness Criteria:
References:

A. [STANDARD, LAW OR REGULATION]

B. [OTHER PROCEDURES, DOCUMENTS, ETC]

Forms/Records:
Satisfies
Form # Record/Form/Activity Name
Clause
Required by Standard
XXXXX Record
Other Forms/Records

[ID] [Procedure Name] [Revision] page 1 of 3

Standard Operating Procedure Template Bizmanualz.com

Satisfies
Form # Record/Form/Activity Name
Clause
XXXXX Record
XXXXX Record
XXXXX Record

Process Map:

[ID] [Procedure Name] [Revision] page 2 of 3

Standard Operating Procedure Template Bizmanualz.com

Revision History:

Revision Date Description of changes Requested By

0.0 [Date] Initial Release

[ID] [Procedure Name] [Revision] page 3 of 3

Company logo

Standard Operating Procedure

Department: Click here to enter text.

Date SOP was written: Click here to enter a date.

Date SOP was approved by PI/lab supervisor: Click here to enter a date.

Principal Investigator: Click here to enter text.

Internal Lab Safety Coordinator/Lab Manager: Click here to enter text.

Lab Phone: Click here to enter text.

Office Phone: Click here to enter text.

Emergency Contact: Click here to enter text.

(Name and Phone Number)

Location(s) covered by this SOP: Click here to enter text.

(Building/Room Number)

Type of SOP:

Purpose

Physical & Chemical Properties/Definition of Chemical Group

Potential Hazards/Toxicity

Personal Protective Equipment (PPE)

Engineering Controls

First Aid Procedures

Special Handling and Storage Requirements

Spill and Accident Procedure

Medical Emergency Dial 911 or x52111

Safety Data Sheet (SDS) Location

Protocol/Procedure (Add lab specific Protocol/Procedure here)

1,1'-(Azodicarbonyl)-dipiperidine 1 Date: 4/2/2014

UCLA- EH&S CC/SH

Company logo

Click here to enter text.

NOTE

Documentation of Training (signature of all users is required)

Principal Investigator or Lab Supervisor SOP Approval

Print name
__________________________Signature___________________________
Approval Date:

I have read and understand the content of this SOP:

Name Signature Date

Click here to enter text. Click here to enter

a date.
Click here to enter text. Click here to enter
a date.
Click here to enter text. Click here to enter
a date.
Click here to enter text. Click here to enter
a date.
Click here to enter text. Click here to enter
a date.
Click here to enter text. Click here to enter
a date.
Click here to enter text. Click here to enter
a date.
Click here to enter text. Click here to enter
a date.
Click here to enter text. Click here to enter
a date.
Click here to enter text. Click here to enter
a date.
Click here to enter text. Click here to enter
a date.
Click here to enter text. Click here to enter
a date.
Click here to enter text. Click here to enter
a date.
Click here to enter text. Click here to enter
a date.

1,1'-(Azodicarbonyl)-dipiperidine 1 Date: 4/2/2014

UCLA- EH&S CC/SH

Company logo

Click here to enter text. Click here to enter

a date.

1,1'-(Azodicarbonyl)-dipiperidine 1 Date: 4/2/2014

UCLA- EH&S CC/SH

 Standard Operating Procedure

Title: Production and Control of Standard Operating Procedures

Purpose
The purpose of this SOP is to describe the procedure to be followed to ensure that
SOPs are produced in a consistent format and that they are adequately controlled so
that staff work to the same closely controlled standards.

Scope
The scope of this SOP covers writing, review, approval and release of new
procedures and review and update of existing procedures. This SOP also describes
the procedures to be followed when SOPs are withdrawn from use.

Document Detail
Reference Number KCL HTA105/SOP
Version 3.1
Effective From June 2009
Review Date May 2012/ May 2015/ July 2017
Author Dr Cheryl Gillett
Approved By KCL HTA Governance Committee [31/07/2015]

KCL HTA105/SOP Page 1 of 9

Revision status
Each document has an individual record of amendments. The current amendments
are listed below. The amendment history is available from the document control
system
On issue of revised or new pages each controlled document should be updated by
the copyholder.

Insert
Amendment Version no. Section(s)
Version Page Amendment
Number: Date Discarded involved
no
3 1 Change in responsibilities
4 2 Change in process
1. 16/6/09 1 2 reflecting new
responsibilities
7 3 New appendices
2. 17/6/10 2 2.1 5 2.3 Biennial Review
3. 28/5/13 Review Only No Changes
Change from annual to
3 1.3.6 biennial review
4. 8/6/2015 2.1 3.1 SOP number may also
4 2.2.2 start with Department
identifier
5.
6.

Any minor amendment must be handwritten on the SOP without obscuring existing text. An asterisk should be placed
in the adjacent margin to highlight the alteration. Alterations should be signed and dated by either the person
designated or nominated individuals and then forwarded to the document controller. The SOP must be retyped,
authorised and reissued as soon as possible. Amendments requiring immediate action should be dealt with in the
same way but highlighted as high priority. Major changes must result in the immediate review of the procedure
Document amendment does not replace the review process.

KCL HTA105/SOP Page 2 of 9

1 Responsibilities

1.1 KCL HTA Governance Group

1.1.1 The KCL HTA Governance Group will ensure KCL HTA Persons
Designated (PD) and those staff who work under the HTA Licence are
aware of their responsibilities to produce and maintain standard operating
procedures for all HTA – associated activities.
1.1.2 To support PD in their role as Document Recorder
1.1.3 To review and authorise all SOPs for ‘core’ HTA associated activities that
are standardised across the College.

1.2 Person Designated (Document Recorder)

The PD is responsible for:
1.2.1 Maintaining a register of all HTA activity associated SOP’s for the groups
they oversee (appendix 3.1).
1.2.2 Ensure that SOP numbering complies with KCL HTA Governance Group
requirements
1.2.3 Ensure that groups supply all relevant information to allow completion of
the SOP register
1.2.4 Monitor SOP review dates and where appropriate contact the author/
Principle Investigator to request SOP review

1.3 Group Document Controller

The Group document controller is responsible for:

1.3.1 Ensuring SOPs have a standard format and include:

a. Title
b. SOP number
c. Version Number
d. Date created
e. Revision Date
f. Author
g. Reviewer/Authoriser

1.3.2 Supplying SOP templates.

1.3.3 The assignment of SOP numbers, the distribution of uncontrolled copies of
SOPs for review and the co-ordination of the SOPs prior to filing and
release.
1.3.4 Updating all appropriate staff on the release of a new or updated SOP
1.3.5 Keeping a record of all local SOPs in use
1.3.6 The biennial review of SOPs and their re-issue if necessary, prior to expiry
date
1.3.7 Informing the PD (Document Recorder) of new, updated or reviewed SOPs
1.3.8 The maintenance of records of archived SOPs

1.4 Author

The author is responsible for the preparation of a clear and concise procedure.
The SOP should fully describe the roles and responsibilities of individuals,
materials and methods to be used and a description of data recording and

KCL HTA105/SOP Page 3 of 9

 retention requirements. The SOP should be written in the KCL HTA Licensed
Laboratories format, an example of which is given in appendix 3.2. Additionally
the author should ensure:

1.4.1 The SOP, if necessary, should include procedural checks or quality control
for the activity in question.
1.4.2 The SOP should be of sufficient detail to guide a trained operator to
perform the procedure defined.
1.4.3 The SOP should include a description of any protective equipment and/or
precautions necessary to allow the Procedure to be performed safely.

1.5 Authoriser/ Reviewer

Reviewers are responsible for checking that the content of the SOP is technically
correct and that the procedure in the SOP is comprehensible.

1.6 Senior Staff

Senior Staff must ensure that;

1.6.1 SOPs are prepared to cover the work, equipment and procedures within
the KCL HTA Licensed Laboratories and that they are adhered to.
1.6.2 The resources are available so that the work outlined in the SOP can be
performed.

2 Procedures

2.1 Document Control

2.1.1 SOPs must all have a standard format. The current SOP template will be
supplied by the Document Controller.
2.1.2 A folder should be maintained with all current SOPs, which is accessible to
appropriate staff on a read only basis via the KCL IT network
2.1.3 Only the Document Controller will have privileges to update, edit or delete
SOPs from the local server/PC
2.1.4 It is the responsibility of the local Document Controller to ensure the
information is disseminated to appropriate staff working under the HTA
licence.
2.1.5 An historical file of all SOPs and revisions will be kept in a secure archive
area.

2.2 New Procedures

2.2.1 SOPs can be written by any member of staff, but can only be approved for
use by management.
2.2.2 Once a new SOP is identified, the title is forwarded to Document Controller
to be numbered and logged. All SOP numbers must either begin with the
initials of the Principle Investigator or the Department, thereafter a local
numbering system can be used

KCL HTA105/SOP Page 4 of 9

 2.2.3 Once the SOP number and version is allocated, the new/revised document
will be returned to the author to finalise the SOP and for it to be authorised.
2.2.4 An author can not also authorise a SOP
2.2.5 The Document Controller will add the new SOP to the folder on the local
server/PC and inform all appropriate staff (by e-mail) that a new SOP has
been added.
2.2.6 The Document Controller will inform the Person Designated when a new
SOP has been added to their local document folder.

2.3 Review and update of existing procedures

2.3.1 SOPs will be reviewed biennially, unless changes are required before this
time has elapsed. The Document Controller will keep a record of review
dates for each SOP.
2.3.2 For SOPs which have reached their natural review date, the document
controller will issue a request to the author to review the document. The
author should update the SOP if appropriate. Changes should be detailed
on the ‘Revision Status’ section of the SOP. If major changes have been
made to an SOP it must again be authorised. The author should return the
updated document to the Document Controller for a new version to be
issued.
2.3.3 If no changes are required the author must notify the document controller
by e-mail that no update is required. The Document Controller will record
that no amendments are required and update this on the ‘Revision status’.
2.3.4 If an SOP needs to be changed prior to the natural review date of the
procedure, the person making the changes should update the SOP, detail
amendments on the ‘Revision status’ and forward the revised SOP to the
document controller.
2.3.5 The amended SOP will be given the next consecutive version number, and
the SOP registers updated.
2.3.6 When an SOP is updated, staff will be requested to destroy all copies of
the previous version of that SOP.

2.4 Withdrawal of SOPs

When an SOP is no longer required the Document Controller and Person

Designated (Document recorder) must be notified, the registers updated
and the SOP removed from the current SOP folder.

KCL HTA105/SOP Page 5 of 9

3 Appendices

3.1 Person Designated/ Document Recorder Register of SOPs

SOP Title Version Date Review Author Reviewer/

Number Number Created Date Authoriser

KCL HTA105/SOP Page 6 of 9

3.2 SOP Template Page 1

King’s College London

Human Tissue Authority Licensed
Laboratories

Standard Operating Procedure

Title:

Purpose

Scope

Document Detail
Reference Number
Version
Effective From
Review Date
Author
Approved By

KCL HTA105/SOP Page 7 of 9

3.2 SOP Template Page 2

Revision status
Each document has an individual record of amendments. The current amendments are
listed below. The amendment history is available from the document control system
On issue of revised or new pages each controlled document should be updated by the
copyholder.

Amendment Insert
Version no. Section(s)
Number: Version Page Amendment
Discarded involved
Date no
1.
2.
3.
4.
5.
6.

Any minor amendment must be handwritten on the SOP without obscuring existing text. An asterisk should be
placed in the adjacent margin to highlight the alteration. Alterations should be signed and dated by either the
person designated or nominated individuals and then forwarded to the document controller. The SOP must be
retyped, authorised and reissued as soon as possible. Amendments requiring immediate action should be dealt
with in the same way but highlighted as high priority. Major changes must result in the immediate review of the
procedure Document amendment does not replace the review process.

KCL HTA105/SOP Page 8 of 9

3.2 SOP Template Page 3

1 Responsibilities

List responsibilities of users, line-managers, administrators and senior staff in

ensuring that activity is carried out in an appropriate manner and in accordance
with documented procedures.

2 Materials

List any equipment, consumables or other materials required to carry out the
procedure

3 Procedures

Provide a clear and concise, step-by-step account of the procedure. This should be
in sufficient detail for a trained operator to carry out the procedure defined. The
section should also include a description of data recording and retention
requirements. If necessary should include procedural checks or quality control for
the activity in question.

4 Health & Safety

Include a description of any protective equipment and/or precautions necessary to

allow the procedure to be carried out safely.
Note: This does not replace a requirement to undertake a formal risk assessment.

5 Cross Reference SOPs

List by number and title and SOP’s, which relate to the activity described.

KCL HTA105/SOP Page 9 of 9

Example of a Standard Operating Procedure Template (SOP)

Enter Practice Name here: ________________________________________

Standard Operating Procedure (SOP): Management of Controlled Drugs in GP

dispensing practices

Written by: Provide details of all contributors Date written: Enter date

Approved by: Name & Signature of Responsible GP Review Date: Enter date,

1. Purpose
2. Scope
3. Responsible Persons
Accountable Officer (AO) The Accountable Officer is insert name,
address and telephone number.
Responsible GP

Authorised Witness The local Authorised Witness is insert name,

address and telephone number.

4. Responsibilities
Authorised staff enter name(s).
Authorised staff enter name(s).
Authorised staff enter name(s).
Authorised staff enter names(s).
Describe system.

5. Obtaining Stock Schedule 2 and 3 Controlled Drugs

6. Receipt of Schedule 2 CDs

Specify names, of all who may accept
delivery of CDs.
Specify all locations and the process to be
followed and also any process to be
followed in the event of being unable to
immediately access the correct receptacle.
7. Safe Storage of Controlled Drugs

Specify all storage locations.

8. Safe Storage of Prescription Stationery

Specify all locations and how storage is
secured.

9. Prescribing
Specify names, or refer to responsibilities
section above.

10. Dispensing
Enter names.

11. Collection and Delivery of CDs

Detail practice process including
responsibilities, system and record
keeping.

12. Stock Checks

Detail practice process including
frequency of checks.

13. Destruction and Disposal of CDs

Contact details are at Section 1.4 of this
document (Authorised Witness).
14. Incidents/Near Misses and Concerns involving CDs
These are reported to:
Name Role Timescale
Responsible person within Immediately aware
practice for CDs
Deputy When responsible person not
available
NHS AO Within 2 working days

15. Training
Detail practice process.

Example of a Training Log for Standard Operating Procedure (SOP)

Practice Name: ________________________________________________

I have read and understood the SOP relating to management of Controlled Drugs and
undertaken any identified training:

Date Name Job Title Signature

 Standard Operating Procedure
__________________________________________________

Date:
SOP Title:
Principal Investigator:
Room and Building:
Lab Phone Number:

Section 1 – Process

Section 2 – Hazardous Chemicals

Section 3 – Potential Hazards

Section 4 – Approvals Required

Section 5 – Designated Area

Section 6 – Special Handling Procedures and Storage

Requirements

1
Section 7 – Personal Protective Equipment

Section 8 – Engineering/Ventilation Controls

Section 9 – Spill and Accident Procedures

Section 10 – Waste Disposal

2
Section 11 - Decontamination

Training Documentation
Name (Printed) Signature Date

3
4
 [Agency Name]
Standard Operating Procedure
[LOGO] Page A-1
STARCOM21 ITTF Interoperability Radio Rev: 2.0

SOP
Instructions for Use

YOUR AGENCY NAME

[REPLACE WITH YOUR AGENCY

LOGO AND RESIZE]

Standard Operating Procedure for

_________________________________
 [Agency Name]
Standard Operating Procedure
[LOGO] Page A-2
STARCOM21 ITTF Interoperability Radio Rev: 2.0

ADOPTION AND NIMS COMPLIANCE REVIEW

Signature Printed Name Title Date

Signature Printed Name Title Date

Signature Printed Name Title Date

Signature Printed Name Title Date

Record of Change

Change No. Description Change Date Approved By

001
 [Agency Name]
Standard Operating Procedure
[LOGO] Page A-3
STARCOM21 ITTF Interoperability Radio Rev: 2.0

Change No. Description Change Date Approved By

I. PURPOSE

II. INTEROPERABLE COMMUNICATION RESOURCE DESCRIPTION

OVERVIEW

FUNCTIONS AND ROLES

GENERAL RESPONSIBILITIES

III. RULES OF USE

ELIGIBILITY

EXCEPTION:

AUTHORIZATION

IV. GENERAL COMMUNICATIONS ASSETS RULES OF USE

GENERAL RULES OF USE OF COMMUNICATIONS EQUIPMENT

V. GLOSSARY AND TERMS

Item/Acronym Definition


 [Agency Name]
Standard Operating Procedure
[LOGO] Page A-4
STARCOM21 ITTF Interoperability Radio Rev: 2.0

Item/Acronym Definition

Appendix A AGENCY POINTS OF CONTACT

Table 1 - Points of Contact

Agency or Phone
POC Type Name Email
Organization 24 Hr Phone

Inventory
Radio Location Type Model Number Serial Number
1
2
3
4
 [Agency Name]
Standard Operating Procedure
[LOGO] Page E-5
STARCOM21 ITTF Interoperability Radio Rev: 2.0

5
6
7
8
9

Appendix B INVENTORY DATA

Appendix C QUICK START GUIDES

Appendix D TEMPLATES AND MAPS

Appendix E Manuals
Standard Operating Procedures template
Table 12-1
(Columns 1–5)
Literature
Risk Assessment
search and
(What is most
consultation
Hazard Identification(Known Specific likely to go
Evaluate Each with Strategies to Eliminate, Control, or
and potential hazards/Safety Issues wrong/what are
Step or Task experienced Mitigate Hazard
constraints and restrictions) Identified the most severe
supervisors
consequences
for lessons
even if unlikely?)
learned
Understanding applicability, CHP, OSHA carcinogen regulations,
Regulatory cost constraints, lack of options, controlled substances DEA regulations,
Concerns delays, require assistance, permits for select agents and/or radioactive
permits materials, etc.
Inexperienced worker, new
Reiterative training, enforce lab rules,
experiment, work hours, follows
supervision, ascertaining worker
Human Factors directions, medical conditions,
knowledge, ensure worker is well-informed,
effect of errors, effect of cold or
practice small, SOPs, buddy system
fatigue, language barrier
Lighting, hand wash sink,
egress, electrical circuits,
ventilation, emergency equip., Ensure proper environment and
Facility
code adherence, confined space, conditions–can use checklist
storage arrangements, sturdy
shelves
Biological, Radiological,
Chemicals; for chemicals--
Eliminate, substitute or reduce amt.?
flammability, toxicity, PEL,
Detection and warning methods? Use of
Materials Physical data, reactivity,
administrative, engineering or PPE controls
corrosivity, thermal & chemical
(expand)
stability, inadvertent mixing,
routes of exposure

Materials integrity, Integrity check, right tool for job,

Equipment and maintenance, piping, electrical, maintenance, correct use, troubleshoot,
Labware relief systems, ventilation normal and emergency operations
systems, safety mechanism delineated

Unsafe quantity or
Change process, small tests, test runs
concentration, unsafe temp,
without hazard present, acquire expert
Process pressure, flow or composition,
assistance, secondary controls, emergency
deviations, potential for
response actions
runaway reaction

Effect of change More energetic or toxic,

in design or increase potential for release, Assume and prepare for increased risks,
conditions hazards of scale up identify these in order of potential, require
review by experts, require continuous
Possibility for Lack of expertise or knowledge,
monitoring, install safeguards, warning
additive or newly synthesized materials,
systems, shutdown mechanisms and remote
synergistic untested or unfamiliar
monitoring
effect or equipment, materials or
unknown effects processes
Challenges to proper disposal,
Effluents and Must be resolved before experiment, proper
potential for exposure or
waste disposal containment and methods for
contamination, hazardous
management experiment waste
releases to air or water

Inadequate PPE or shielding for Design experiment to reduce reliance on

Availability of
hazard, cost factors, worker PPE, combine control methods, prohibit use
PPE
compliance, lack of alternatives of inadequate PPE

Emergency Inadequate or unavailable, lack Buddy system, alarms, ensure availability of

Response of knowledge about emergency equipment & personnel, emergency drills &
resources procedures training, spill kits, AED
 Potential failure
points or Weighing toxic materials on lab
Review and change work practices,
routine bench, opening an autoclave,
extensive training, instructions to address
activities with hard to close caps, lack of "kill"
unexpected failures, breakage
high risk of switch
harm

(Columns 6–10)
Ask again (What
could go wrong?
Suggested
Consider atypical
strategies to Plan B to
Strategies to Eliminate, Control, or or less likely Will Standard Precautions
Evaluate Each address Eliminate,
Mitigate Hazard (Column 5 duplicated events/Identify be Adequate? (Develop
Step or Task identified Control or
from previous page for ease of use) possible failure written criteria)
hazards Mitigate
points or known
(Plan A)
failures of prior
strategies)
CHP, OSHA carcinogen regulations,
Regulatory controlled substances DEA regulations,
Concerns permits for select agents and/or radioactive
materials, etc.

Reiterative training, enforce lab rules,

supervision, ascertaining worker
Human Factors
knowledge, ensure worker is well-informed,
practice small, SOPs, buddy system

Ensure proper environment and

Facility
conditions—can use checklist

Eliminate, substitute or reduce amt.?

Detection & warning methods? Use of
Materials
administrative, engineering or PPE controls
(expand)

Integrity check, right tool for job,

Equipment and maintenance, correct use, troubleshoot,
Labware normal and emergency operations
delineated

Change process, small tests, test runs

without hazard present, acquire expert
Process
assistance, secondary controls, emergency
response actions

Effect of change
in design or Assume and prepare for increased risks,
conditions identify these in order of potential, require
review by experts, require continuous
Possibility for
monitoring, install safeguards, warning
additive or
systems, shutdown mechanisms and remote
synergistic
monitoring
effect or
unknown effects

Effluents and Must be resolved before experiment, proper

waste disposal containment and methods for
management experiment waste

Design experiment to reduce reliance on

Availability of
PPE, combine control methods, prohibit use
PPE
of inadequate PPE

Table 12-1: Standard Operating Procedures template 2

 Emergency Buddy system, alarms, ensure availability of
Response equipment and personnel, emergency drills
resources & training, spill kits, AED
Potential failure
points or
Review and change work practices,
routine
extensive training, instructions to address
activities with
unexpected failures, breakage
high risk of
harm

This file is excerpted from Identifying and Evaluating Hazards in Research Laboratories: Guidelines developed by the Hazard
Identification and Evaluation Task Force of the American Chemical Society’s Committee on Chemical Safety .

© Copyright 2015 American Chemical Society

Table 12-1: Standard Operating Procedures template 3

HACCP-Based SOPs

Transporting Food to Remote Sites (Satellite Kitchens)

(Sample SOP)

PURPOSE: To prevent foodborne illness by ensuring that food temperatures are

maintained during transportation and contamination is prevented.

SCOPE: This procedure applies to foodservice employees who transport food from a
central kitchen to remote sites (satellite kitchens).

KEY WORDS: Hot Holding, Cold Holding, Reheating, Cooling, Transporting Food

INSTRUCTIONS:
1. Train foodservice employees on using the procedures in this SOP.
2. Follow State or local health department requirements.
3. If State or local health department requirements are based on the 2001 FDA Food
Code:
 Keep frozen foods frozen during transportation.
 Maintain the temperature of refrigerated, potentially hazardous foods at 41 ºF or
below and cooked foods that are transported hot at 135 ºF or above.
4. Use only food carriers for transporting food approved by the National Sanitation
Foundation International or that have otherwise been approved by the state or local
health department.
5. Prepare the food carrier before use:
 Ensure that all surfaces of the food carrier are clean.
 Wash, rinse, and sanitize the interior surfaces.
 Ensure that the food carrier is designed to maintain cold food temperatures at
41 ºF and hot food temperatures at 135 ºF or above.
 Place a calibrated stem thermometer in the warmest part of the carrier if used for
transporting cold food, or the coolest part of the carrier if used for transporting hot
food. Refer to the Using and Calibrating Thermometers SOP.
 Pre-heat or pre-chill the food carrier according to the manufacturer’s
recommendations.
6. Store food in containers suitable for transportation. Containers should be:
 Rigid and sectioned so that foods do not mix
 Tightly closed to retain the proper food temperature
 Nonporous to avoid leakage
 Easy-to-clean or disposable
 Approved to hold food

1
HACCP-Based SOPs

Transporting Food to Remote Sites (Satellite Kitchens),

continued
(Sample SOP)

INSTRUCTIONS, continued:
7. Place food containers in food carriers and transport the food in clean trucks, if
applicable, to remote sites as quickly as possible.
8. Follow Receiving Deliveries SOP when food arrives at remote site.

MONITORING:
1. Check the air temperature of the food carrier to ensure that the temperature suggested
by the manufacturer is reached prior to placing food into it.
2. Check the internal temperatures of food using a calibrated thermometer before
placing it into the food carrier. Refer to the Holding Hot and Cold Potentially
Hazardous Foods SOP for the proper procedures to follow when taking holding
temperatures.

CORRECTIVE ACTION:
1. Retrain any foodservice employee found not following the procedures in this SOP.
2. Continue heating or chilling food carrier if the proper air temperature is not reached.
3. Reheat food to 165 ºF for 15 seconds if the internal temperature of hot food is less
than 135 ºF. Refer to the Reheating Potentially Hazardous Foods SOP.
4. Cool food to 41 ºF or below using a proper cooling procedure if the internal
temperature of cold food is greater than 41 ºF. Refer to the Cooling Potentially
Hazardous Foods SOP for the proper procedures to follow when cooling food.
5. Discard foods held in the danger zone for greater than 4 hours.

VERIFICATION AND RECORD KEEPING:

Before transporting food to remote sites, foodservice employees will record food carrier
temperature, food product name, time, internal temperatures, and any corrective action
taken on the Hot and Cold Holding Temperature Log. Upon receipt of food at remote
sites, foodservice employees will record receiving temperatures and corrective action
taken on the Receiving Log. The foodservice manager at central kitchens will verify that
foodservice employees are following this SOP by visually observing employees and
reviewing and initialing the Hot and Cold Holding Temperature Log daily. The
foodservice manager at the remote site(s) will verify that foodservice employees are
receiving foods at the proper temperature and following the proper receiving procedures
by visually observing receiving practices during the shift and reviewing and initialing the
Receiving Log daily. All logs are kept on file for a minimum of 1 year. The foodservice

2
HACCP-Based SOPs

Transporting Food to Remote Sites (Satellite Kitchens),

continued
(Sample SOP)

VERIFICATION AND RECORD KEEPING, continued:

manager will complete the Food Safety Checklist daily. The Food Safety Checklist is to
kept on file for a minimum of 1 year.

DATE IMPLEMENTED: __________________ BY: _______________________

DATE REVIEWED: _____________________ BY: _______________________

DATE REVISED: _______________________ BY: _______________________

3
 Laboratory Safety
Standard Operating Procedure
City College-CUNY
160 Convent Avenue., New York, NY 10031
Phone: 212-650-5080/ 5074 • Fax: 212-650-8604

Standard Operating Procedures Fact Sheet

The OSHA Laboratory Standard requires that Chemical Hygiene Plans include specific elements and measures
to ensure employee protection in the laboratory. One such requirement is Standard Operating Procedures
(SOPs) “relevant to safety and health considerations to be followed when laboratory work involves the use of
hazardous chemicals”. This is especially the case if your lab operations include the routine use of "select
carcinogens,' reproductive toxins and substances which have a high degree of acute toxicity”.
Standard Operating Procedures can be stand-alone documents or supplemental information included as part of
research notebooks, experiment documentation, or research proposals. The key idea with laboratories having
standard operating procedures is to ensure a process is in place so that an experiment is well thought out and
includes and addresses relevant health and safety issues.
At a minimum, SOPs should include details such as:
• The chemicals involved and their hazards.
• Special hazards and circumstances.
• Use of engineering controls (such as fume hoods).
• Required personal protective equipment.
• Spill response measures.
• Waste disposal procedures.
• Decontamination procedures.
• Description of how to perform the experiment or operation.
While the OSHA Laboratory Standard specifies the requirement for SOPs for work involving hazardous
chemicals, laboratories should also develop SOPs for use with any piece of equipment or operation that may
pose any physical hazards. Examples include:
• Safe use and considerations of lasers.
• Use of cryogenic liquids and fill procedures.
• Connecting regulators to gas cylinders and cylinder change outs.
• Use of equipment with high voltage.
Standard Operating Procedures do not need to be lengthy dissertations and it is perfectly acceptable to point
laboratory personnel to other sources of information. An Example to include as part of the SOPs can be:
“To use this piece of equipment, see page 4 in the operator’s manual (located in file cabinet #4).”

EH&S can assist laboratories in developing general and specific SOPs for chemical use in laboratories. Due to
the large variety of research and the number of laboratories at City College, it is the responsibility of each
laboratory PI and department to ensure that SOPs are developed and the practices and procedures are adequate
to protect their lab workers who use hazardous chemicals.
Page 1 of 7
 Standard Operating Procedure Template
Read the Standard Operating Procedures Fact Sheet before filling out this form. Print out the completed
form and keep a readily accessible hard copy in the lab (also keeping an electronic copy is highly
recommended).

Date:
SOP Title:
Principal Investigator:
Department:
Room and Building:
Lab Phone Number:

Section 1 – Process or Experiment Description

Provide a brief description of your process or experiment, including its purpose. Do not provide a detailed
sequential description as this will be covered by section #15 of this template.

Section 2 – Hazardous Chemicals

List chemicals used. Include chemical name, common name and abbreviation.

Section 3 – Potential Hazards

List chemicals used. Include chemical name, common name and abbreviation.
(Describe the potential hazards associated with the chemicals or the procedure.) Examples include:
1. Chemical hazards such as carcinogenic, irritant, corrosive, acutely toxic
2. Reproductive hazards such as teratogens or mutagens
3. Allergies or chemical sensitivities that may be associated with the chemical
4. Physical hazards such as reactive, unstable, pyrophoric, implosion, exothermic, use of high energy
equipment.

Page 2 of 7
Section 4 – Routes of Exposure
As applicable, describe the potential routes of exposure associated with the procedure such as inhalation,
injection and skin/eye contact.

Section 5 – Approval
Use will be limited to the following personnel (check all that apply):
Yes No

Principal Investigator
Graduate students
Technical staff
Post doctoral employees

Undergraduates
Other (describe)
_________________________

Section 6 – Training
Training requirements: The user must demonstrate competency and familiarity regarding the safe handling
and use of this material prior to purchase. Training should include the following:
 Review of current MSDS
 Review of the OSHA Lab Standard
 Review of the Chemical Hygiene Plan
 Review CUNY Laboratory Manual
 Laboratory safety training (EH&S)
 Special training provided by the department/supervisor
 Review of the departmental safety manual
 Safety meetings and seminars
Section 7 – Personal Protective Equipment
All personnel are required to wear the following personal protective equipment whenever handling this
material (check all that apply):
Lab coat
Safety glasses
Rubber coat
Chemical safety goggles
Face shield Other
(describe)_______________________
Gloves (type)

Page 3 of 7
Section 8 – Designated Area
Designated work area(s) - Required whenever carcinogens, highly acutely toxic materials, or reproductive
toxins are used. The intent of a designated work area is to limit and minimize possible sources of exposure
to these materials. The entire laboratory, a portion of the laboratory, or a laboratory fume hood or bench
may be considered a designated area location. Materials shall be used only in the following designated
areas in the laboratory.
Check all that apply:
Demarcated area in lab (describe)
Fume hood (Fume hood #)
Glove box
Other (describe)

Section 9 –Storage Requirements

Materials will be stored according to compatibility and label recommendations in a designated area.
Describe storage requirements for the hazardous chemicals, especially for highly toxic, highly
reactive/unstable materials, highly flammable materials, and corrosives.

Section 10 – Special Handling Procedures

Describe special handling requirements for hazardous chemicals used in your procedure, especially for
highly toxic, highly reactive/unstable materials, highly flammable materials, and corrosives.

Section 11 – Engineering Controls

Guidance on Engineering and Ventilation Controls – Consult MSDS and review safety literature and
peer-reviewed journal articles to determine appropriate engineering and ventilation controls for your
process or experiment. Guidance is available from health and safety specialists at City College..
As applicable, describe the engineering controls used for the procedure) Examples:
1. Use of fume hoods or glove boxes
2. Special ventilation
3. HEPA filtered vacuum lines
4. Non-reactive containers
5. Temperature control
6. Bench paper, pads, plastic-backed paper
7. Special signage
8. Safe sharp devices
9. Other safety devices used

Page 4 of 7
Section 12 – Decontamination

For hazardous material spills or releases which have impacted the environment (via the storm drain,
soil, or air outside the building) or for a spill or release that cannot be cleaned up by local personnel:

1. Notify City College

a. Public Safety by calling 7777/-6911
b. EH&S by calling the numbers listed above,
2. Provide local notifications: Identify the area management staff that must be contacted and include
their work and home numbers. This must include the principal investigator and may include the lab
safety coordinator. [PRECEDING GUIDANCE TEXT MAY BE DELETED]

Small Spills Cleanup:

In the event of a minor spill or release that can be cleaned up by local personnel using readily available
equipment (absorbent, available from EH&S in Small Spill Kit):
 Notify personnel in the area and restrict access.
 Review the MSDS for the spilled material, or use your knowledge of the hazards of the material to
determine the appropriate level of protection.
 Wearing appropriate personal protective equipment, clean up spill. Collect spill cleanup materials
in a tightly closed container.
 Manage spill cleanup debris as hazardous waste.

Clean up work area and lab equipment.

Describe specific cleanup procedures for work areas and lab equipment that must be performed after
completion of your process or experiment. For carcinogens and reproductive toxins, designated areas must
be immediately wiped down following each use.

Section 13 – Exposure: Emergency procedures to be followed (from MSDS):

Skin/eye contact--Symptoms:

First Aid: Flush eyes with plenty of water for at least 15 minutes, occasionally lifting the upper and lower
lids. Get medical aid. Flush skin with plenty of soap and water for at least 15 minutes while removing
contaminated clothing and shoes. Get medical aid if irritation develops or persists.
Inhalation--Symptoms:

Page 5 of 7
 First Aid: Remove from exposure to fresh air immediately. If not breathing give artificial respiration. If
breathing is difficult, give oxygen. Get medical aid.

Section 14 – Waste Disposal

Collect the hazardous waste in a container that is compatible with the waste. Tightly capped and label the
container. Use preprinted hazardous waste labels to label all hazardous waste containers. Hazardous waste
containers are kept in secondary containment trays at the satellite accumulation area.
Chemical Waste Generated
State Non-
Chemical Name Hazardous If hazardous what
How is the waste managed?
Solid Liquid Slurry Hazardous is/are the hazard/s?

Section 15 – Process Steps

For each step’s description, include any step-specific hazard, personal protective equipment, engineering
controls, and designated work areas in the left hand column.
Process Steps Safety Measures
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.

Page 6 of 7
Training Documentation

Name (Printed) Signature Date

Prepared by: ________________________________ Date: _____________

Reviewed/Revised: _________________

A copy of the completed SOP must be filed with the City College Chemical Hygiene Officer.

Page 7 of 7
 Event Management Plan Template and
Guidance Notes

Event Name

Event Location

Event Date

Organisation

Document last updated

If you have any questions about this template, please contact

Cornwall Council’s Event Planning Coordinator, eventplanning@cornwall.gov.uk

Please submit your event management plan with your event application form.

*Please note that this document is a guide only*

Introduction
This template provides guidance notes for event organisers and will help you develop a
detailed event management plan.
To use the template, save a new version and complete the sections in blue that apply to
your event. Not all sections will apply to all events – you will need to decide which are
relevant to your event. Once you have completed the template, you can delete the
guidance text.
Our online event guidance includes information that will be useful when preparing your
event management plan. Please take time to read this. You may also find the Purple
Guide helpful, as it provides guidance on security, major incident planning, first aid,
electrical safety, event communication, lost children, sanitary facilities and more.

You will need to provide risk assessments and public liability insurance from ALL activity
and equipment providers if your event:

 Is being organised by Cornwall Council

 Is in partnership with Cornwall Council
 Takes place on Cornwall Council property, or
 Takes place on the public highway

You should submit your event management plan at least 3 months before your event
to allow time for things like licences to be issued, building inspections to take place and
road closures to be organised. The more notice you can give, the better. As a general
rule:

 For events with up to 1,000 people, you need to give 3 months’ notice.
 For events with 1,000 – 5,000 people, you need to give 6 months’ notice.
 For events with over 5,000 people, you need to give 12 months’ notice.

When you submit your event management plan, we will tell you if you need to attend an
Events Advisory Group meeting to discuss the event and answer any questions that the
emergency services or the Council may have.

2
Event management
Event overview

Provide a brief summary (one or two paragraphs) of what your event will involve.

Licence and application checklist

Use the checklist below to record the licences and permissions you have applied for.

Checklist Yes No N/A

Event Notification Form (ENF)

Road Closure Application

Temporary Event Notice (TEN)

Any other licensing requirements (provide

details) consents and licences

Have you checked if your event requires

planning permission? (provide details)

Key event management contacts

Complete the following table with the names, roles, responsibilities and contact details of
the key people involved in organising your event. Add more lines if necessary.
The event manager has overall responsibility for all aspects of the event. Depending on
the nature and scale of the event, other people will have key tasks and responsibilities
allocated to them but will report to the event manager.

Name Role Responsibility Contact Details

Event Manager Overall responsibility

Production All event

infrastructure,
ordering, delivery
timings etc

Volunteer Coordinator Volunteer recruitment,

training and event day
management

Steward Coordinator Recruitment, training

3
 and event day
management

Health and Safety Risk assessments,

Officer legal compliance, fire
points, site
inspections, first aid
provision

Welfare Toilets and wash

facilities

Waste Management Organisation of waste

clearance and
recycling

Key event contacts – other

Complete the table below with details of any other key contacts for your event. Add more
lines if necessary.
This section is for your use, not the Council’s, and will help with your event planning and
management on the day. You should include details of everyone who will be involved
with your event, such as suppliers, stallholders and emergency contacts.

Suppliers (marquees, catering etc)

Organisation Contact Service Contact details Notes

Email and mobile

Authorities (fire, police, first aid etc)

Organisation Contact Service Contact details Notes

On call Email and mobile

Attractions, artists and entertainment

Organisation Contact Service Contact details Notes

Email and mobile

Staffing
It is easy to underestimate how many staff will be required to plan and successfully run
your event. Consider how many stewards, car park attendants etc you will need to
manage things safely.

Please list the other staff who will be needed to help run your event, in addition to the

4
key event management contacts listed above.

Organisational structure
Create a simple organisational structure below.
The organisational structure will help everyone involved with your event to understand
who is responsible for what. It is also an essential part of your emergency response
planning. If there is an incident, your staff and the emergency services will need to
know who is in charge.
The example below is a very simple structure. Make sure your organisational structure
shows the levels of command and how things will be communicated up and down these
levels.

Emergency services – Police, Fire, Ambulance, Coastguard

Event manager

Security Safety manager Production Artist Volunteer

manager manager manager manager

Security staff Production staff Stage Volunteers

manager

Stewards Crew Stage crew

Programme Schedule
Complete the event schedules below.
You should list everything that needs to be done before, during and after your event.
This will help ensure you complete tasks on time and that things aren’t forgotten.
The schedules below each show an example of a typical task.

Schedule XXXXXX event – prior to event day

Date Task Start Finish Resources/ Notes In Hand Complete

who

Pick-up 10am 12 noon Van + Bill Take X Van

event and Ben cheque for booked
signage payment
from sign
writer

Schedule XXXXXX event – event day

5
Task Start Finish Resources/ Notes In Hand Complete
who

Stall holders arrive 7am 9am Stalls All vehicles X stalls

on site coordinator off site by coordinator
- Sam 9.30 and briefed
no further
vehicle
movements

Schedule XXXXXX event – post event

Date Task Start Finish Resources/ Notes In Hand Complete

who

Return 9am 10am Van + Tom Make sure X

generator cables go
back

Timetable
Use the table below as a template for your event’s timetable.
If your event will have activities taking place at different times and locations across the
event site, you will need to programme your activities.
For example you may have a stage, arena area and walkabout entertainment. You could
programme an arena act to start shortly after a stage act has finished to provide
entertainment elsewhere while the changeover for the next stage act takes place.
For smaller outdoor events breaking your timetable into periods of between 5 and 15
minutes usually works well. If your event includes on stage entertainment, you may need
a separate stage run sheet broken down into periods of one minute.

Stage and arena programme for XXXXX event

Time Stage Arena Face Dog show Street Music other

programme programme painter parade stage

12:00 Opening Face

painter

12:05

12:10

12:15 Changeover Cooking Street

demo parade

6
12:20 Dog show

12:25

12:30 Dance 1st band

performance
xxxxxxx

12:35

12:40

12:45

12:50

12:55

13:00

Health and safety

Your responsibility for health and safety at your event
Even if you are a community organisation with no employees, you still have a
responsibility under the Health and Safety at Work Act 1974 to ensure that your event
and any contractors are operating legally and safely.
The sections below will help ensure you take all reasonable steps to ensure your event is
safe and meets health and safety laws and guidelines.

Risk assessments and management

Please provide a copy of your completed risk assessment.
Risk assessments cover all health, safety and planning aspects of your event. You should
develop your risk assessment early on, monitor it constantly and adjust it as necessary.

The first step is to develop a risk register, which identifies the risks for your event. Each
risk listed in the register will need to be included in the risk assessment. You must
include the risk of fire.

Risk assessments – contractors

Your contractors could include a fun fair ride, face painter or walkabout performer. As the
event organiser you are responsible for anything you contract in.

Please list all contractors associated with your event. You will need copies of their risk
assessments.

7
Security
Most events require some professional security or stewarding to help with crowd control.
Your risk assessment must include your security requirements, which will depend on
things like your event location, date, operating times, target audience, planned
attendance numbers, fenced or open site etc.
Security at events must be SIA (Security Industry Authority) registered.

Include your security plan here.

Stewarding
Like your security requirements, the number of stewards you need will depend on your
risk assessment, event location, date, operating times, target audience, planned
attendance numbers, fenced or open site etc.
 Stewards require training and briefings so they are fully aware of their duties and
responsibilities.
 You must develop a communications plan for all staff, including stewards, so they
understand how they should share information or report incidents during the event.

Include your stewarding plan here.

Emergency procedures
You must document your procedures for fire, site evacuation, communicating with your
audience in an emergency, contacting the emergency services, who will make decisions,
etc. Include definitions, i.e. when an incident become major and is handed over to the
police. You will need to share your emergency procedures with your event staff,
contractors, volunteers and the emergency services.

Please document the emergency procedures you will have in place for your event.

First aid and medical cover

The Purple Guide provides a template to help establish your first aid, medical and
ambulance requirements.

Please list the first aid and medical cover you will have at your event.

8
Electricity
All electrical installations, even temporary ones, must comply with the Electricity at Work
Regulations 1989. Any event that has electrical supply included must have a competent
electrician sign off the installation before the event starts.

If you are including electrical supply as part of your event, please provide details here.

Fire safety at your event

You must include the risk of fire in your event risk assessment. You must show that you
have:
 Identified the fire hazards, i.e. sources of ignition, fuel and oxygen
 Identified people at risk within and surrounding your site and those at highest risk
 Evaluated the risk of a fire occurring and evaluate the risk to people should a fire occur
 Remove or reduce fire hazards and removed or reduced the risks to people
 Considered detection and warning, fire fighting, escape routes, signs and notices,
lighting, maintenance
 Recorded significant findings and action taken
 Prepared an emergency plan
 Informed and instructed relevant people and provided training
 Reviewed and revised your assessment where necessary
Useful resources for fire safety planning include Fire Safety Risk Assessment – open air
events and venues and Guide to Fire Precautions in Existing Places of Entertainment and
Like Premises.

Please document how you have addressed the key areas of the fire risk assessment
process listed above:

Inflatable play equipment

You will need approval for any bouncy castles, rides or fun fairs at your event.
Before approval is granted for inflatable play equipment, you will need to make sure:
 The operator can provide a copy of the current PIPA test certificate for the equipment.
 The operator carries out the daily checks on the equipment as required by EIS7
 You know when the equipment was last fully inspected
 You get full instructions on its SAFE operation
 The equipment is clearly marked with limitations of use (maximum user height etc.)

9
 Are you a member of a relevant association (AIMODS, NAIH or BIHA)?
 More guidance is available on the PIPA Inflatable Play Inspection Scheme website.

Please include here any inflatable play equipment you intend to have at your event.

Fun Fairs
Before approval is granted for rides or fun fairs you will need to make sure:
 Any stand-alone ride or rides that are part of a fun fair are part of the ADIPS
(Amusement Device Inspection Procedures Scheme) scheme.
 The operator provides you with a copy of their In Service Annual Inspection papers and
you provide a copy of these to us with your event management plan.
 The operator confirms in writing that they operate under the HSG175 Fairgrounds and
Amusement Parks – Guidance on Safe Practice.

Please include here any rides or fun fairs you intend to have at your event.

Temporary structures
For a small event, temporary structures may be market stalls and a marquee. Larger
events and festivals may include stages, grandstands, lighting towers, gantries, site
offices etc.
The approval process will depend on the scale and structure types. If the structures will
be in place for a long time, you may need planning permission. Larger temporary
structures need to be signed off by independent engineers before they can be used.
As a minimum:
 All suppliers will need to supply you with a copy of their public liability and employee
insurance certificates.
 All suppliers will need to provide you with relevant risk assessments and method
statements for the product they are supplying for your event.
 Suppliers must provide a signed hand over inspection once the structure is completed
to say that it is safe and ready for use.
 You need to consider all other health and safety aspects relating to any temporary
structure.
More information can be found in Temporary Demountable Structures – Guidance on
Procurement, Design and Use.

Please provide a detailed list of all temporary structures you plan to bring onto your
event site. Include the procedures you will follow to ensure all structures are supplied by

10
a competent contractor.

Animals at events
You must obtain consent from us in writing before bringing animals on site for exhibition,
performance or entertainment. We may prohibit the use of animals that pose a danger
to the public.
You must provide copies of all relevant licences and registration documents for each
animal with your event application plan.
You are responsible for the welfare of the animals under the Animal Welfare Act 2006.
This includes the animals’ transport, housing, food and how they are displayed to the
public.

Please provide a detailed list of all animals you plan to bring onto your event site.
Include copies of all relevant licences and registration documents for each animal.

Communications
There are three main areas of communication for your event:
 Letting residents and businesses in the surrounding area know about your event
plans before the event, the earlier the better.
 Internal communications on the day of the event.
 Communicating with your audience on the day.

Event communications – surrounding residents

Please document how you will let surrounding residents and businesses know about your
event plans here.

Event day communications – internal

You must have a clear communications plan in place and ensure everyone is familiar with
the plan. You also need to make sure that you have the communications equipment you
need on the day. This could include radios, mobile phones, staff to run errands and
messages and a public address system.
 Ensure you list phone contact details and radio channel details if radios are being used
in the Key event management contacts section.
 Ensure that everyone working on your event is aware of your Organisational structure
and knows who to contact if they need to report an incident or pass on information.
 Ensure your communications plan ties up with your emergency response plan.

11
Please document your plans for your event day communication for event staff and
emergency services, both on site and off site, here.

Event day communications – audience

This could include flyers, site plans, signage, public address system, stage schedules,
MCs and information points.

Please document your plans for communication with your audience on the day here.

Lost children
You must have a lost children policy and all event staff and volunteers must be familiar
with it.
 Include arrangements for the safe care of children until such time that they can be
reunited with their parent or guardian
 Provide a clearly advertised point for information on lost children
 Always ensure there are at least two adults that have the appropriate Criminal Records
Bureau (CRB) checks in place looking after any lost children. Children should not be
left with just one adult.
 All incidents need be logged and all details are recorded.
 Parents and guardians should provide ID and a description of the lost child before they
are allowed to collect the child.
 Contact the police if the child is reluctant to go with the parent or guardian.

Please document your lost children policy and procedures here.

Licensing

Temporary Events Notice (TEN)

If you are planning an event where there will be entertainment, alcohol for sale, or hot
food or drink for sale after 11pm, you probably need to submit a Temporary Event Notice
(TEN).

If your event will include any licensable activity, please provide details here.

12
Insurance
All event organisers must hold public liability insurance to the value of £5 million. You
must also ensure that your contractors hold public liability insurance and any other
appropriate insurance, i.e. product liability, employee insurance. You should keep copies
of your contractors’ insurance policies.

Please confirm that you hold public liability insurance to the minimum value of £5 million
and include a copy of the policy with your event plan.

Provision of food

Document details of any catering and or food you plan to provide at your event here. You
should also list details of any catering concessions in the Key event contacts – other
section.

Site considerations

Site plan
Please include a copy of you site plan with this document.
You must submit a site plan for your event; the more accurate and detailed the plan, the
better.
Your site plan should include:

Placement of all temporary structures All other site infrastructure

Car parks and position of site in context to

Position of attractions
the road

Any fencing or barriers Generator or power sources

Power supply runs (cables) Entry and exit points

Emergency exits and assembly points First aid points

Information point Lost children point

Vehicle entry points Any event décor, i.e. flags, banners etc

You may want two versions of the site plan, one for event participants on the day and
another for your management team. An accurate site plan will help you direct people to

13
the correct part of the site when they arrive to set up. A site plan will also help you plan
how people will enter the site and move around it.

Spectators and viewing areas

Please include information about capacities of your site, if known, and the types of areas
the public will have access to.

Media

Provide contact details for your media spokespeople and for those who will decide
whether to grant permission to take pictures etc at the event.

Toilets
You must provide adequate toilets facilities for your event attendees, staff and
contractors. You will also need disabled facilities plus separate sanitary facilities for
caterers.
The HSE guidelines for toilets numbers are provided below.

For events with a gate opening time of 6 For events with a gate opening time of less
hours or more than 6 hours duration

Female Male Female Male

1 toilet per 100 1 toilet per 500 1 toilet per 120 1 toilet per 600
females males and 1 urinal females males and 1 urinal
per 150 males per 175 males

Please outline your planned toilet provisions for your event based on your expected
numbers and gender split here.

Vehicles on site
 You will need clearly marked emergency vehicle entrance and exit routes on your site
plan and as part of your emergency planning. If these entrances and exits will be
shared with other traffic, you will need a procedure for the safe entry and exit of
emergency vehicles.

14
 Which vehicles will need to access the site for your event?
 Which vehicles will need to remain on-site throughout your event and which will need
to be off-site before the event opens?
 Are there any vehicles that will need to move on the site during your event?

Please outline your vehicle policy for your event site here.

Traffic, transport and parking

Smaller community events will have limited impact on traffic and parking, however you
should still consider this when planning your event. Larger events can have a big impact
on local traffic and transport and will require extensive risk assessments and detailed
plans dealing specifically with traffic and transport.
 How will your target audience travel to your event?
 Consider the various transport links around the event site and how these can be
promoted to your audience as a way to get to your event.
 Are you proposing any road closures? You will need to give at least three months’
notice, and the more notice, the better.

Outline any traffic, transport or parking plans for your event here.

Environmental considerations

Waste management
It is essential that your event has a waste management plan in place and that it is
carried out.
 How will you keep the site clear of waste? Will this be done by stewards or volunteers?
 How you will manage waste during and after your event, including details of bins,
skips, recycling and litter picking?

Document your waste management plans for your event here.

15
Recycling
It is essential that your event has a recycling plan in place and that it is carried out. For
small community events, this could be as simple as labelling some bins to encourage
people to separate their waste into plastic bottles, paper, etc and then taking these to
the appropriate recycling centres.
Larger events will need to show that they have a recycling strategy or are employing a
professional recycling organisational to manage recycling on the day.
 Make sure your concessions and food suppliers have appropriate policies and
procedures in place for providing biodegradable containers and systems for the
disposing of dirty water, cooking oil etc
 Think through how you will encourage people to separate their waste. Contaminated
recyclables may have to be sent to landfill.
 How will you keep the site clear of waste? Will this be done by stewards or volunteers?

Document your recycling plans for your event here.

Noise
If your event has the potential to cause noise nuisance to nearby residents, your plans
will have to be approved by the noise pollution team. The things most likely to cause
noise nuisance include live music stages, fun fairs and public address systems.
 Think about noise nuisance when you choose your event location.
 Larger events that have a music stage will always have to employ a professional sound
engineer and must agree sound levels with our noise pollution team.
 Provide nearby residents with an event day contact in case they need to make a noise
complaint.

Please list the elements of your event that could cause noise nuisance and document the
plans you have in place to minimise it.

Weather
Severe weather and event cancellation
 Consider any weather conditions which may lead your event being cancelled and how
you will manage this.
 How will you let people know if the event has to be cancelled?

16
 Do you need insurance coverage for cancellation reasons such as thunderstorms, water
logged ground etc?
 Is there any flood risk, e.g. field liable to flood and create difficulty for traffic leaving?
How will you handle this, e.g. provision of 4x4 vehicle assistance, agreement with land
owner concerning damage to the ground, possible mud on roads etc?
 How will your event management team decide if weather conditions are too risky for
your event to go ahead?

Please document your severe weather and event cancellation policy and procedures here.

17
 Chapter 53: Chemical Safety
Laboratory Standard Operating Procedure
Template
ENVIRONMENT, SAFETY, HEALTH, AND Product ID: 642 | Revision ID: 1499 | Date Published: 20 May 2013 | Date Effective: 20 May 2013
QUALITY DIVISION URL: http://www-group.slac.stanford.edu/esh/eshmanual/references/chemsafetyTemplateSOP.pdf | .doc

All experiments that will be performed in a chemical laboratory must be discussed with the ESH coordinator and chemical laboratory
supervisor before starting work. In certain cases, written approval is required. The ESH coordinator makes the decision for situations
where formal approval is needed. This will take the form of a written standard operating procedure (SOP) outlining steps and
mitigations of the experimental process. This template is recommended for SOPs. (See Chemical Safety: Chemical Hygiene Plan
Requirements [SLAC-I-730-0A09S-040].)

Procedure title

Procedure
author

Date of
creation /
revision

Name of
responsible Principal investigator, laboratory supervisor, or autonomous researcher
person

Location to be
Building or lab number, beam line
performed

Proposal
number(s):

1. This standard operating procedure (SOP) is for a

Specific laboratory procedure or experiment

Examples: synthesis of chemiluminescent esters, folate functionalization of polymeric micelles

Generic laboratory procedure that covers several chemicals

Examples: distillation, chromatography

Generic use of specific chemical or class of chemicals with similar hazards

Examples: organic azides, mineral acids

2. Process or experiment description

Briefly summarize the process or experiment, including an estimate of how long the process takes and how frequently it will be
conducted. Include total quantities (volume, mass) of the materials you to expect to use.

20 May 2013 SLAC-I-730-0A09J-009-R000 1 of 6

SLAC National Accelerator Laboratory
Environment, Safety, Health, and Quality Division
Chapter 53 | Laboratory Standard Operating Procedure Template
3. Risk assessment
Identify potential safety hazards. For chemical hazards, be specific (for example, flammability, corrosivity, reactivity/explosion,
acute toxicity, or carcinogenicity). List OSHA hazards, NPFA ratings, and occupational exposure limits.

References:
SLAC Safety Data Sheets (http://www-group.slac.stanford.edu/esh/groups/fsd/hmaq/hazmat/hazcom.htm)
SLAC National Accelerator Laboratory. Nanomaterial Safety Plan (SLAC-I-730-0A09M-008, http://www-
group.slac.stanford.edu/esh/eshmanual/references/hazmatPlanNano.pdf)
Stanford University, Department of Environmental Health and Safety. General Use Standard Operating Procedures. Available from Laboratory
Chemical Safety Toolkit (http://chemtoolkit.stanford.edu/, under “Safe Lab Practices”)
Stanford University, Department of Environmental Health and Safety. Stanford Lab Safety Sheets
(http://www.stanford.edu/dept/EHS/prod/researchlab/lab/lab_safety_sheets.html)
Stanford University, Department of Environmental Health and Safety. General Principles and Practices for Working Safely with Engineered
Nanomaterials (http://www.stanford.edu/dept/EHS/prod/researchlab/IH/nano/)
American Chemical Society. Journal of Chemical Health and Safety (http://www.sciencedirect.com/science/journal/18715532)
Canadian Centre for Occupational Health and Safety. Web Information Service (http://ccinfoweb.ccohs.ca)
Furr, A. Keith. CRC Handbook of Laboratory Safety. Available from CRCnetBASE (http://crcnetbase.com)
Hall, Stephen K. Chemical Safety in the Laboratory. Available from Stanford University, Swain Chemistry and Chemical Engineering Library
(https://lib.stanford.edu/swain)
Lewis, Richard J. Sax’s Dangerous Properties of Industrial Materials. Available from Knovel (http://www.knovel.com)
National Oceanic and Atmospheric Association. CAMEO Chemicals, Database of Hazardous Materials (http://cameochemicals.noaa.gov)
National Research Council. Prudent Practices in the Laboratory: Handling and Management of Chemical Hazards
(http://www.nap.edu/catalog.php?record_id=12654)
Pohanish, Richard P. Sittig’s Handbook of Toxic and Hazardous Chemicals and Carcinogens. Available from Knovel (http://www.knovel.com)
United States National Library of Medicine. TOXNET: Toxicology Data Network (http://toxnet.nlm.nih.gov)

4. Safety equipment
Specify all equipment needed to perform research or experiment safely.

4.a. Engineering / ventilation controls

Examples: fume hood use, explosion shielding, equipment interlocks

4.b. Personal protective equipment and other safety equipment

Examples: safety glasses, nitrile gloves, cryo gloves, absorbent bench paper

20 May 2013 SLAC-I-730-0A09J-009-R000 2 of 6

SLAC National Accelerator Laboratory
Environment, Safety, Health, and Quality Division
Chapter 53 | Laboratory Standard Operating Procedure Template
4.c. Location of nearest emergency safety equipment
Examples: organic azides, mineral acids

Item Location

Eyewash / safety shower

First aid kit

Chemical spill kit

Fire extinguisher

Telephone Telephones are located near the entrance to laboratories.

Fire alarm manual pull station

Safety stations

5. Shipping and receiving requirements

Describe shipping or receiving requirements, especially for highly toxic, highly reactive/unstable, highly flammable, and corrosive
materials.

References:
ESH Manual Chapter 52, “Hazardous Materials and Waste Transportation” (http://www-group.slac.stanford.edu/esh/eshmanual/)

6. Designated area
Where highly toxic, highly reactive/unstable, highly flammable, and corrosive or nanomaterials are used, identify the designated
work area(s) and the necessary personnel decontamination after completion of work.

7. Step-by-step operating procedure

Provide a sequential description of work, including details such as chemical concentrations and when special safety equipment is
to be utilized. Include temperature, pressure, and other experimental conditions. Schematics or pictures are suggested for
complex setups.

1. Step
2. Step

20 May 2013 SLAC-I-730-0A09J-009-R000 3 of 6

SLAC National Accelerator Laboratory
Environment, Safety, Health, and Quality Division
Chapter 53 | Laboratory Standard Operating Procedure Template
8. Special handling procedures, transport, and storage requirements
Describe special handling and storage requirements for hazardous chemicals in your laboratory, especially for highly reactive/
unstable and highly flammable materials and corrosives. Describe transport and secondary containment requirements, between
the laboratory and beam lines or between facilities.

9. Beam line handling and storage requirements

Describe sample handling procedures and sampling set up at the beam lines. Are samples sealed or open? Is ventilation
required? Are heating, cooling, or gas distribution systems present?

20 May 2013 SLAC-I-730-0A09J-009-R000 4 of 6

SLAC National Accelerator Laboratory
Environment, Safety, Health, and Quality Division
Chapter 53 | Laboratory Standard Operating Procedure Template
10. Emergency procedures
Indicate how spills, personnel exposure/injury, and other accidents should be handled and by whom. List emergency contact
numbers.

Life-threatening emergencies (for example, fire, explosion, large-scale spill or release, compressed gas leak, valve failure)
1. Call 911.
2. Alert people in the vicinity and activate the local alarm systems.
3. Evacuate the area and go to emergency assembly point (EAP). Indicate EAP here.
4. Remain nearby to advise emergency responders.
5. Once personal safety is established, call ext. 5555 to activate internal response.
6. Provide local notifications.
Identify the area management staff that must be contacted and include their work and home numbers. This must include the PI and may include
the safety coordinator and facilities manager.

If personnel exposed or injured

1. Remove the injured/exposed individual from the area, unless it is unsafe to do so because of the medical condition of the victim or the
potential hazard to rescuers.
2. Administer first aid as appropriate.
3. Flush contamination from eyes/skin using the nearest emergency eyewash/shower for a minimum of 15 minutes. Remove any contaminated
clothing.
4. Bring to the hospital copies of safety data sheets (SDSs) for all chemicals to which the victim was exposed.

Non-life-threatening emergencies
1. Call ext. 5555 to activate internal response.
2. Provide local notifications.
Identify the area management staff that must be contacted and include their work and home numbers. This must include the PI and may include
the safety coordinator and facilities manager.

If personnel exposed or injured

1. Call the SLAC Occupational Health Center at ext. 2281 for more information and to schedule an appointment.
For small spills / local cleanup
In the event of a minor spill or release that can be cleaned up by local personnel (personnel are authorized via work planning and control to handle
spilled material, appropriate PPE is available, compatible spill response material is readily available in sufficient quantity, and cleanup is safe):
1. Notify personnel in the area and restrict access. Eliminate all sources of ignition.
2. Review the SDS for the spilled material, or use your knowledge of the hazards of the material to determine the appropriate level of protection.
3. Wearing appropriate personal protective equipment, clean up spill. Collect spill cleanup materials in a tightly closed container. Manage spill
cleanup debris as hazardous waste.
4. Submit online waste pickup request (http://www-group.slac.stanford.edu/esh/forms/hazpickup.pdf) to Waste Management.

Building maintenance emergencies (for example, power outages, plumbing leaks)

Submit a Facilities service request (https://famis.slac.stanford.edu/famis_fss/fweb.home) or call appropriate building manager.
Identify the building manager using the SLAC Building Information database (https://oraweb2.slac.stanford.edu/apex/epnprod/f?p=111:1).

Additional emergency procedures

Describe additional, local emergency procedures.

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SLAC National Accelerator Laboratory
Environment, Safety, Health, and Quality Division
Chapter 53 | Laboratory Standard Operating Procedure Template
11. Waste disposal
Identify amounts of waste anticipated and appropriate disposal procedures. Segregate waste by hazard class (for example,
flammable, corrosive) and state (solid, liquid), label appropriately, and place in the laboratory’s hazardous waste cabinet.

Additional waste guidelines

Describe additional, local waste guidelines.

12. Training requirements

List the general and laboratory-specific training required

User laboratory training

Laboratory User CHP Training (ESH Course 199)
Hazard Communication (ESH Course 103)
Hazardous Waste Management (ESH Course 105)
Cryogenic and Oxygen Deficiency Safety Training (ESH Course 170)
Hazardous Materials Transportation General Awareness and Safety Training (ESH Course 123)
Nanomaterials Laboratory Safety Training (ESH Course 161)

Other: ___________________________________________________

Additional training requirements

List additional, local training requirements.
1. Additional training requirement
2. Additional training requirement

13. Approval
Standard operating procedures must be approved by the laboratory manager and directorate safety coordinator.

Laboratory manager (name, signature, date): ___________________________________________________

Directorate safety coordinator (name, signature, date): ___________________________________________________

Additional approvals
List subject matter experts consulted for approval:
1. Person consulted
2. Person consulted

Additional prior approvals required

List any tasks that require prior approval by the principal investigator or laboratory manager (for example, use of restricted chemicals and other
higher hazard chemicals and running of higher hazard operations):
1. Task requiring prior approval
2. Task requiring prior approval

20 May 2013 SLAC-I-730-0A09J-009-R000 6 of 6

Standard Operating Procedure for Cleaning

Purpose:
To set a standardised protocol of procedures to be followed when cleaning the
pharmacy

Scope:
This SOP covers all areas within the retail pharmacy business.

Responsibility:
It is the responsibility of the supervising pharmacist to ensure that appropriate
steps are taken when cleaning the pharmacy

Date of Preparation: Date of next review:

Prepared by:

Signature: Date review takes

place and initials
Version number:

This SOP has been designed to be used in a working pharmacy environment however we
recommend that the SOP is tailored to reflect processes in your pharmacy where appropriate. This
SOP is dynamic, and should be constantly updated when and where necessary. If no errors,
incidences or PSI recommendations occur a review may be carried out every six months starting
from the creation date. This review will update the SOP content and format with the goal to enable
reduction of error within the pharmacy.
Stage of Procedure Person
Responsible
Equipment for use when cleaning the pharmacy is stored:__________________________________
_________________________________________________________________________________

 Store cleaning chemicals away from medicinal products or in a way that will
prevent contamination of medicinal products.
 Label cleaning chemicals clearly, and check they are suitable for the purpose.
 Replace cleaning cloths and scouring pads frequently.
Check if current cleaning schedules are in use and if not construct them.
 Construct a daily, a weekly and a monthly cleaning schedule using
Appendixes 1, 2 and 3 as templates.
o Fill in the items/areas to be cleaned according to the requirements
within your pharmacy remembering that all areas must be covered
by cleaning schedules including the dispensary fridge and safe.
o Fill in the method of cleaning to be used including detailing the
equipment required.
 When identifying the areas to be cleaned and the cleaning methods,
consider:
o Which microbial, chemical or physical contaminants may be
present?
o Which of the following steps need to be followed when cleaning
each item or area: Pre-clean, main-clean, rinse, disinfect, final rinse
and dry?
o Do the manufacturers provide cleaning instructions?
 Photocopy the forms and place them in the Cleaning Schedules’ File.
 On a daily, weekly and monthly basis, select the relevant schedules from the
Cleaning Schedules’ File.
 Fill in the applicable dates, if required.
 Clean each area identified, using the method and equipment indicated.
 Ensure that health and safety procedures are followed at all time.
 Once an area or item has been cleaned, initial the relevant part of the
cleaning schedule.
 When cleaning is complete, return the initialled schedule to the Cleaning
Schedules’ File.
 While carrying out your duties in the pharmacy, clean as you go.
 Clean the pharmacy refrigerator(s) following the manufacturer’s instructions
for cleaning.
 Remove all stock from the refrigerators prior to cleaning and place them in
_______________________________________ to preserve cold storage
conditions.
 Wipe down and wash using hot water and detergent.
 Dry the fridge
 Return the stock to the fridge.
o No products can be stored on the fridge floor.
o Ensure sufficient space is maintained between products and the
internal surfaces
 Monitor that cleaning is completed in line with the cleaning schedules.
 Monitor that staff initial schedules as required.
APPENDIX 1

Daily Cleaning Sign Off Sheet

Week Commencing:

Item/area to be cleaned Method of cleaning

Wednesday

Thursday

Saturday
Monday

Tuesday

Sunday
Friday
 Year:
APPENDIX 2

cleaned
Item/area to be
Month:
Weekly Cleaning Sign Off Sheet

Method of cleaning

Week
Commencing:
___________
Week
Commencing:
___________
Week
Commencing:
___________
Week
Commencing:
___________
Item/area to

Year:
be cleaned
APPENDIX 3

Method of
cleaning
Monthly Cleaning Sign Off Sheet

January

February

March

April

May

June

July

August

September

October

November

December
I have signed to say that I have read and understood the Standard Operating Procedure for
Cleaning.

Name Signature Date

 FLINT HILL FIRE DEPARTMENT

STANDARD OPERATING PROCEDURE

Procedure Number: XXX.XX
Procedure Title: Procedure Template
Adopted:
Rescinds: New

Approved By: (Chief)

I. PURPOSE:

This section contains the purpose of the procedure.

II. DISCUSSION:

This section contains a description and overview of the procedure.

III. PROCEDURE:

This is a main section heading in mixed case

1) This section contains the body of the procedure. It should use the formatting seen in
this template.
a) This is a second level.
i) This is a third level

THIS IS A SECOND MAIN SECTION HEADING IN UPPER CASE

1) Items to be changed in this template.

a) Procedure Number.
i) Use the appropriate section XXX and sub section .XX number
b) Procedure Title
c) The Procedure number and title in the header (if more than 1 page)
FLINT HILL FIRE DEPARTMENT STANDARD OPERATING PROCEDURE
XXX.XX PROCEDURE TEMPLATE PAGE 2

d) This is a second page to show the page header.

 Operational Standards

of Performance: Template
Food Production
A template to help you develop standards for your food
production operation
Operational Standards of Performance
Template: Food Production
Setting operational standards
At its simplest, a standard is an agreed, repeatable way of doing something. From a practical perspective,
operational standards are those standards which are recognised by
the organisation as important enough to be published and monitored
for continuous improvement. In tourism businesses, they relate
primarily to service, and contain precise criteria designed to be used
consistently as a rule or guideline.

Operational standards help to make life simpler and to increase the

reliability of many practices that guide us and the services we provide.
They are intended to be aspirational - a summary of best practices
rather than general practice. Standards are created by bringing
together the experience and expertise of all employees and the
expectations of the customers.

1. Develop the standards

Establishing operational standards and making them integral to how the kitchen operates will take time. You need
to develop a careful, well-thought-out approach that recognises:

 the different types of services and customers you have;

 your knowledge of how your people currently perform; and
 your ability to monitor performance against standards.

However, rather than wait until complete and ‘perfect’ standards are developed, you should develop your
operational standards progressively. Publish standards in areas of greater importance or impact first, i.e. those
critical for operational success.

Use the MARC acronym when developing standards:

Measurable The standard must be measurable to be of assistance in targeting improvement, and the more
specifically the standard is defined, the more measurable it will be. Therefore, a standard should be measurable by
quality, quantity and timeliness.
Achievable The standard must be reasonable and attainable, and should never be so easy that it requires no
significant effort, or so difficult that it requires superhuman effort. In setting standards, you must take into account
whether the people responsible for delivering the service have the skills and resources they require to meet those
standards, supported by systems and policies that will allow the standard to be achieved.
Relevant The standard must reflect customers’ expectations or be designed to create a benefit for the customer
and must be relevant to your particular operation, not adopted/copied/borrowed from another.
Controllable Accomplishing the standard must be within the control of a specific department and the
measurement tools for accomplishing the desired result must be set up.

Initial standards may be incomplete or embryonic in some aspects. As you gain experience, you can improve these
standards and extend the range of services they cover.
2. Communicate the standards

Operational standards are intended to let your people know the level of performance expected of them. Reporting
on performance against standards is critical if you are to make operational standards achievable. However, you can
only do so if operational standards are readily available to and understood by employees involved in their delivery,
and if they are clear and easy to understand.

3. Monitor the standards

Develop ways to measure your performance against standards, and monitor performance constantly. Setting
customer-driven standards and measuring how well your kitchen is doing is a continuous process. It should quickly
identify problems with customer service. All parts of the organisation should be involved in finding solutions to
these problems and discussing these solutions with customers, where appropriate.

There are a number of measurement tools a kitchen can use. One effective way is to use a checklist or audit of the
standards and track performance over time. Then, action plan any areas for improvement identified to eliminate
the problem from recurring.

4. Improve the standards

Continuous improvement will allow you to set higher and higher operational standards and maximise customer
satisfaction. By consulting customers, monitoring performance and encouraging innovation, you will be able to
deliver better service.

Adapting the Operational Standards to your Business

Starting on the basis that the operational standards contained in this

resource are reflective of best practice, the first task is to see how these
can be adapted to reflect the uniqueness of your own restaurant. There
will be aspects of the standards as presented that will not apply to the
way you operate or you may have a different approach that you want
reflected in your own standards.

Therefore, each of the standards should be reviewed with the team and
amended accordingly.

This template should be used having read the Operational Standards of Performance
guide at Online Business Tools
 STANDARDS OF PERFORMANCE

Food Production

Menu Planning and Design

Preparation for Kitchen Service

tion for Service

Kitchen Hygiene

Purchasing

Food Stores Management

Kitchen Closing Duties

Food Production Audit

Food Production Action Plan

Place cursor over each then press Ctrl + Click to go directly to that standard
 Menu Planning and Design

Our Standard Is:

To create menus that match the restaurant’s concept, guests’ expectations and business
goals. To source only quality, seasonal produce that ensures consistency.

How to achieve our Standard: How we will know it is done correctly:

1) Ensure menu planning adequately  Menus are planned in a timely manner, taking into
reflects the concept and style of the account financial and customer requirements.
restaurant  Managers and employees are involved in the menu
planning process.
 Menus enhance the projected image of the restaurant and
overall concept.
 Customer volumes, logistics and style of service are
considered.
2) Address expectations of the  Menus offer variety and appeal to a broad range of tastes.
customer appropriately; menus are  Special dietary needs are adequately catered for.
well presented and customer  Menu items are nutritious, well- balanced and reflect
friendly current healthy eating trends.
 Menus avoid repetition of ingredients.
3) Consider production capabilities and  Seasonality and availability of items are considered when
purchasing power to obtain quality planning menus.
ingredients  Kitchen personnel have the required skills/knowledge to
confidently and consistently produce dishes to a high
standard.
 Kitchen storage and production resources are sufficient.
 All dishes are represented by a standardised Menu Recipe
Card.
4) Ensure that business financial goals  Effects on food cost and profit margins are addressed.
are incorporated into the menu  Potential effects of new menus on average guest spend is
planning process explored.
 Menus are designed that achieve gross margin and
profitability targets.
 Menu planning adequately balances innovation and
creativity with financial logic.
 Preparation for Kitchen Service

Our Standard is:

To prepare all mise en place consistently and in a timely manner, in order to facilitate an
efficient service delivery.
How to achieve our Standard: How we will know it is done correctly:
1) Ensure that kitchen employees  All kitchen personnel meet the expected requirements of
arrive on duty at appointed time personal hygiene and wear the correct uniform and safety
clothes.
2) Explain menu items on a daily basis  Chefs are familiar with the preparation for the different
prior to service dishes.
 Chefs are familiar with all the equipment needed in
preparation
3) Allocate sections prior to service  All chefs are briefed prior to each shift and are clear on
their duties and responsibilities for service.
 Special requirements for each section are highlighted.
4) Ensure that food production  Food production personnel are fully competent in the
personnel work in a professional and preparation of the required dishes.
efficient manner at all times  They adhere to all hygiene and safety procedures at all
times.
 Their work area is clean and tidy at all times.
 They assemble all appropriate ingredients in advance to
ensure efficiency and work productivity.
 Initial preparations are completed efficiently and items
are stored correctly until required.
5) Assemble dishes in a timey and  Crockery is correct, clean, polished and not damaged.
appealing manner  Crockery is placed in hot box one hour prior to service.
Dishes are prepared in accordance with standard recipes.
 Senior chef leads kitchen service from the pass.
 All orders are dictated to by the chef
 Every dish is checked by senior chef before leaving the
pass for presentation, quality and portion accuracy.
6) Ensure that the wash up area and  Equipment is kept in a clean and safe state at all times.
equipment are clean and tidy  Dish washing machines are checked for cleanliness before
use and maintained.
 Water is changed at least twice a day and is at the correct
temperature at all times.
 Correct quantities of detergent and rinse aid are safely
used.
 Waste disposal facilities are effectively used.
 Waiting staff correctly and safely clear, stack and sort
crockery, cutlery and glasses.
 Breakages are recorded and careless breakages are noted
and action taken.
 Kitchen Hygiene

Our Standard is:

To maintain a safe, hygienic environment at all times in accordance with all relevant
legislation and regulations.
How to achieve our Standard: How we will know it is done correctly:
1) Ensure that food production  Food production personnel:
personnel consistently adhere to o adhere to all relevant hygiene regulations at all times,
regulations and maintain good wear a full, clean uniform and have a fresh, well
personal presentation groomed personal appearance,
o do not wear nail varnish or jewellery in the kitchen,
o ensure that their hands are kept clean and nails well
manicured,
o treat and cover all cuts,
o wash and sterilize their hands, as often as is required.
2) Clean and maintain all food  Daily, weekly and deep cleaning schedules for all kitchen
preparation and storage areas areas are displayed and adhered to.
 Designated personnel are allocated to monitor cleaning
standards on a daily basis.
3) Ensure that food storage and  Food storage regimes are adhered to.
preparation is conducted in  Regulatory checks, controls, and records are
accordance with all relevant maintained.
regulations  All refrigeration, cooking and holding temperatures are
monitored as required.
 All food is prepared and served in line with defined
requirements.
4) Handle and store all equipment  Only designated cleaning cloths and materials are used.
correctly  All equipment is handled and stored in line with defined
requirements.
5) Create a proactive hygienic working  Any illnesses or infections are reported immediately to
environment in the kitchen on a superiors.
daily basis  Food production personnel do not engage in any
unhygienic work practices.
 The correct method is followed for waste storage and
disposal.
 Purchasing

Our Standard is:

To purchase and receive all goods in a systematic manner, with food purchased from
approved suppliers only, ensuring a consistently high specification of product sourced.
How to achieve our Standard: How we will know it is done correctly:
1) Ensure purchasing is carried out by  Roles and responsibilities within the purchasing function
authorised personnel are defined and clearly communicated.
 Only authorised personnel are entitled to make
purchases.
 All purchases, where appropriate, are made on the
basis of agreed contracts
 Purchase specifications are used for all major goods
purchased on a regular basis.
 Weekly quotations are sought, where appropriate, to
ensure that the best value is obtained.
 Minimum/maximum stock levels are maintained.
2) Purchas goods only from approved  Approved suppliers are selected following systematic
suppliers evaluations to ensure that the best product quality and
terms and conditions are achieved.
 Food safety status of all suppliers is assessed.
 Contracts are agreed with approved suppliers.
 Goods are only purchased from approved suppliers.
 Supplier performance is monitored regularly, corrective
action is taken and relationships are evaluated
annually.
3) Complete all purchasing activities in  Purchase frequencies are determined and adhered to.
an efficient manner  Volume forecasting techniques are used to assist in
estimating purchasing requirements.
 Purchase requisition forms are used and written
purchase orders are issued.
 Non-contract purchasing is supported by defined
purchase specifications and only conducted by
experienced and competent personnel.
 Price quotations are always sought in advance.
4) Receive deliveries at a convenient  Delivery times are agreed in advance with suppliers and
time meet business needs.
 Supervisor ensures that health and safety regulations
are adhered to during deliveries.
 Supervisor has supporting order documentation to cross
reference with the delivery docket provided.
5) Check the delivery docket against  Supervisor checks each case for the correct quantity,
the order form quality (and temperature, where appropriate).
 Items are weighed where appropriate.
 Packaging is of good quality and contains the required
date and source data, where relevant.
 Discrepancies are noted and recorded.
6) Ensure effective issuing and control  Access to stores is strictly controlled and goods are only
of stock issued at defined times, on receipt of the appropriately
signed requisition form.
 Items are only issued by the individual responsible for
store management, or designate.
 Stocktaking is regularly completed and results are
recorded. All discrepancies are investigated.
 Food Stores Management

Our Standard is:

To store all goods in the appropriate hygienic and secured area, with all stock securely
issued and regularly checked.
How to achieve our Standard: How we will know it is done correctly:
1) Ensure that storerooms provide a  Storerooms and equipment are kept clean on an on-
hygienic storage environment going basis; regular deep cleaning is implemented.
 Storage area is kept dry, cool and well-ventilated.
 Cardboard boxes/packaging are disposed of correctly.
 Correct temperatures are maintained at all times.
 Adequate pest control measures are in place.
 Dry goods are stored at least 0.20 meters above the
floor on pallets and shelving.
 Fats and oils are stored away from strong smelling
foods.
 Goods are properly arranged and displayed.
2) Adhere to safe storage conditions  Storerooms have sufficient space and storage shelving
for the quantities of stock held.
 Storerooms have adequate lighting for safe access/use.
 Cleaning agents are stored in a safe, cool and dry place
away from heat sources.
 Separate storage areas are allocated for toxic and non-
toxic items.
 Cases are not stacked too high and are easily
accessible.
 Storerooms are locked when not in use.
3) Ensure efficient and effective  All items are stored by product.
storage of stock  Stock rotation is strictly adhered to.
 All perishable goods are kept in a cool, dry place.
4) Ensure that deep freeze storage is  Deep freezers are maintained at or below -18°C, (ice
safe and hygienic cream at -12°C for up to one week).
 Deep freezes are regularly defrosted and cleaned.
 Raw and cooked foods are stored in separate freezers
to prevent cross-contamination.
 All frozen food is wrapped with foil or plastic wrap, to
prevent freezer burn.
 Temperature checks are taken regularly and
thermometers are checked for accuracy.
 Freezers are not overloaded and door is not kept open
any longer than is absolutely necessary.
5) Store refrigerated items safely and  Refrigerated stores are maintained between -1°C and
hygienically 5°C (ideally less than 3°C).
 Fridges are deep cleaned regularly and tidied daily.
 Fridges are free from bad odours at all times.
 Fans are clean, free from ice and working correctly.
 Food is placed on labelled trays and properly stored.
 Fridge gas is checked every 3 months.
 Cooked or ready to eat foods are not stored in the same
refrigerator as raw foods, unless covered and
segregated.
 Raw food is not stored above cooked or ready to eat
foods.
 High risk foods and prepared vegetables are stored in
refrigerated storage or in a deep freezer.
 Kitchen Closing Duties

Our Standard is:

To carry out all closing duties efficiently and effectively at all times, to ensure the safety and
security of personnel, the premises and stock.
How to achieve our Standard: How we will know it is done correctly:
1) Ensure that all kitchen areas are  All fridges and storage areas are left in a clean, tidy
fully cleaned prior to closing manner.
 Floors are thoroughly cleaned and mopped.
 All sinks are empty and cleaned and the wash-up area is
closed.
 All food preparation and production areas are cleaned.
 All rubbish is removed and disposed of correctly.
2) Clean and store all kitchen utensils  Only the correct cloths and cleaning materials are used
and equipment correctly for cleaning.
 All chopping boards are cleaned and sterilized.
 All kitchen equipment is safely and correctly cleaned and
stored in the correct place.
 All used cloths are removed to the laundry and cleaning
agents stored correctly.
3) Store all food items correctly  All food items are correctly covered, labelled and placed in
the appropriate fridge/storage areas.
 All fridges are working and operating at the correct
temperatures.
 All fridges and storage areas are locked.
4) Ensure that all appropriate kitchen  All gas equipment is switched off.
equipment is switched off  Hot plates and salamanders are turned off.
 Fat fryers are turned off and covered.
 Power points are disconnected, where necessary.
 Extraction fan is switched off.
5) Conduct final checks to ensure all  Designated personnel ensure that all closing duties are
closing duties are completed completed.
 Any deviations are identified and rectified.
 Heating, lighting and ventilation is attended to as
appropriate.
 Final security check of doors and windows is carried out
and alarms are set, as required.
 All appropriate access doors are locked and the keys are
deposited at reception.
 Food Production Audit
Date: ___________________________ Auditor: __________________________________

Standard Measure Yes No

1. Menu Planning & Design Does the menu planning adequately reflect the concept and style
of the restaurant?
To create menus that match the Are the expectations of customers appropriately met; are menus
restaurant’s concept, guests’ well presented and customer friendly?
expectations and business Are production capabilities and purchasing power considered
goals. To source only quality, when obtaining quality ingredients?
seasonal produce that ensures Are business financial goals incorporated into the menu planning
consistency. process?
2. Preparation for Kitchen Do kitchen employees arrive on duty at appointed time?
Service
Are menu items explained on a daily basis prior to service?
To prepare all mise en place
consistently and in a timely Are sections allocated prior to service?
manner, in order to facilitate an
efficient service delivery. Do food production personnel work in a professional and
efficient manner at all times?
Are dishes assembled in a timey and appealing manner?

Are the wash up area and equipment kept clean and tidy?

3. Kitchen Hygiene Do food production personnel consistently adhere to regulations

and maintain good personal presentation?
To maintain a safe, hygienic Are all food preparation and storage areas clean and
environment at all times in maintained?
accordance with all relevant Is food stored and prepared in accordance with all relevant
legislation and regulations. regulations?
Is equipment handled and stored correctly?

Is there a proactive hygienic working environment evident in the

kitchen on a daily basis?
4. Purchasing Is purchasing carried out by authorised personnel only?

To purchase and receive all Are purchases only made from approved suppliers?
goods in a systematic manner,
with food purchased from Are all purchasing activities completed in an efficient manner?
approved suppliers only, to
ensure a consistently high Are deliveries received at a convenient time?
specification of product sourced.
Are delivery dockets checked against the order forms?

Is there effective issuing and control of stock evident?

5. Food Stores Management Do storerooms provide a hygienic storage environment?

To store all goods in the Are safe storage conditions adhered to?
appropriate hygienic and
secured area, with all stock Is the storage of stock efficient and effective?
securely issued and regularly
checked. Is deep freeze storage safe and hygienic?

Are refrigerated items stored safely and hygienically?

6. Kitchen Closing Duties Are all kitchen areas are fully cleaned prior to closing?

To carry out all closing duties Are all kitchen utensils and equipment correctly cleaned and
efficiently and effectively at all stored?
times, to ensure the safety and Is all food items correctly stored
security of personnel, the
premises and stock. Is all appropriate kitchen equipment switched off?

Are final checks conducted to ensure all closing duties are

completed?
 Food Production Action Plan
Date From: ___________________________ Date To: _____________________________

Standard Area For Action To Be Taken By By Reviewed

Improvement Who When Yes/No

1. Menu Planning
& Design

2. Preparation for
Kitchen Service

3. Kitchen Hygiene

4. Purchasing

5. Food Stores
Management

6. Kitchen Closing
Duties
This guide has been provided to you as
part of Fáilte Ireland’s suite of guides and
templates in the Online Business Tools
resource.

Please note that these resources are

designed to provide guidance only. No
responsibility for loss occasioned to any
person acting, or refraining from action, as
a result of the material in this publication
can be accepted by Fáilte Ireland.

The user shall not market, resell, distribute,

retransmit, publish or otherwise transfer or
commercially exploit in any form any of the
content of this guide. For a full version of
the disclaimer, go to
http://www.failteireland.ie/Footer/Legal-
Terms.aspx

Fáilte Ireland
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Telephone: 1800 24 24 73
CustomerSupport@failteireland.ie
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© Fáilte Ireland 2013

OBT-08LTB-OSP T1FP 11-12 3
Accounts Payable Internal Process and Policies for Payments

Direct Orders, Purchase Order Payments, and Direct Debits

Implemented February 2007

Updated November 2009

Updated March 2016

 2

Table of Contents

Background …………………………………………………3

Accounts Payable Standard Process……………………3

Direct Payments…………………………………………….3

Recurring Payments……………………………………….3

Distributed Directs – HFS Process………………………4

Libraries Process…………………………………………..4

Rush Payments……………………………………………..4

ARIBA PO Payments………………………..5,6

Payments to Foreign Entities………..…………………..7

Tolerance…………………………………..………………..7

Check Handling…………..………………………………...8

Payment Methods……………….…………………………9

Miscellaneous………………….…………………………...9

Additional Resources………….………………………...10

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Background
Procurement of goods and services occur in the following formats:

 Electronic procurement system (ARIBA)-a Purchase Order is created after an electronic

purchase requisition is approved and submitted to the vendor. The Purchase Order is
replicated in SAP.
 Direct orders outside of the electronic procurement system- an order is placed with a
vendor by a department. The vendor will send an invoice that is paid upon approval of a direct
invoice voucher.
 Department purchasing card order-an order is placed with a vendor by a department.
These orders should be charged to the ordering department’s purchasing card upon shipment
of the goods.

In the procurement model, a good or service is ordered at a predetermined or estimated price. When
the good is received or the service provided, payment is owed to the vendor. The vendor will provide
a bill for the good or service, which should be close to the price identified or estimated during the
requisition stage. When these conditions are met, the vendor’s bill should be paid.

Accounts Payable Standard Process

Once the Accounts Payable staff receives an invoice voucher, the goal is to have it processed with 48
hours, and paid according to the vendor’s payment terms.

Upon receipt, the AP clerk will:

 Check Invoice Voucher for accuracy and approvals
 Match invoice with vendor master data
o If new vendor, arrange for Master Data team to create one
 Key invoice into SAP system

Direct Payments
Non-PO Invoices via Direct Invoice Voucher (No purchase order, no encumbrance)
o Customer departments send completed Invoice Voucher – with supporting documentation
and approval signatures – to the Central Accounts Payable.
o Central Accounts Payable clerk will review for completeness, check vendor master data,
enter into system.
 If vendor master data missing, contact Vendor Master Data Team to set up.

Non-PO Invoices via ZV60

o Department will enter their invoices directly into SAP using Tcode ZV60
o Once the transaction is parked, a printout of the transaction will be stapled to the invoice (in
place of an invoice voucher).
o The printout will be routed for approvals.
o Once fiscal approval has been obtained, the printout and invoice will be sent to the Business
Office for review.
o Upon BO review, the printout and invoice are sent to Central Accounts Payable for posting.

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Non-PO Invoices via ZV60 Upload (Primarily Student Life will use this method)
o Student Life Business Office will enter invoices into Excel Spreadsheet template for ZV60
Upload
o Entries per upload should be limited to 20 invoices
o Once the transactions are parked, a printout of the transactions will be stapled to the invoice
(in place of an invoice voucher).
o Invoices should be stacked in document number order, with printout on top.
o The printout will be routed for approvals.
o Each document number will be approved with one signature on the printout, as long as
each document is within the signers’ comptroller delegation authority.
o If any document exceeds the signers’ comptroller delegation authority, it will be
forwarded to the next fiscal approver for review.
o Once fiscal approval has been obtained, the printout and invoice will be sent to the Business
Office for review.
o Upon BO review, the printout and invoice are sent to Central Accounts Payable for posting.

Recurring Payments
Payments can be set up to repeat on a specified schedule, for the same dollar amount each pay date.
Recurring payments are created via invoice voucher with the following information included:
 First Payment Date
 Last Payment Date
 Interval (Monthly, Weekly, Daily)
 Reference Information (Invoice number, etc)
 Recurring Amount

Rush Payments
Accounts Payable staff prioritize invoice vouchers that are clearly marked as “RUSH”. The goal is to
have rush payments processed within 24 hours of receipt of the voucher.
 Hand deliver rush check requests to Accounts Payable for vendor payments, or to the
Tax Department for personal payments.
 A completed DIV, including appropriate approvals and backup documentation is
required

Libraries Direct Invoice Voucher Process

o Libraries completes Invoice Voucher according to the following guidelines:
o Include Vendor Name and Address.
o Include Vendor Number (if known).
o Provide unique ‘Payable Number’ in Reference field (See Libraries naming convention list).
o Libraries will keep list cross referencing payable numbers with invoices paid.
o Central Accounts Payable will list invoice numbers on check stub (up to 50 characters). If not
enough space, AP staff will send list of invoices paid to vendor as an enclosure.

Personal Payments (Payments to Individuals)

o Customer departments send completed Invoice Voucher – with a Payee Certification Form
(PC), supporting documentation and approval signatures – to the Tax Department.
o Tax Dept clerk reviews for completeness, checks vendor master data
 If vendor master data missing, contact Vendor Master Data Team to set up.
o Tax Department audits, forwards to Accounts Payable to key into SAP.
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ARIBA Purchase Order Payments
Orders for goods and services are placed in the ARIBA system. As procured items are delivered,
designated individuals in each department or organizational unit are responsible for updating the
ARIBA system to indicate that the order has been received. This activity serves as an authorization
to pay for that good or service. Fiscal Approver training includes instruction on receiving in ARIBA.

All paper invoices for orders placed through the ARIBA system will be mailed to WL Accounts
Payable. All electronic invoices come directly into ARIBA through the ARIBA Network. Accounts
Payable staff will query the ARIBA system to review the status of orders before processing an invoice
for payment.

Process for Invoices with ARIBA Purchase Order Number

The individuals in the role of Accounts Payable – WL are responsible for reviewing and paying
invoices received from Purchase Orders through the ARIBA system.

Upon receipt of a vendor invoice, Accounts Payable staff audit for payment terms, price
discrepancies, and line item detail. Accounts Payable staff will query the system against the
appropriate order number, and review the status of that order. Audit issues include problems with
pricing or with receipt of goods.

 All paper invoices for ARIBA orders will be mailed to Central Accounts Payable on the West Lafayette
campus.

 As invoices for ARIBA orders arrive, Accounts Payable staff will perform a System Search by PO
number to verify the order. The Accounts Payable staff will enter the invoice into the ARIBA system,
which will then automatically post in the SAP system for payment.

 If the Accounts Payable staff determines that further discussion is needed with the department before
paying an invoice, they will notify the Department Business Office, or a similar entity within the area.

 Payment tolerance for orders is 15% (with $100 cap) or $25, whichever is greater. The tolerance does
not include freight charges, Accounts Payable clerks are expected to apply the ‘reasonable test’ to
freight charges if less than or equal to $500. Any freight charges exceeding $500 will require further
investigation by Account Payable clerks beginning with approval by the appropriate buyer in
Purchasing.

 If invoices are entered and blocked for payment because they are out of tolerance, “Invoice Reconciler”
for the department will need to research the issue, update the ARIBA system with an invoice
reconciliation approval.

 If an invoice arrives with no reference to Purchase Order, the Accounts Payable staff will send the
invoice to the ordering Department’s Business Office. The Business Office will need to identify the
order, complete a paper invoice voucher, attach it to the supplier invoice, and return all to Accounts
Payable, unless supplier is foreign, in which case see Process for Electronic Payments to Foreign
Entities.

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Following are potential scenarios the Disbursement staff will encounter when verifying the status of
orders and the actions Disbursement staff will take for each scenario:

Order is Fully Received

1. If the order has been marked as ‘received’ in the ARIBA system AND the cost reflected on the
invoice is within tolerance, Accounts Payable will process payment of the invoice.

2. If the order has been marked as ‘received’ in the ARIBA system but the cost reflected on the
invoice is out of tolerance, the ARIBA system will block the invoice for payment and route for
“Invoice Reconciliation”.

Partially Received Orders

1. If the order has been partially received, the invoice is for a partial shipment AND the invoice is
within tolerance, Accounts Payable will process payment of the invoice.

2. If the order has been partially received, the invoice is for a partial shipment but the invoice is out of
tolerance, the ARIBA system will block the invoice and route for “Invoice Reconciliation”.

3. If the order has been partially received but the invoice reflects the total cost for all items on the
order, the items being invoiced will be entered into the system, creating an out-of-tolerance item
for quantity. The ARIBA system will block the invoice and route for “Invoice Reconciliation”.

Unreceived Orders
1. Invoices will not be paid until the order has been received.

ADDITIONAL SCENARIOS
Fully Received with Additional Items
1. If the order is fully received but the invoice reflects the delivery of additional items, Accounts
Payable will enter the number of items being invoiced into the system, creating an out-of-tolerance
situation for quantity. The ARIBA system will block the invoice and route for “Invoice
Reconciliation”.

Wire Transfers
Process for Electronic Payments to Foreign Entities

ARIBA orders
If Purchasing obtains quote with bank account information, will make information available to
Accounts Payable
o Once order received and out-of-tolerance approval obtained, if applicable, from
Customer department, Accounts Payable staff prepares the Form 52A.
o If supplier bank information missing, Accounts Payable staff contacts Customer
department to obtain information.
o Accounts Payable staff prepares and sends the Form 52A to Treasury Operations.
o Treasury Operations contacts Department for missing/incorrect bank information, if
applicable.
o Treasury Operations processes transaction.

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o Treasury Operations forwards Form 52A to Accounts Payable for data entry into
system.
o Encumbrance closes when payment run is processed.

Direct Pays (No purchase order, no encumbrance)

o Customer departments send completed Direct Debit Journal Voucher & 52A – with
supporting documentation and approval signatures – to the Tax Department.
o Accounts Payable routes to Tax Dept for tax implications and verification of Comptroller
approval
o Tax Dept prepares new vendor set-up form (if necessary), reviews for taxability, and
forwards paperwork to Treasury Operations.
o Treasury Operations processes the transaction
o Treasury Operations forwards Direct Debit Journal Voucher and Form 52A to Accounts
Payable for data entry into SAP.

Tolerance
This relates to mis-matched dollar amounts between an invoice from the vendor and the amount on
the order; and mis-matched quantities between an invoice from the vendor and the quantity on the
order. The tolerance levels are applied on a line by line basis, not on an invoice total basis. An out of
tolerance situation on a single line of an invoice causes the entire invoice to be blocked from payment
in the ARIBA system.

 The Accounts Payable staff will automatically release an invoice if the difference between the
invoice amount and the order amount is < 15% up to an invoice overage of $100.

 If an item is out-of-tolerance > 15% but < $25, the item will be manually unblocked by
Accounts Payable and paid with no action required by department.

 If an item is out-of-tolerance > 15% and the amount is > $25, but < $100, negative approval
guidelines will be applied as follows:

o Business Offices will have 5 business days to respond to ap@purdue.edu if NOT okay
to pay.
o If there is no action by the department the payment will be released in 5 business days.

 If an item is out-of-tolerance > $100, positive approval is required by the department.

o The item will remain on the blocked invoice report until action is taken by the Business
Office.
o The vendor will remain unpaid until action is taken by Business Office.
o Items on the list longer than 10 days will be reported to the Comptroller.

 If an item is out-of-tolerance due to quantity, positive approval is required by the department.

o The item will remain on list until action is taken by the Business Office.
o The vendor will remain unpaid until action is taken by Business Office.
o Items on the list longer than 10 days will be reported to the Comptroller.

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NOTE: Shipping charges are not included when calculating out-of-tolerance, unless the shipping is a line item
on the Purchase Order.

Check Handling

Held Checks
Checks may be requested to be held for pick-up at the Reception Desk at Freehafer Hall. Held
checks are indicated by marking ‘Y’ in the “Held Check?” box on the invoice voucher. A contact
person name and phone number must be clearly marked on the DIV. Checks may be picked up at
the reception desk in Freehafer Hall.

Enclosures
Enclosures will not be sent from Accounts Payable; instead departments are encouraged to utilize the
50-character text field that we have available to us on our remittance advice for payment explanation.
Any text information of 50 characters or less may be placed in the field marked "Text to appear on
remittance advice" contained in the DIV form. If a department finds that 50 characters is insufficient
to explain a payment to a vendor, the check should be marked as a "Held Check" and someone from
the department will need to pick up the check and process its mailing as necessary.

Check Copies/Cancellations/Re-writes
There are several reasons why a check may need to be voided and re-written, or the payment simply
cancelled.
 Paid to wrong vendor
 Lost/Stolen
 Torn/Ripped
 No longer needed
 Duplicate
 Incorrect Amount

For help with this process, see

https://www2.itap.purdue.edu/bs/BPP/Processes/Cancel%20and%20rewrite%20process.pdf

Payment Methods

Purdue University uses the following methods when paying vendors:

 Automated Clearing House (ACH)
 Single Use Credit Card Accounts (SUA)
 Checks
 Wire Transfer
 Purchasing Card

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ACH
ACH is a method of payment that electronically transfers funds to the vendor’s bank account.
 To establish a vendor payment via ACH, the ACH authorization form must be completed by the
vendor and sent to Accounts Payable with the first DIV
 This authorizes all future payments to the same vendor to be paid via ACH

SUA
SUA is an electronic credit card based payment solution that has the controls of a check payment.
Enrollment of the supplier is required for this payment method.

Checks
If a domestic vendor has not completed the authorization form for payments via ACH, the vendor
master record will default to check as a payment method. See
https://www.purdue.edu/business/procurement/acctpay/sua.html for more information on SUA.

Wire Transfer
Wire transfer is a method of payment that electronically transfers funds to the vendor’s bank account
on the same day it is initiated. This is most commonly used for foreign vendors, whether in US
Dollars or foreign currency. See B@P process on “How to Pay a Non PO Related Invoice via Wire
Transfer” https://www2.itap.purdue.edu/bs/BPP/Processes/PayNonPOInvoiceWireTransfer.pdf

Purchasing Card
A Purchasing Card is a Purdue MasterCard used to conduct University business. See “Purchasing
Card Handbook” at http://www.purdue.edu/ecco/pdf/pcardhbk.pdf

Miscellaneous
Cancelled Orders
If the order has been cancelled but an invoice is received for the order, Accounts Payable will review
file to see if a credit has also been received. If a credit has been received, the invoice and the credit
will be entered into the system at the same time. If a credit has not been received, Accounts Payable
contact the department to obtain a credit.

Follow Up Process
The Accounts Payable staff will contact departments as discussed in the out-of-tolerance guidelines
above when discrepancies exist between the invoice and the order information in the ARIBA system.
If the Business Office does not respond within the indicated time frame, Accounts Payable will
forward the list to the Comptroller for review.

Additional Resources
BAP 100 – Online Accounts Payable Training

B@P Payments and Reimbursements -

https://www2.itap.purdue.edu/bs/BPP/public/view_moduleInformation.cfm?view=mod67&name=Paym
ents%20&%20Reimbursements

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Check Copies/Cancel/Rewrite Process - http://www.purdue.edu/acctpay/Forms/cancelRewrite.html

Vendor Invoice Report -

Purchasing Card Handbook -

http://www.purdue.edu/ecco/pdf/pcardhbk.pdf

Wire Transfer - https://www2.itap.purdue.edu/bs/BPP/Processes/PayNonPOInvoiceWireTransfer.pdf

S:\bs\limited\CDRM\admin\OnePurdue\Accounts Payable\Disbursements Internal Pymt Process - OnePurdue.doc 7/12/2018

 University of Houston
ACCOUNTS RECEIVABLE GUIDELINES
Fiscal Year 2016

Email Completed Package To:

Jane Floyd
Email address: jfloyd@uh.edu

Accounts Receivable Reconciliation due to Accounting Services

September 9, 2016

Accounts Receivable Guidelines

Fiscal Year 2016
 Table of Contents

Purpose and Overview ............................................................................................................................. 3

General Guidelines ................................................................................................................................... 4

Definition of a Receivable ........................................................................................................................ 4

When is it Appropriate to Record an Accounts Receivable ..................................................................... 4

Accounting Entries – To Record Receivables ........................................................................................... 5

Accounting Entry – To Record Payments Received .................................................................................. 7

Accounting Entry – To Record Cash Sales ................................................................................................ 7

Accounting Entry – To Record the Return of Merchandise ..................................................................... 8

Accounting Entry – To Record Returned Checks ..................................................................................... 9

Aging, Collecting, and Reconciling Accounts Receivable ....................................................................... 10

Writing Off Accounts Receivable ........................................................................................................... 11

Accounting Entries – To Write Off Accounts & To Record Recovery .................................................... 12

Forgiveness Of Debt ................................................................................................................................ 13

Submitting Accounts Receivable Reconciliation ...................................................................................... 14

2
 Purpose and Overview

The goal of this procedure is to provide the policies and procedures related to accounts receivables,
and to improve the accounts receivable management as outlined by the State Auditor s Office. By
understanding the policies and procedures, and by incorporating good business practices, university
employees who monitor and maintain receivables will avoid undue delays and errors.

This packet addresses:

 What is a Receivable
 How to record a Receivable
 How to post Receivables, Payments, and Returns
 The Aging, Collecting, and Reconciling of Receivables
 How to Write Off Accounts and Record Recoveries
 How to formally submit the Write-Off Request

This material is a supplement to the universities formal policies as detailed in the UH Manual of
Administrative Policy and Procedure (MAPP), and in the UH System Administration Memorandum
(SAM).

Personnel working with Receivables should review and be familiar with:

 The UH System Administration Memorandum (SAM) 03.A.24, and

 The UH Manual of Administrative Policy and Procedure (MAPP) 05.04.04.
These can be found on the UH home page www.uh.edu/mapp and www.uh.edu/sam.

3
 General Guidelines

The institution is not allowed to deliver merchandise or provide services to individuals, associations or
corporations in any situation where the use of state appropriated funds are involved, unless payment
is received. This prohibition does not apply to federal, state, county or municipal government agencies
or tuition and fees installment options.

Each college or division of the University of Houston is responsible for establishing procedures for
extending credit, billing and collecting receivables, recording and monitoring receivables, determining
allowances for doubtful accounts, and writing off uncollectible accounts. The procedure shall ensure
that any extension of credit is done so in a prudent manner, including the use of standardized credit
applications, commercial credit reports, and specification of the level of authority required for approval
of the credit request. These procedures must be documented in writing and made available to
Accounting Services or Internal Audit upon request.

Definition of a Receivable

Receivables are assets that represent claims against other entities for goods or services provided, but
for which cash has not been received.

Accounts Receivable is considered valid after:

 The buyer of the goods/services has entered into a legally binding agreement
 The receivable can be accurately measured
 The seller has provided goods or services to the buyer
 The payment is due to the seller from the buyer
 The payment has not been received from the buyer
 The revenue from the transaction has been recorded on the seller s books
 There is a reasonable expectation of collection

When is it Appropriate to Record a Receivable?

The recording of a receivable by a UH department may be appropriate if:

 The buyer of the goods or service is not another UH department (Note: Certain exceptions may
apply)
 The receivable is valid (see definition of a receivable)
 Total outstanding receivables represent a significant percentage of a department s sales, (i.e.,
accounts receivable are material to the financial records of the department and thus to the
university)
 The transaction does not represent an extension of credit that is prohibited by law
 The event is deemed to be appropriate by the university s accounting officer

4
 Recording a Receivable – Accounting Entries to PeopleSoft

A Receivable is recorded using a journal entry prepared by the department and submitted to
Accounting Services via workflow with the appropriate supporting documentation. These entries debit
the appropriate receivable account, and credit the appropriate revenue account in the department s
cost center in the general ledger.

Accounting Terminology:
Debit: Increases a Receivable account
Credit: Decreases a Receivable account

Example 1 - Low Volume Sales on Account (Single Revenue Account):

Description Cost Center Combination __Debit__ __Credit__

A/R - May Sales (on acct) 00730-2XXX-H0XXX-AXXXX-12100 $ 2,500.00

May Sales & Services 00730-2XXX-H0XXX-AXXXX-43600 $ 2,500.00

The total of the debit(s) must equal the total of the credit(s). Credits may be recorded to more than
one account (See Example 2).

If the sale is subject to state and local tax, the tax liability must be recorded at the time the revenue is
recognized. The sales tax account is credited for the appropriate amount as calculated from the
taxable sale (in this case 8.25 percent).

Example 2 - Low Volume Sales on Account (Multiple Revenue Accounts):

Description Cost Center Combination __Debit__ __Credit__

A/R - May Sales (on acct) 00730-2XXX-H0XXX-AXXXX-12100 $ 2,500.00

May Non-Taxable Sales 00730-2XXX-H0XXX-AXXXX-43600 $ 1,000.00
May Taxable Sales 00730-2XXX-H0XXX-AXXXX-43606 $ 1,385.68
Sales Tax Payable 00730-2XXX-H0XXX-XXXXX-20604 $ 114.32

Both of the above examples show the recording of receivables as a balance for a specific period—the
total sales on account for a month. This method is appropriate for a department with limited sales on
account, with each sale of relatively low value. Entries are prepared by the department on the last
business day of the month and forwarded to Accounting Services before the deadline for recording
that month s business. Entries should be prepared more frequently by departments with a significant
amount of their business on account.

5
An alternative, and the preferred method for departments with a high value sales volume, is to record
each sale as an individual receivable.

Example 3 - High Value Sales on Account:

Description Cost Center Combination __Debit__ __Credit__

A/R - L. Smith #3012 00730-2XXX-H0XXX-AXXXX-12100 $ 811.88

A/R - C. Nash #3015 00730-2XXX-H0XXX-AXXXX-12100 $ 2,067.58
May Taxable Sales (3012, 3015) 00730-2XXX-H0XXX-AXXXX-43606 $ 2,660.00
Sales Tax Payable 00730-2XXX-H0XXX-AXXXX-20604 $ 219.46

All journal entries must be supported by copies of the detailed sales records and invoices for the sales
on account.

The department business manager should review the business records to ensure that the total of the
detailed sales records equal the cash sales (currency, check, credit card) plus the sales on account.

In this example separate lines exist (debits) for the receivables due from L. Smith and from C. Nash.
This method produces separate detail lines in the A/R account for the departmental cost center in the
PS general ledger. When a transaction report prints (from PS) each line displays. This method makes
the reconciliation of the Receivable much easier.

Because revenue recognition does not result from the collection of cash on account, the entries to
record sales on account should never be confused with, or included with, the entries to record cash
received on account (SEE Example 4).

6
 Recording Payments Received – Accounting Entry to PeopleSoft

Example 4 – Receipt of Payment on Account (L. Smith):

Description Cost Center Combination __Debit__ __Credit__

Cash Deposit 00730-BANK $ 811.88

A/R - L. Smith #3012 00730-2XXX-H0XXX-AXXXX-12100 $ 811.88

In this example, L. Smith sent a check in the amount of $811.88 for payment of the receivable recorded
above (SEE Example 3). A credit to the receivable for the entire amount of the payment reduces the
account balance to zero. Note that credit entries to Sales Tax Payable (20604) and to the Revenue
(43606) were previously recorded (SEE Example 3). As a result, this entry does not duplicate the
Payable or the Revenue.

Cash received as payment on an account:

 Is included in the department s daily cash receipts
 Must credit the receivable
 Must NOT be reported as a new sales revenue

Recording Cash Sales – Accounting Entry to PeopleSoft

Example 5 – To Record Cash Sales:

NOTE  When cash is received at the time of sale, no Receivable Account will exist. Instead, the debit
is to the BANK account.

Description Cost Center Combination __Debit__ __Credit__

Cash Deposit 00730-BANK $ 501.55

Nontaxable sales 00730-2XXX-H0XXX-AXXXX-43600 $ 350.00
Taxable sales 00730-2XXX-H0XXX-AXXXX-43606 $ 140.00
Sales Tax Payable 00730-2XXX-H0XXX-AXXXX-20604 $ 11.55

The above entry records both Taxable and Non Taxable sales. The amount of the Sales Tax entry is
derived by multiplying the amount of the Taxable Sales by the current tax rate (@ 8.25% in this case).

7
 Recording the Return of Merchandise – Accounting Entry to PeopleSoft

In the event that merchandise sold on account is returned, the amount of the receivable is reduced
(credit) by the amount of the return. The revenue and sales tax are debited for the appropriate
amounts. The entries for the Return of a Sale are show below, using the C. Nash sale (Invoice #3015)
as an example.

Example 6 - Return of Merchandise Purchased on Account:

Description Cost Center Combination __Debit__ __Credit__

Taxable Sales (Nash Return) 00730-2XXX-H0XXX-AXXXX-43606 $ 1,910.00

Sales Tax Payable 00730-2XXX-H0XXX-AXXXX-20604 $ 157.58
A/R - C. Nash #3015 00730-2XXX-H0XXX-AXXXX-12100 $ 2,067.58

As with all accounts receivable entries:

 The debits and credits must balance.
 Sales/Return Documentation must support the transactions.

8
 Recording Returned Checks – Accounting Entry to PeopleSoft

Payments received by check that are returned to the University as unpaid (insufficient funds,
cancellations, etc.) are recorded by Student Financial Services (SFS).

The entry recorded is a debit to account 12101, A/R – Returned Checks, and the designated cost center
provided by the College/Division to SFS and a credit to the BANK account.

Example 7 - Returned Checks:

Description Cost Center Combination __Debit __Credit__

Returned Check 00730-2XXX-H0XXX-AXXXX-12101 $ 100.00

Returned Check 00730-BANK $ 100.00

If payment is received for the returned check, the following entry should be made:

Example 8 -- Payment for Returned Checks:

Description Cost Center Combination __Debit __Credit__

Payment Returned Check 00730-BANK $ 100.00

Returned Check 00730-2XXX-H0XXX-AXXXX-12101 $100.00

Detailed information for returned checks recorded to your department s cost center can be obtained
by running the 1074 Report Section 3, Transaction Detail for Asset/Liability /Fund Equity, for your
College/Division.

Review the transaction detail for account 12101 to obtain a list of journals recording transactions to
account 12101.

After obtaining the list of journals, review the journals in PeopleSoft. The backup attached to the
journals will have the information regarding the returned checks. (Returned check journals will record
transactions for more than one College/Division you will have to identify the information specific to
your College/Division.)

The information obtained from the journal backup should be used to complete the Returned Checks
Worksheet.

9
 Aging, Collecting and Reconciling Accounts Receivable
All departments recording accounts receivable must maintain adequate records of their accounts.
Each transaction is individually reviewed; this is important for aging, collection and write-off, if
necessary.

Departments will reconcile their outstanding receivables to the institution s financial system monthly.
Monthly reconciliations will be maintained and must be made available to Accounting Services and/or
Internal Auditing upon request.

Departments must also maintain an aging schedule for all accounts receivable. The total of the aging
schedule should be equal to the total accounts receivable recorded. Standard aging brackets used are:

0-30 days,
31-60 days,
61-90 days,
91-120 days,
121-180 days,
181-360 days,
361-720 days, and
Over 720 days.

The department recording the receivable has the sole responsibility for collecting the account. The
department must have a documented collection procedure in place and on file in Accounting Services.
A recommended schedule of activities for this procedure includes:

0-30 days Mail original invoice

31-60 days Mail second copy of invoice with stamped notice PAST DUE
61-90 days Mail standard collection letter demanding payment
91-120 days Place telephone call to debtor
121-180 days Mail certified letter with return receipt each month
Place telephone call each month
181+ days Mail letter each month with copy to UH General Counsel

All collection activity must be logged, and copies of all correspondence to the debtor retained.

10
 Writing-Off Accounts Receivable
Accounts deemed as not collectible must be written off. Accounts receivable are eligible for write-off
when they remain outstanding for 720 days (2 years). Outstanding accounts, originating during or
before fiscal year 2014, are eligible for write-off in this fiscal year.

Before a receivable is written-off, the department must demonstrate that adequate steps were taken
to collect the receivable. Departments writing off any account(s) must prepare a package and send it
to Accounting Services.

The package will include:

1. A cover memo signed by the business manager, stating the total amount of the requested
write-off.
2. Cost Center, account and amount for Accounting Services to prepare a Journal Entry to book
the write-off when BOR approval is received.
3. A current reconciliation of the department s outstanding Accounts Receivable.
4. A current Aging Schedule supporting the accounts to be written off.
5. A list of the individual accounts for write off consideration.
6. Each individual account to be written-off must be supported by:
 A copy of the original invoice,
 A copy of the Collection Activity Log, and
 All correspondence relating to the collection activities for that account.

If account to be written off are checks, additional information required is:

 Name of Check Writer
 Check Number
 Check Date
 Check Amount
 Check Purpose
 PeopleSoft ID, if check was written by a student or employee

The Board of Regents of the University of Houston System approves all amounts written off. A list of
the accounts slated to be written off is prepared by Accounting Services and submitted to the Board
once each fiscal year.

11
 Accounting Entries to PeopleSoft Financials to Write Off Accounts to Record the
Recovery of an Account Previously Written Off

A/R Write Off Entry: (Note: Write off journals are prepared by Accounting Services)

Example 9 - A/R Write Off Entry:

The following entry will reduce the Accounts Receivable and the Fund Equity. The amount is equal to
the total of all accounts written off.

Description Cost Center Combination __Debit__ __Credit__

Fund Equity Deduction 00730-2XXX-H0XXX-AXXXX-36100 $ XXX

A/R 00730-2XXX-H0XXX-AXXXX-12100 $ XXX

Fund equity is used because the sales revenue associated with the write-off was recorded in a prior
fiscal year.

Recovery Entry – For Payment Received on Account Previously Written Off: (Note: Recovery journals
should be discussed with Accounting Services prior to preparation)

Example 10 - A/R Recovery:

If a vendor submits payment on an account previously written off the books, then an entry must be
written to record that transaction.

The entry should be written and submitted to Accounting Services during the month the recovery is
made.

Description Cost Center Combination __Debit__ __Credit__

Cash Deposit 00730-BANK $ XXX

Fund Equity Increase 00730-2XXX-H0XXX-AXXXX-32100 $ XXX

12
 Forgiveness of Debt
The write-off of an account is a bookkeeping entry only and does not relieve the debtor from financial
responsibility to the university. Although the account has been removed from the books, the
university may still have a claim against the debtor and may still seek legal remedy. Therefore, it is the
responsibility of each department to maintain adequate records regarding legal debts owed to the
university. Departments who wish to forgive a debtor's obligation to the university shall seek advice
from UH Counsel and the Director of Tax Compliance in the office of the Assistant Vice President for
Finance regarding any special tax consequences relating to the forgiveness of debt.

13
 Submitting the Accounts Receivable Reconciliation

Accounting Services prefer the Accounts Receivable Reconciliation be submitted electronically.

The department should retain copies of all materials and worksheets used to calculate the values.

Email completed electronic (preference) reconciliation to:

Jane Floyd
Email address: jfloyd@uh.edu

If submitting Accounts Reconciliation by paper, send to:

Accounting Services
UH Energy Research Park
Building 1, Room 207

Due: September 9, 2016

Incomplete packages will be returned to the Business Administrator.

14
 Operational Standards

of Performance: Template
Food and Drink Service
A template to help you develop standards for your food
and beverage operation
 Operational Standards of
Performance
Template: Food and Drink Service
Setting operational standards
At its simplest, a standard is an agreed, repeatable way of doing something. From a practical perspective,
operational standards are those standards which are recognised by
the organisation as important enough to be published and
monitored for continuous improvement. In tourism businesses,
they relate primarily to service, and contain precise criteria
designed to be used consistently as a rule or guideline.

Operational standards help to make life simpler and to increase the

reliability of many practices that guide us and the services we
provide. They are intended to be aspirational - a summary of best
practices rather than general practice. Standards are created by
bringing together the experience and expertise of all employees
and the expectations of the customers.

1. Develop the standards

Establishing operational standards and making them integral to how the restaurant operates will take time.
You need to develop a careful, well-thought-out approach that recognises:

 the different types of services and customers you have;

 your knowledge of how your people currently perform; and
 your ability to monitor performance against standards.

However, rather than wait until complete and ‘perfect’ standards are developed, you should develop your
operational standards progressively. Publish standards in areas of greater importance or impact first, i.e. those
critical for operational success.

Use the MARC acronym when developing standards:

Measurable The standard must be measurable to be of assistance in targeting improvement, and the more
specifically the standard is defined, the more measurable it will be. Therefore, a standard should be
measurable by quality, quantity and timeliness.
Achievable The standard must be reasonable and attainable, and should never be so easy that it requires no
significant effort, or so difficult that it requires superhuman effort. In setting standards, you must take into
account whether the people responsible for delivering the service have the skills and resources they require to
meet those standards, supported by systems and policies that will allow the standard to be achieved.
Relevant The standard must reflect customers’ expectations or be designed to create a benefit for the
customer and must be relevant to your particular operation, not adopted/copied/borrowed from another.
Controllable Accomplishing the standard must be within the control of a specific department and the
measurement tools for accomplishing the desired result must be set up.
Initial standards may be incomplete or embryonic in some aspects. As you gain experience, you can improve
these standards and extend the range of services they cover.

2. Communicate the standards

Operational standards are intended to let your people know the level of performance expected of them.
Reporting on performance against standards is critical if you are to make operational standards achievable.
However, you can only do so if operational standards are readily available to and understood by employees
involved in their delivery, and if they are clear and easy to understand.

3. Monitor the standards

Develop ways to measure your performance against standards, and monitor performance constantly. Setting
customer-driven standards and measuring how well your restaurant is doing is a continuous process. It should
quickly identify problems with customer service. All parts of the organisation should be involved in finding
solutions to these problems and discussing these solutions with customers, where appropriate.

There are a number of measurement tools a restaurant can use. One effective way is to use a checklist or
audit of the standards and track performance over time. Then, action plan any areas for improvement
identified to eliminate the problem from recurring.

4. Improve the standards

Continuous improvement will allow you to set higher and higher operational standards and maximise customer
satisfaction. By consulting customers, monitoring performance and encouraging innovation, you will be able to
deliver better service.

Adapting the Operational Standards to your Business

Starting on the basis that the operational standards contained in

this resource are reflective of best practice, the first task is to see
how these can be adapted to reflect the uniqueness of your own
restaurant. There will be aspects of the standards as presented
that will not apply to the way you operate or you may have a
different approach that you want reflected in your own standards.

Therefore, each of the standards should be reviewed with the team

and amended accordingly.

This template should be used having read the Operational Standards of Performance
guide at Online Business Tools
 STANDARDS OF PERFORMANCE
Food and Drink Service

Preparation for Service

Greeting and Seating

tion for Service

Service of Drink

Service of Food

Billing and Payment

Stores Management

Closing Duties

Food and Drink Service Audit

Food and Drink Service Action Plan

Place cursor over each then press Ctrl + Click to go directly to that
standard
 Preparation for Service

Our Standard is:

To prepare all mise en place consistently and in a timely manner, in order to facilitate
an efficient service delivery.
How to achieve our Standard: How we will know it is done correctly:
1. Ensure that service  Daily supervisory checks are made to ensure that
personnel arrive on duty at the expected requirements of personal hygiene and
appointed time correct uniform/ name badge etc. are met.
2. Explain menu items to  Familiarity with the various service procedures for
service personnel on a daily the different dishes.
basis prior to service  Familiarity with all the equipment and glassware
used for service.
3. Allocate stations/duties  Clarity on duties and responsibilities for service.
prior to service  Special requirements for each station are
highlighted.
4. Ensure that the room and  Tabletops are cleaned and polished (where
equipment are clean and applicable).
tidy  Table cloths/mats are free from stains, tears and
placed correctly on tables.
 Bar counters, taps, shelving and display equipment
are clean.
 Tables are laid up uniformly and symmetrically.
 Display tables are arranged prior to service.
 Air conditioning and lights are working correctly and
create a positive ambience.
5. Check table reservations  Tables and chairs are arranged in accordance with
and allocate tables the table plan, are correctly laid-up and all table
accordingly items are clean and tidy.
 Final check of reservations diary is carried out and
last minute changes are made where necessary.
6. Adequately stock and  Stocks of glasses, napkins and other equipment are
prepare for service organised prior to service.
 All cutlery, crockery and glasses are clean, ready for
use and stored correctly.
 Appropriate quantities of lemons, limes, and oranges
are prepared, presented and stored. Ice buckets are
clean and fully stocked.
 Requisition for dry goods, condiments, snacks and
drink garnishes is retrieved and items are stocked.
 All condiments are clean, fresh and well presented.
 An adequate supply of correct docket books, pens,
and wine openers is available.
7. Ensure that an adequate  All menus are accurate, up to date and free from
supply of clean and spelling mistakes.
accurate menus is available  Menu and covers are clean and tidy and create a
positive impression for guests
8. Prepare tills and floats  Tills are switched on, updated and till reads taken.
 Bar floats are retrieved and registers are stocked
appropriately, ensuring that the required
denomination of notes and coins are in place.
 Floats for lounge service staff are prepared.
 Greeting and Seating

Our Standard Is:

To greet all guests in a timely and friendly manner, then seat in an efficient and polite
manner. To take food and beverage orders correctly and process the orders efficiently.
How to achieve our Standard: How we will know it is done correctly:
1. Acknowledge and greet  Guests are greeted with a smile, good eye contact
guests, as soon as they and an interested facial expression.
arrive, with a smile  Guests are addressed by their names (if known).
2. Offer to take coats  Coats are treated with care and stored safely and
securely.
3. Lead guests to the table and  Guests are checked that the table chosen is suitable.
ensure they are happy with
table allocated
4. Seat guests, present menus  Chairs are withdrawn to allow guest to sit easily.
and drinks list  Clean menus are opened and presented to each
guest and inform of any specials or off dishes.
 Clean wine list is presented to the host and offer of
assistance is made with selecting wine, if required.
 Any wines unavailable are explained.
5. Offer to take a drink/water  Pre-dining drinks order is offered.
order  Water is offered and served to guests.
6. Allow guests sufficient time  Knowledge of the menu and wine list is displayed.
to study menu  Assistance is offered, recommendations are made, if
required.
 Service personnel are attentive, but not obtrusive
whilst guests are selecting.
7. Adopt a smiling, confident  Service personnel establish empathy with customers
and attentive approach and are responsive to their needs.
when dealing with
customers
8. Take the food order in a  Service personnel are alert to sales opportunities
courteous, friendly and and adopt a positive approach to selling.
professional manner  The food order is taken correctly and written legibly.
 Cooking instructions are requested and recorded,
where applicable.
 Order is re-checked for accuracy with customer (if
appropriate).
9. Take the beverage order  Knowledgeable of the composition of the beverage
correctly and wine list is displayed and recommendations are
made, as appropriate.
10.Distribute dockets to the  Duplicates are retained in order pad, for reference
appropriate departments, and control purposes.
i.e. kitchen, bar, cashier
11.Use the electronic order  All appropriate service personnel are competent in
system where applicable using the electronic system.
12.Ensure that all items are  Items are charged correctly to the guest’s account
charged to the guest’s and appropriate back up is available.
account
 Service of Drink

Our Standard is:

To promptly serve all drink items in the correct glassware and in a friendly and
professional manner.
How to achieve our Standard: How we will know it is done correctly:
1) Serve wines at the  Young Red Wines: 12oC -14oC
recommended temperatures  Burgundy Villages: 14oC -16oC
 Château Bottled Bordeaux : 16oC -18oC
 Champagne/Sparkling/White wine: 5oC - 7oC.
2) Present the bottle to the  Wine bottle is rested on palm and lower arm, on top
host for approval of a clean napkin, with label facing customer.
 Outside rim of the bottle and the top of cork are
wiped with a clean service cloth.
3) Open the bottle and seek  Capsule is cut below the lip of the bottle.
host’s approval  Corkscrew is inserted slightly off-centre, cork is not
pierced to end, inside bottle neck is wiped.
 For Champagne/sparkling wine: the foil and wire
muzzle are removed, the bottle is tilted at a 45°
angle pointed away from guests.
 Approximately one ounce of wine is poured into the
host’s glass for tasting purposes.
4) Serve the wine following the  The first lady to the right of the host is served first,
appropriate etiquette then each of the remaining ladies, then each
gentleman and finally the host’s glass is filled to the
required level.
 Wine is served from the right, filling each glass ½
way.
 The bottle is not allowed to rest on the wine glass
when pouring; the label is visible at all times.
 Glasses are replenished as necessary.
5) Serve other drink following  Bottles (beer, mixer, etc.) are clean, with labels
the appropriate etiquette intact and checked for chipping.
 Glasses are clean and correct for the drink provided.
 Bottles and glasses are handled at the base only.
 Drinks are always carried to tables on a tray and
presented to the guest using a coaster.
 Empty glasses and bottles are removed from tables
by using a tray.
 Service of Food

Our Standard is:

To promptly serve all food items at the correct temperature and in a friendly and
professional manner.
How to achieve our Standard: How we will know it is done correctly:
1) Ensure all portions are of a  Portions are evenly distributed and tastefully
consistent standard and size presented on the plate.
 Correct garnish is served with each food item.
2) Serve food at the correct  Hot meals are not left unattended for a long time at
temperature hotplate.
3) Set the correct cutlery for  Appropriate cutlery is laid prior to service of each
food items used course.
4) Observe the correct  Each guest’s order is matched with the meals
etiquette for food service served.
 Presentation of food items is completed in a
confident and professional manner.
 Food is served from the customer’s left where
possible.
 Appropriate accompaniments are served at the
correct time.
 Staff are alert to sales opportunities and adopt a
positive approach to selling.
5) Ensure that excellent guest  Guest satisfaction is checked and corrective action is
care is offered during meal taken where necessary.
 Attentiveness to guest’s requirements is maintained.
6) Carry out clearing duties  Service personnel are observant and clear tables in a
without unnecessary structured and efficient manner.
intrusion to guests  Clearing is carried out from the right of the guest,
where possible, checking with each guest before
removing items.
 Only appropriate quantities are carried at any time.
 Empty glasses are removed using trays, without
handling the insides or rims of glasses.
 Billing and Payment

Our Standard is:

To handle billing accurately. To deal with any discrepancies quickly and with
discretion. To handle payment in a timely and friendly manner.
How to achieve our Standard: How we will know it is done correctly:
1) Present bill quickly and  Bills are reviewed for accuracy before presentation
discretely to the guest, to guest.
when requested  Itemised bill is presented accordingly.
2) Correct discrepancies  Billing errors are handled and resolved competently.
promptly  No unwanted attention is brought onto guest by
error made.
3) Handle all credit card and  Receipts are given to the guest with the correct
cash payments correctly change.
4) Show appreciation for  Guests are thanked and gratuities are acknowledged
custom gracefully.
 Customers are bid a sincere farewell and invited to
return.
 Stores Management

Our Standard is:

To receive and store all goods in the appropriate secured area. To account for all stock
by careful issuing and regular stocktakes.
How to achieve our Standard: How we will know it is done correctly:
1) Ensure that storerooms  Storerooms and equipment are kept clean on an on-
provide a hygienic storage going basis; regular deep cleaning is implemented.
environment  Beer lines are cleaned once a week.
 Cardboard boxes/packaging are disposed of
correctly.
 Correct temperatures are maintained at all times.
 Adequate pest control measures are in place to
maintain a hygienic environment.
2) Adhere to safe storage  Storerooms have sufficient space and storage
conditions shelving for the quantities of stock held.
 Storerooms have adequate lighting for safe access
and use.
 Combustible or toxic items are not kept in
storerooms and cleaning agents are stored carefully.
 All bottle labels are maintained in good condition.
 Cases are not stacked too high and are easily
accessible.
 Glass, bottles and other breakables are safely
stored.
 CO2 containers are stored safely.
 Storerooms are locked when not in use.
3) Ensure efficient and  All items are stored by product.
effective storage of stock  Empty cases, bottles, kegs are stored away from full
items.
 Spirits are unpacked and stored on designated
shelves.
 Stock rotation is strictly adhered to.
 All perishable goods are kept in a cool, dry place.
4) Receive deliveries at a  Delivery times are agreed in advance with suppliers
convenient time and meet business needs.
 Supervisor ensures that health and safety
regulations are adhered to whilst deliveries are being
accepted.
 Supervisor has supporting order-documentation to
cross reference with the delivery docket provided.
5) Check the delivery docket  Supervisor checks each case for the correct quantity
against the order form and quality.
 Discrepancies are noted and recorded.
 Kegs are spot checked by weighing upon delivery.
 All empty kegs, cases, etc. are returned, once
delivery is finished.
6) Ensure effective issuing  Access to stores is strictly controlled and goods are
and control of stock only issued at defined times, on receipt of the
appropriate signed requisition form.
 Items are only issued by the individual responsible
for store/cellar management, or designate.
 Stock taking is regularly completed and results are
recorded. All discrepancies are investigated.
 Closing Duties

Our Standard Is:

To carry out all closing duties efficiently and effectively at all times, to ensure the
safety and security of personnel, the premises and stock.
How to achieve our Standard: How we will know it is done correctly:
1) Ensure that the  Guests are politely informed in advance of closing.
restaurant/bar is closed, in  Premises are cleared in accordance with the house
a timely and efficient policy and legal requirements.
manner  Guests are allowed the legal permitted drinking-up
time and politely encouraged to leave.
 Security check is carried out in toilets and other
areas, once all guests have departed.
2) Thoroughly clean the  The room is well ventilated and cleaned.
restaurant/bar area  Tables and chairs are cleaned and replaced in correct
positions.
 Floor area is thoroughly swept/vacuumed and
mopped as appropriate.
 All glass, chrome, doors and mirrors are thoroughly
cleaned.
 Toilets are cleaned and serviced.
3) Clean and tidy the back of  Bottle bins/skips are removed to back yard.
house area  All bins are emptied, washed and bin liners replaced.
 Drip trays are emptied, washed and replaced in
correct position.
 Waste/ullage is accurately recorded.
4) Complete a stock take and  Stock is accurately counted and a requisition is
prepare a requisition prepared.
 Requisition is prepared for stock of dry goods,
condiments and wine.
5) Clean and store equipment  All dirty glasses, water jugs, ice buckets and cutlery
correctly are cleaned, polished and checked.
 Glass washing and coffee machines are emptied and
cleaned then switched off.
 All electrical equipment is cleaned and switched off
as appropriate.
6) Control and secure cash  Final till reads are taken, floats retrieved and cash
reconciled in a secure location.
 Non-balances are investigated and rectified.
 Daily takings are recorded appropriately and
deposited safely in the designated location.
7) Carry out final checks to  Designated personnel ensure that all closing
ensure all closing duties procedures are completed, according to established
completed procedures.
 Checks are carried out for lost property which is then
tagged and stored in designated area.
 Any deviations are identified and rectified.
 Heating, lighting and ventilation are attended to, as
appropriate.
 Final security check of doors and windows is carried
out and alarms set as required.
 Food and Drink Service Audit
Date: ___________________________ Auditor: _____________________________

Standard Measure Yes No

1. Preparation for Do service personnel arrive on duty at appointed time?
Service
Are menu items explained on a daily basis prior to service?
To prepare all mise en place
consistently and in a timely Are stations/duties allocated prior to service?
manner, in order to facilitate
an efficient service delivery. Are the room and equipment clean and tidy?

Are table reservations checked and tables allocated

accordingly?
Are items adequately stocked in preparation for service?

Is there an adequate supply of clean and accurate menus

available?
Are tills and floats prepared?

2. Greeting and Seating Are guests acknowledged and greeted with a smile as soon
as they arrive?
To greet all guests in a Is an offer made to take coats?
timely and friendly manner,
then seat in an efficient and Are guests led to the table and checked that they are
polite manner. To take food happy with table allocated?
and beverage orders Are guests seated and presented with menus and drinks
correctly and process the list?
orders efficiently. Is an offer made to take a drink/water order?

Are guests allowed sufficient time to study the menu?

Is there a smiling, confident and attentive approach

adopted when dealing with customers?
Is the food order taken in a courteous, friendly and
professional manner?
Is the beverage order taken correctly?

Are dockets distributed to the appropriate departments,

i.e. kitchen, bar, cashier?
Is the electronic order system use where applicable?

Are all items charged to the guest’s account?

3. Service of Drink Are wines served at the recommended temperatures?

To promptly serve all drink Is the bottle presented to the host for approval?
items in the correct
glassware and in a friendly Is the host’s approval sought having opened the bottle?
and professional manner.
Is the wine served following the appropriate etiquette?

Are other drinks served following the appropriate

etiquette?
4. Service of Food Are all portions are of a consistent standard and size?

To promptly serve all food Is food served at the correct temperature?

items at the correct
temperature and in a Is the correct cutlery set for food items used?
friendly and professional
manner. Is the correct etiquette observed for food service?

Is excellent guest care offered during meal?

Are clearing duties carried out without unnecessary

intrusion to guests?
5. Billing and Payment Is the bill presented quickly and discretely to the guest,
when requested?
To handle billing accurately. Are discrepancies corrected promptly?
To deal with any
discrepancies quickly and Are all credit card and cash payments handled correctly?
with discretion. To handle
payment in a timely and Is appreciation shown to guests for their custom?
friendly manner.
6. Stores Management Do the storerooms provide a hygienic storage
environment?
To receive and store all Are safe storage conditions adhered to?
goods in the appropriate
secured area. To account for Is stock efficiently and effectively stored?
all stock by careful issuing
and regular stocktakes. Are deliveries received at a convenient time?

Is the delivery docket checked against the order form?

Is stock effectively issued and controlled?

7. Closing Duties Is the restaurant/bar closed in a timely and efficient

manner?
To carry out all closing
Is the restaurant/bar area thoroughly cleaned?
duties efficiently and
effectively at all times, to
Is the back of house area cleaned and tidied?
ensure the safety and
security of personnel, the Is a complete stocktake carried out and a requisition
premises and stock. prepared?
Is equipment cleaned and stored correctly?

Is cash controlled and secured?

Are final checks carried out to ensure all closing duties are
completed?
 Food and Drink Service Action Plan
Date From: ___________________________ Date To: ________________________

Standard Area For Action To Be Taken By By Reviewed

Improvement Who When Yes/No

1. Preparation
for Service

2. Greeting
and
Seating

3. Service of
Drink

4. Service of
Food

5. Billing and
Payment

6. Stores
Manageme
nt

7. Closing
Duties
This guide has been provided to you as
part of Fáilte Ireland’s suite of guides and
templates in the Online Business Tools
resource.

Please note that these resources are

designed to provide guidance only. No
responsibility for loss occasioned to any
person acting, or refraining from action, as
a result of the material in this publication
can be accepted by Fáilte Ireland.

The user shall not market, resell, distribute,

retransmit, publish or otherwise transfer or
commercially exploit in any form any of the
content of this guide. For a full version of
the disclaimer, go to
http://www.failteireland.ie/Footer/Legal-
Terms.aspx

Fáilte Ireland
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Telephone: 1800 24 24 73
CustomerSupport@failteireland.ie
www.failteireland.ie

© Fáilte Ireland 2013

OBT-08LTB-OSP T1FDS 11-12 3
 Company X
DRAFT Complaint Handling Procedure

Company X

Complaint Handling Procedure

Version 1.1 (Draft)

Date

Author: Barclay Rae

Owner:

Intended Audience: Management Team

 Company X
DRAFT Complaint Handling Procedure

Overview  This is the official Complaint Handling Procedure across

Company X

Objectives  To deliver a consistent, high-quality and accountable

response to complaints across Company X

 This quality procedure is in line with the overall Customer

Service Strategy and industry ‘best practise’

Services Covered  All Services

Groups involved

Document Control

Date

Author Barclay Rae

Business Owner

Reviewed by

Update comments
 Company X
DRAFT Complaint Handling Procedure

Process Overview
The following key steps must be followed for all customer complaints received
by Company X staff:

Receive & classify

Acknowledge

Investigate

Resolve & Confirm

Respond to Customer

Follow up

QA & Close

The requirements for each of these steps is detailed below

 Company X
DRAFT Complaint Handling Procedure

1 Receive & classify

Summary
Ensure that all potential issues are captured by the organisation, and classified for
escalation, review and action as required.

 Any complaint, issue or negative customer interaction (whether this is formally

logged by the customer or not), must be logged and classified for action.

 All of these complaints must be formally logged using the Ciclops or paper-based
forms (see below)

 All complaints must be prioritised as follows:

 Priority 1 – urgent, potential high business impact. The SLA requires a

response to the customer within 3 working days.

 This should be used (sparingly) for major issues where the customer may be
either a large national supplier, or any customer who is considering moving
their business from Company X.

 Also this could be used in a situation where the customer may be in a position
to influence or make public statements that would impact upon the Company
X brand or reputation.

 Priority 2, - non-urgent, lower business impact. The SLA requires a

response to the customer within 2 working weeks.

 This should be used for most complaints with individual customers, as this
allows a reasonable time to collect information and produce a balanced
response.

 Discretion and flexibility should be exercised in prioritising all complaints

 The staff member logging the complaint should review the complaint and it’s
priority with the Office Manager before proceeding to the next step.

 Office Managers will decide on the appropriate person(s) to carry out subsequent
steps, including the investigation.

 All Priority 1 complaints must be escalated immediately to the Office and/or

Operations Manager.
 Company X
DRAFT Complaint Handling Procedure

2 Acknowledge

Summary
Ensure that every complaint receives a formal written acknowledgement, containing
an expectation of when they will receive a response, and the person dealing with it.

 All complaints, regardless of priority, should receive a pro forma (see below)
acknowledgement sent out 1st class mail on the day of receipt.

3 Investigate

Summary
Follow up all aspects of the complaint, both internal and external, to ensure that the
key facts are identified and clarified.

 The priority of the complaint will drive the timescale for completion (3 days for
urgent or 2 weeks for non-urgent).

 All areas of interaction and communication should be established (who, what,

where, when, why etc) and documented where possible.

4 Resolve & Confirm

Summary
Ensure that the final resolution is clear and fair. Also confirm the proposed action and
resolution with another senior person.

 Ensure that the proposed resolution meets corporate guidelines and does not
prejudice Company X in any unnecessary legal or financial manner.

 Document the proposed action and discuss and agree with Office and/or
Operations Manager.

 Discuss and review the solution form both the corporate and customer viewpoint
to ensure fairness and clarity.

 The review should include recognition and documentation of any underlying

issues that have contributed to the complaint and recommendations for actions to
prevent further occurrence.

 This should then be reviewed as part of the bi-monthly SLA and CSAT reviews.
 Company X
DRAFT Complaint Handling Procedure

5 Respond to Customer

Summary
Provide the customer with the resolution within the timescales promised.

 The details of the findings and proposed resolution should be clearly explained
(in written or verbal form as appropriate) to the customer- within the agreed
timescales.

 If this cannot be done on time the customer should be contacted by telephone to

request further time.

6 Follow up

Summary
Ensure that complaints are followed up to confirm that customers are satisfied with
the response given.

 All Priority 1 complaints and 95% of priority 2 complaints must be followed up

within a reasonable timescale.

 This will be carried out by the Customer Relations team.

 The follow up should identify the following

 Is the customer satisfied with the response?

 Did they feel that their complaint was properly and fairly handled?

 Any negative responses to these questions should be referred to Operations

Managers for action and direct follow up with customers.

QA & Close

Summary
Ensure that the organisation as a whole is aware of complaints and any underlying
issues. Plan actions to remove these and prevent future recurrence.

 All complaints should be reviewed monthly as part of the SLA/CSAT review

meetings.
 Any complaints where action can be taken to avoid recurrent must be acted upon
and raised with the appropriate managers/teams across the organisation.
 Company X
DRAFT Complaint Handling Procedure

Complaint logging form/screen

Key Details required

Raised by Company X staff member receiving and

logging the complaint

Date Date and time received

Complaint Code Classification of complaint type TBD

Complaint Reference No. System generated

Customer Name Customer Name

Customer Address Customer Address

Customer Contact number Customer Contact number

Service Contract type Customer’s current contract (if any)

Product or service referred to Fault or PM

Description Description of complaint – details

Business Impact Description of impact on customers

business/operation

Priority Complaint priority

1 – urgent
2- non-urgent

Acknowledgement Date letter sent

 Company X
DRAFT Complaint Handling Procedure

Owner/assigned to

Corrective action/resolution Details of findings and proposed solution

Resolution confirmed by Date and owner

Customer Contacted Date and owner

Customer Followed up Date and owner

Key Issues identified

Long term actions required

Issues and actions accepted – Date and owner

SAL/CSAT team
 Company X
DRAFT Complaint Handling Procedure

Acknowledgement letter

Dear

Thank you for contacting us today with your complaint/problem.

We are sorry that you have had to do this and apologise for any inconvenience this
has caused you.

We view complaints as positive and helpful feedback and will do everything we can
to resolve this fairly and quickly to your satisfaction.

We aim to respond to you within 3 days/2weeks with a suitable resolution.

Should you need to contact us again regarding this matter, your reference number is
xxxxxxxx.

I look forward to reaching a suitable resolution to this matter and thank you again for
taking time to raise this with us.

Yours

(Owner)
 PORT BYRON FIRE DEPARTMENT
STANDARD OPERATING PROCEDURE

APARATUS DRIVING POLICY GUIDELINES

The Port Byron Fire Department has established this emergency vehicle driving policy to train
new members and to re-certify current members. The Department encourages each and every
member to apply for drive privileges. The PBFD must have a S.O.P. to protect our members and
the public from careless or inexperienced drivers. It also protects the department from the heavy
cost of litigation and apparatus replacement. Remember, Most accidents occur at intersections or
as a result of excessive speed. Safe arrival to an emergency scene is top priority for the apparatus
operator. State and local driving laws refer to emergency vehicles as well.

1 DRIVER QUALIFICATIONS
 Age and Experience: A new member of P.B.F.D. shall be a minimum age of 18 to begin entry-
level training as a driver for emergency apparatus under 16000lbs. After Successfully completing
operator II, they then may begin training for operator I, emergency apparatus over 16000lbs.
Current members of P.B.F.D. may qualify for operator I certification to operate emergency
apparatus over 16000 lbs gross weight. Due to the heavy stress related to emergency vehicle
driving, a person should have at least 2 years normal driving experience before being permitted to
operate emergency vehicles. New members with a current Illinois class “A” license may begin
training for operator I, “engine and tanker operator” immediately as training occurs.
 Past Driving Record: A person’s previous driving history that has been found to be in good order,
including accident history, shall be able to apply. All certified drivers would have their driving
records reviewed at least annually.
 Driver License: Any candidate for driver will present a currently valid driver’s license. After
completing the driver’s class with a passing score they shall receive a drivers license that is of
adequate classification to meet state law. A photocopy of the license will be maintained in the
potential driver’s file. Upon expiration, the driver will be required to present the new license for
copy and filing.
 Physical Condition: All drivers must meet the minimum physical requirements by the State of
Illinois to determine that an operator is fit to perform driving duties.
 Any driver found to be under the influence of alcohol, drugs, etc. While operating an emergency
vehicle will be turned over to the proper authorities for prosecution.

2 DRIVER TRAINING
Procedures for training and testing drivers for “operator I”, and “operator II”, certification are as follows.
At a minimum, each driver candidate will:
 1. Pass a written test covering organization guidelines for driving, knowledge of response area, local
and state laws applicable to driving emergency vehicles, and general information regarding the
vehicle.
2. Complete an Emergency Vehicles Operators Course (EVOC) that is recognized by P.B.F.D.
3. Actually drive the vehicle several times with an experienced driver along. Initially, driving will
take place in an empty parking area. Only after the experienced driver feels that the candidate is
able to handle the vehicle properly will they be permitted to operate on public roadways. The
candidate will be required to train on all different types of roads within the response area including
residential roads, commercial areas and limited access highways.
4. Pass a final road test, which includes turning, backing, distance and clearance judgment, braking,
parking, turn-arounds and operations on a roadway in the response area. Knowledge of dashboard
gauges and warning lights should also be tested.
Maintenance and refueling are part of a driver’s normal duties; the practical test will include these
subjects as well.
5. Candidates will be tested on the proper operation of engine retarders and to demonstrate when to
use these items.

3 VEHICLE OPERATION

P.B.F.D. vehicles should never operate “Lights and Sirens,” {often referred to as “Code 3”or “Hot,” or any
other verbiage used locally for emergency response}, unless they are responding to a true emergency and
then, only with due regard for other vehicles. Remember, you are asking permission from the motoring
public to circumvent traffic laws while responding to an emergency.

TRUE EMERGENCY; A situation in which there is a high probability of death or serious injury to a citizen,
or the loss of property and action by an emergency vehicle operator may reduce the seriousness of the
situation.

DUE REGARD: Driving in such a manner so as to avoid any predictable collision.

The P.B.F.D. has developed individual standards covering such items as safe driving during both
emergency response and non-emergency travel. These standards always emphasize that the safe arrival of
the apparatus to the emergency scene is the first priority. Items listed here include specific criteria
regarding vehicle speed, crossing intersections, transversing railroad grade crossings, and the use of
emergency warning devises.

Before any operation, the operator is required to:

1. Check around the vehicle to see that there are no obstructions, all compartment doors are shut,
clearance is adequate, and electric cables and exhaust connections are off or ready to self-detach.
2. Ascertain that all passengers are seated and secured with seat belts.
3. Turn on lighting appropriate for the exterior light conditions, although it is recommend that the
headlights be utilized at all times while the vehicle is in motion.
4. Before backing, a spotter must be in place to assist. No vehicle should be moved in reverse
without a competent spotter in place.

During non-emergency travel:

1. Drivers should obey all traffic control signals, speed limits, and rules of the road of the jurisdiction
involved.
2. Emergency warning lights should not be on. If permitted by law, warning lights may be
illuminated while backing into quarters for safety purposes.
3. No audible signals should be used except for the horn in an emergency.
 4. Fire apparatus responding to move up/fill in assignments shall respond as a non-emergency (no
lights no siren) call.
5. During practice training exercises, fire apparatus being used as water supply/tanker duties shall
operate as a non-emergency vehicle while traveling to/ from source to port-a-tank.

During emergency response:

1. Drivers, while responding to an emergency MUST STOP should they happen to come upon any of
the following;
 When directed by a law enforcement officer
 Red traffic lights
 Stop signs
 Negative right-of-way intersections
 Blind intersections
 When the driver cannot account for all lanes of traffic in an intersection
 When any intersection is not completely clear of traffic or pedestrians
 When encountering a stopped school bus with flashing lights

They should bring the vehicle to a complete stop and proceed only when safe.
2. Drivers should proceed with caution through all intersections. They should bring the vehicle to a
complete stop at all red lights and stop signs. Only when the driver can account for all lanes of
traffic may the driver proceed.
3. Vehicles should not attempt to circumvent any traffic law without the use of audible and visual
warning devices.
4. Extra space should be maintained between two emergency vehicles traveling in the same direction.
Traffic will likely begin to move after the first vehicle has exited the intersection, making it
imperative for the second vehicle to come to a complete stop. Personal owned vehicle’s (P.O.V.)
following should be discouraged for this same reason.
5. P.O.V. responding with blue lights is not considered an emergency vehicle and must follow all
traffic regulations.
6. Fire tanker speed during an emergency response will not exceed the posted speed limits.
7. Fire apparatus being used as tanker duty/water supply will use lights and siren to and from water
source.
8. The PBFD recommends the apparatus may travel no more than 10 M.P.H. over the posted speed
limit. Exceeding the limit is based on operator judgment considering; traffic conditions, time of
call, weather conditions, road surface, type of apparatus and due regard for the safety of all
persons and property.

4 ACCIDENT PROCEDURES
No matter how comprehensive the driver policy is, accidents still do occur. What happens immediately
following the accident is extremely important to the final outcome of the accident. Therefore, accident
procedures are as follows. Specific procedures are established as to what to do in the event of an accident.
 Responsibilities at the accident scene:
1. Stop and investigate immediately.
2. Check for injuries of members and civilians.
3. Notify dispatch of the accident with location, number, type and extent of injuries, any
need for additional units, police and the predetermined organization supervisors
designated to be called. Protect the incident scene with warning devices to prevent
additional damages or injuries.
4. Do not move the vehicles until the police have arrived. If the emergency vehicle must
leave the scene, at least one person should remain.
 5. Do not discuss the accident with anyone other than the police.
6. Obtain names and addresses of witnesses.
7. Photos should be taken if possible.
8. Complete an on-the-scene accident report form.

 After the accident:

1. The organization’s insurance provider should be notified as soon as possible.
2. The crew will be debriefed and complete reports.
3. The driver will complete all reports mandated by law, the department, and the insurance
company.
 Accident Review Board:
The Port Byron Fire Dept. accident review board is made up of the Fire Chief, training
officer, and a third party to be appointed by the Chief which may or may not be a
member of the department (i.e. Chief of Police).

5 GENERAL SAFETY RULES

The following are general provisions of the driver policy:

 All persons shall be seated and belted before the vehicle is placed in motion. Members are not
allowed to don callout gear while vehicle is in motion.
 Releasing seat belts while the vehicle is in motion should not be permitted for any reason.
 All vehicles will be inspected at least monthly, as well as within 24 hours after use or repair, to
identify and correct unsafe conditions.
 The policy has procedures for reporting an unsafe condition and declaring a vehicle out of service.
 Persons other than members should not be permitted to ride on vehicles.
 The driver should not be responsible for operating the radio while the vehicle is in motion.
 If the apparatus runs off the pavement, stay off, slow down, then pull back onto the pavement.
 Tankers should travel with a full water load or completely empty, even with baffled tanks.
 When at the emergency scene, only necessary vehicle warning lights should be left on. Headlights
should always be turned off while parked.
 Upon arriving at the emergency scene, the operator of the engine will remain with the unit to be
ready for pump operations, unless ordered to other duties by the commanding officer and a
qualified person will take there place.
 Driver performance drills will be used so members can show they can execute their duties in an
able, consistent manner. This program and drill will be held annually so members can re-certify.

PORT BYRON FIRE DEPARTMENT

120 SOUTH MAIN STREET
PORT BYRON, ILLINOIS 61275
Rev.8/25/05 309-523-2511, EMERGENCY 911
 SALES
REPRESENTATIVE
MANUAL

A GUIDELINE FOR ALL SALES REPRESENTATIVES TO

EFFECTIVELY APPLY SELLING TECHNIQUES & TOOLS IN ORDER
TO ACHIEVE SALES OBJECTIVES AND PROFITABLE GROWTH.

© Copyright 2003, Nestlé Switzerland

This document is for internal use only. Its contents may not be divulged to third parties
under any circumstances.

SALES PROCEDURE MANUAL February 2003 Page 1

 Table of Contents

1. INTRODUCTION ................................................................................................................. 3

2. OBJECTIVE ....................................................................................................................... 3

3. THE SALES REPRESENTATIVE ROLE IN NESTLÉ SUISSE ............................................................... 4

4. WORK ORGANISATION ........................................................................................................ 5

5. SALES PROCEDURES ........................................................................................................... 6

5.1. VISITS PLANNING AND PREPARATION ..................................................................................... 6

5.1.1. Planning Procedures ................................................................. 6

5.1.2. Visit Preparation ..................................................................... 7
5.1.3. Visit Requirements ................................................................... 7
5.2. IN STORE PROCEDURE ........................................................................................................ 7

5.2.1. Announce yourself and make initial contact ..................................... 8

5.2.2. Identify in-store opportunities..................................................... 8
5.2.3. Discuss with Buyer ................................................................... 8
5.2.4. Sell and influence orders ........................................................... 8
5.2.5. Take Orders ........................................................................... 9
5.3. POST VISITS PROCEDURE ................................................................................................... 10

6. ANNEXES........................................................................................................................ 11

6.1. PLANOGRAM IMPLEMENTATION GUIDELINES ................................................... 11

6.2. RETURNS AND RECALL PRODUCTS............................................................. 13
6.3. EXPENSES .................................................................................... 15
6.4. MSA PROCEDURES ........................................................................... 16

SALES PROCEDURE MANUAL February 2003 Page 2

 You have chosen to make a career with The World’s Largest Food Manufacturer, and
specifically within the important area of sales!

At NESTLÉ we have a commitment to ensuring our staff enjoy and succeed in their jobs.
For this to happen you need to be fully informed and trained about our Company and its
products

Information or knowledge is power in the hands of a sales person. Without information

you cannot sell!! We want you to enjoy your chosen career, but you will only enjoy selling
if you become knowledgeable and skilled as a professional Sales Representative.

As a Nestlé Sales Representative you will need to know various details about sales
procedures and our policies.

1. Introduction

This manual will assist you in delivering the expected level of service and serve as a
reference tool for everyday use. It describes our “ go to market” practice and serves as
the reference document for all sales personnel when dealing with our customers.

The purpose of this document is to assist and enable us to apply the best selling practice
in order to:

 Have an effective utilisation of sales resources

 Standardise best practice across Nestlé sales forces

2. Objective

The objectives of this selling manual are to:

 Provide you the Nestlé Sales Representative with a guideline to Nestlé sales
procedures.
 Assist all sales staff to achieve their respective sales objectives

SALES PROCEDURE MANUAL February 2003 Page 3

3. The Sales Representative role in Nestlé Suisse

NESTLÉ’s success as a Company is directly related to the effectiveness of the Sales Team.
As a member of that Sales Team you have a crucial role, which influences both the
security of the Company and its employees.

All this may seem an incredible responsibility. It is!! But selling can also be a lot of fun. It
is a challenge to manage your sales territory effectively, and a great satisfaction to
achieve your goals and objectives by using your acquired knowledge.

Your main responsibilities are related with the following areas:

 Sales Performance
o Achievement of agreed sales target/objectives for the defined
territory/accounts which are set by your direct manager
o Execute Seasonal Presales and take regular orders when required
o Sell promotions/sampling/tasting/displays to appropriate customers
o Ensure that wholesalers provide an appropriate service to the customers
o Control merchandiser work
o Maintain good relationship with customers

 Product Range Performance

o Ensure presence of Nestlé products according to listed items per store within
the agreed timeframes.
o Ensure that planograms are implemented and take corrective actions.
o Check that all Nestlé products are priced correctly.
o Check that the stock is rotated by date and promotion to ensure that FIFO (First
in First Out rule) is respected.
o ATC (Alternative Trade Channel team) has specific measurements of AVA
(Availability, Visibility and Accessibility) to be implemented.

 Competitor/Market Information
Provide Head Office with information on potential new customer, new store
opening and competitors’ activities (promotions, price changes)

 Return/Bad Goods
Manage returns according to the specific category guidelines.

 Administrative
o Plan journey
o Propose amendments to visit frequencies to Field Sales Manager
o Update customer information in the Mobile Sales Application (MSA)
o Prepare and send expense report
o Manage the stock of products to be exchanged or given as free samples
o Preparation for sales meetings
o Provide all relevant or requested reports to HO

SALES PROCEDURE MANUAL February 2003 Page 4

4. Work Organisation

Daily organisation
A total of 8.25 hours per day has to be performed and it is up to you to organise your day
accordingly (Please refer to the Human Resources guidelines)

Weekend and holidays

Work on Weekends and holidays can be asked in specific cases when a promotional event
is being made. In these cases the authorisation of the CVR is required. For these special
cases each day of work during weekend and/or holiday will be compensated with one
day off during the two subsequent months.

Absences
Each absence that is not motivated for professional reasons has to be communicated as
soon as possible to the CVR.

Illnesses, accidents or other non-expected events must be communicated immediately to

the CVR and/or sales support. When an absence is for more than three days a formal
declaration is required.

Car & Other materials

As a Sales Representative you are provided with:
 Car
 Laptop with the Mobile Sales Application (MSA) software
 Portable phone
 Fax machine
 Camera

For these items there are specific guidelines and instructions, make sure that you fully
understand their content and implications.

SALES PROCEDURE MANUAL February 2003 Page 5

5. SALES PROCEDURES

The sales procedures are described in three main steps:

Visits
Planning In Store Post Visits
and Procedure Procedure
Preparation

5.1. Visits Planning and Preparation

To ensure you achieve your sales objectives assigned by management you must plan out
how you will achieve them through effective planning procedures

5.1.1. Planning Procedures

It is extremely important that you use the time spent with the retailer constructively.

Therefore, being effectively prepared in what you present in terms of products becomes
very important if you are to achieve your sales objectives.

Sales period planning

1. Review Activity Schedule based on the Sales Period documentation provided in the
sales meeting (Cycle Plan)

2. Break down your sales period objectives (Pre-sales) by outlet.

There are clear expectations of merchandising actions in ATC territories. Break down
your sales period merchandising (AVA) objectives by outlet.

3. Analyse activities to be performed to achieve objectives

- Sales and Pre-sales programme
- Promotion programme
- Control activities in the store
- Identify routine activities to be included

4. Discuss with your CVR any potential problems that you foresee in the
activities/objectives to be accomplished.

Weekly/Daily planning

5. Enter the weekly plan of visits into MSA the Friday before the commencing week

6. Review and update this plan on a daily basis before you start your visits.

7. Review Store Activity on your MSA and set store objectives based on sales period
activity. These objectives include:
- Achievement of assigned Pre-sales

SALES PROCEDURE MANUAL February 2003 Page 6

 - Distribution (i.e. presentation of new product)
- Placement (i.e. planogram proposal)
- In ATC the core range distribution & placement will be the priority.

8. Review the results on a daily and weekly basis by comparing them back to the sales
objectives and the visits planned for the period.

5.1.2. Visit Preparation

To be successful you must plan what you are going to do before you walk into the store.

Before you enter a store, set clear objectives that you can measure your success against.
Write them down and cross them off as you cover them with the buyer. (Going in to
merchandise or say hello to a buyer does not constitute a clear objective!) However, in
the ATC channel where merchandising is the priority you will need to incorporate these
actions into your plan.

Remember: “If you go in with nothing and come out with nothing, then you have
achieved nothing”.

5.1.3. Visit Requirements

It is imperative that you are fully prepared with the right equipment to achieve your
planned objectives. Checklist:

 * MSA
 * Presenters (sales folders, samples, Nielsen data, planogram proposal, etc.)
 * Promotional Programme
 * Stickers ½ Price
 * Price List
 * Sticker Free Samples
 Order Forms
 Product Information/Merchandising Manuals
 Planogram Requisitions
 Mobile (with combox set)
 Camera
 Merchandising Equipment - knife, staples, etc.
 POS material
 Car stock – The 5 core products for ATC.

*Items to be taken in to Visit.

5.2. In Store Procedure

This section will go over all in-store procedures that you will encounter as a Sales
Representative for Nestlé. To assist you in achieving your overall objectives the following
approach is recommended:

 Announce yourself and make initial contact

SALES PROCEDURE MANUAL February 2003 Page 7

  Identify in-store opportunities
 Discussion with buyer
 Sell and influence orders
 Take Orders

5.2.1. Announce yourself and make initial contact

Sign in or announce yourself in every store you visit. If you have the opportunity, make
initial contact with the decision maker so that he knows you are working in-store

5.2.2. Identify in-store opportunities

Make sure that you evaluate the potential of the opportunities in the outlet and then
identify specific issues by checking the following:

 Walk the store to enable you to spot activity from other manufacturers, changes
being made in the store layout (or additions such as wine bays, delis) and areas of
opportunity for Nestlé.
 Identify shelf/distribution opportunities
 Analyse the competitors positioning, check their products performance against your
core range.
 Check shelf layouts, price tag/stickers, filling, facing up, stock rotation.
 Check storeroom - stock levels and credits
 Check possible returns and establish relevant credit notes according to guideline in
Annex 6.2

5.2.3. Discuss with Buyer

May include:
 Store trading environment / Competitor information
 Placement of ATC core range at Hot Spot
 New product presentation
 Booking displays - presales
 Complete/suggest order
 Following up on issues e.g. deliveries, returns, claims & queries.

5.2.4. Sell and influence orders

In every visit the sales representative should be attempting to gain increased distribution
of the Nestlé portfolio of products. The steps in gaining new distribution should be as
follows.

SELL CURRENT SKUs.

 Getting orders for the current range and selling “easy” SKUs (current stocked range and
absent “must”) will create an atmosphere of cooperation. As you and your buyer get to
know each other, the more he will trust you and will progressively let you suggest or

SALES PROCEDURE MANUAL February 2003 Page 8

 even decide alone on quantities to order and new SKUs. You must build this relationship
with patience and perseverance, as it is the key to successful selling.
 This step consists in getting the buyer to repeat the purchase of SKUs he has already
ordered in the past. This includes of course “must “ and “priority” SKUs. It is an easy
step but a very important one.

SELL ABSENT “RELEVANT” SKUs

 If the store does not stock all the “relevant” SKUs according to the outlet potential,
then you must attempt to sell them.
 It’s vital that you use the product catalogue/MSA /store specific information as a tool
to help sell these SKUs!
 Start by offering the identified Nestlé “relevant” SKUs that the buyer should have
ranged. Focus on the benefits the buyer will have if they stocks the SKU in order to
convince him. If the buyer interrupts you with any question (what is the price?), then
he is showing interest and is almost ready to order.

SELL NEW PRODUCTS, DISPLAYS AND SEASONAL SKU’s.

 New products, dısplays and seasonal sku’s are sold after you are done with the standard
range. Natural curiosity makes it easier to sell them so leave them for the end.
 It is important for the company to distribute new products rapidly so make sure you
insist on having them stocked by the buyer by using the right arguments.
 Exploit the curiosity effect to create suspense and then show-off the novelty features in
an attractive manner. Using materials such as sales folders and samples if available will
guarantee you get an order.

5.2.5. Take Orders

In Nestlé Suisse we manage four types of orders:

1. Customer orders: Our customers place their orders by themselves. In this case your
role as sales representative is to influence customer orders.

2. Indirect orders: Customers place orders through the distributors. You can record
these indirect orders into MSA if the distributor is linked with Nestlé or write these on
the order pad of the distributor.

3. Direct orders: you place the orders directly in your MSA (direct Sales or Presales).

4. Off Car orders: In ATC Channels it may be necessary to also sell core range product
‘ off car’. This facility should be used when an immediate AVA solution can be
actioned.

The purpose of the order it is not only to push for big quantities but also to recommend a
balanced assortment that maximises the opportunities of both Nestlé and the customer.

This is particularly important in the case of promotions based on price reductions. So that
we can avoid selling quantities that will not be purchased in the promotional period.

SALES PROCEDURE MANUAL February 2003 Page 9

Direct orders are delivered free into store for orders worth more than CHF 300.
In the case of order of less than CHF 300 an additional fee of CHF 50 will be
charged to the customer.

An additional 20% increase in the price list will be charged for non-strategic
customers for the Chocolate division. In the case of the Alimentation division
the percentages will vary depending on the product group and the customer
profile.

5.3. Post Visits Procedure

Between Visits

All remaining administration should be completed following each Visit. Once you have
exited a Visit you should action:

 Orders - if they were not completed in the store

 Update customer information – incl. confectionery turnover in ATC
 Complete market information form to capture competitor’s activity and send it to
the predefined distribution list.
 Diarise any additional follow up required in Outlook task manager.

End of the day tasks

 Refresh the free stock

 Forward appropriate administration such as expense reports by stipulated
deadlines.
 Input returns
 Transfer orders and all other information via MSA.

SALES PROCEDURE MANUAL February 2003 Page 10

6. ANNEXES

6.1. Planogram implementation guidelines

To plan and implement a planogram you can follow this approach:

Planning and Presenting a Planogram

 Where possible, complete planograms on the spot
 Utilise Nielsen and/or store specific data
 Where applicable, utilise specific planogram guidelines
 It is imperative that you gain commitment to maintain the agreed planogram to
avoid unnecessary expense to Nestlé.

Evaluate layout opportunities and set targets

As a Sales Representative, you must be at all times, looking for ways to improve the
position of Nestlé products on the shelf. Therefore, these are some specific points to take
in to account:
 Maximise facings
 Target competitor products for deletion
 Position next to the market leader
 Position at the traffic entry to the section (although avoid first bay in the aisles)
 Away from housebrands
 At eye level or close to it
 Using all company POS material

Prioritise Your Targets

 Select the most important improvements
 Plan alternatives for each of these
- alternative lines to move
- alternative positions on shelf

Now Get the Manager/shop owner to the Section/Shelf

 Sell the benefits
- Greater brand impact
- Improved shelf appearance
- Sales/market shares reflected on shelf makes it easier for customers to find
preferred brands
- Improve stock-turns
- Less out of stocks

SALES PROCEDURE MANUAL February 2003 Page 11

 - Time and money saved in shelf filling
- More profit
 Handle his/her objections (revisit benefits)

Carry Out the planogram

 Get the Manager/Shop owner to give commitment to the planogram

- Carry out any small changes he/she requires on the spot
- Once he/she agrees it, it is his/her planogram and the opposition will have
difficulty changing it
 Stress that we will maintain the planogram.
 If a Merchandiser is going to carry out the planogram make sure that you give
him/her adequate training.

Please refer to the merchandising guidelines for the Chocolate division and to the
existing planograms for both divisions.

SALES PROCEDURE MANUAL February 2003 Page 12

 6.2. Returns and recall products
Credited Stock guidelines (Chocolate)
Version 01.01.2002
1. General
a. 100% credit: to all products returned before the 8 consecutive days of the
invoicing date. Apply only to not damaged complete selling units.
b. 50% credit: products returned more than 8 days after the invoicing date.
Apply to those articles that they have at least one month of life prior the
expiration date.
c. NO credit:
i. To the articles returned with less than 1 month of the expired date
ii. For products identified with a special custom made label

2. Seasonal articles
a. Credit note of 50% of the value for specific Christmas products returned
after Christmas
b. No Christmas returns accepted before Christmas
c. No returns of products with a special packaging
d. Credit note of 50% of the value for specific Easter products returned after
Easter. All these returns must be authorized.

Credited Stock guidelines (Alimentation)

Version 21.01.1999 TO BE UPDATED
Retailers

In the case that there is a large quantity of stock, 2 month before the expiration date the
SR can give a rebate to a maximum of 50% of the normal price.

2 weeks before the expiration date all the products Maggi, Thomy, Coffee, Stalden,
Nesquick, Cereals must be retired from the shelves.

All the products with their packing are damaged must be retired and they will be credited
100%.

Warehouses/Distributors
All the products that are in the warehouse with expiration dates: 6 months for Coffee, 4
months for Maggi and 2 months for Thomy must be distributed immediately to the shops.
If it not possible the RSM has to inform immediately to the NSM.

Returns procedures
As a general rule, all the products are exchangeable for the identical ones based on
normal selling prices if their amount that not surpass CHF 150.

In the case that the returns exceed the CHF 150, it must be made through a MSA credit
note. When the amount is superior to CHF 400 the RSM must be informed.

SALES PROCEDURE MANUAL February 2003 Page 13

Deduction over products returned
In the case of retailers the returned products value is compute by deducting 20% of the
normal price established in the price list.

Recall Procedures

In the event of product recall, the sales staff must assist with their expert knowledge in
the field. Recall at different levels and the role of sales staff in the procedure must be
understood.

Immediate action and knowledge of product coding is required for effective recall at any
desired level.

SALES PROCEDURE MANUAL February 2003 Page 14

 6.3. Expenses
These are to be written out in duplicate (one copy to be sent to the Sales Support and one
copy as a record). The original invoices and the expense form must to be sent to Sales
Support by the end of each month.

All expenses claimed for under expense sheets must be supported by receipts.

Expenses guidelines
1. Work on the field
Daily allowance: Lunch, Parking, Phone calls CHF 37
In the case of invitations (buyers, etc) authorized by CVR the CHF 20
daily allowance is:
(Authorized customer invitations will be reimbursed by presenting
the invoice)
2. Dinner CHF 22
After 20 :00 or when staying overnight the diner allowance is:
3. Hotel room costs will be reimbursed 100% with the proper
invoice
4. Daily allowance for half a day is: CHF 20
5. Conference and seminars daily allowance is: CHF 7
6. CAR EXPENSES Paid by Nestlé
 Car Wash: CHF 33 per month with the exception of
 Garage: CHF *100 per month private kilometres
 Parking: CHF *50 per month
*In any case the maximum allowance is CHF 150
7. Telephone /Fax/Natel Paid by Nestlé
8. Sales Rep garage/storage room use it as Nestlé depot CHF 80 per month
(Alimentation)

SALES PROCEDURE MANUAL February 2003 Page 15

6.4. MSA Procedures
MSA basic functions are mentioned below but for full information, refer to the MSA
procedures that you can find in the Quick Reference Guide (QRG) of the Globe site or you
just can click in the link provided. For additional support in the MSA procedures please
contact the Service Desk at the extension 5501 or fill the appropriate form in the Globe
site.

Regarding to the Care and use of the DELL laptop please refer to the user manual for the
care and security of the computer

Create a New Customer

Add new customer prospect in the SAP customer database.

Control customer status

Show activities planned for a specific customer.

http://intranet.nestec.ch/Globe/upload/indexable/Suisse/go_live_support/QRG/GD/FR/
MSA/contrôle%20du%20statut%20client.ppt

Customer visit preparation

Record and plan a specific sales visit in the system. That includes date of the visit,
activities to be performed and specific issues to be addressed.

http://intranet.nestec.ch/Globe/upload/indexable/Suisse/go_live_support/QRG/GD/FR/
MSA/préparer%20une%20visite%20client.ppt

Order heading
Record customer information and how the order was captured (i.e. telephone or fax).

Direct Orders
Record orders to be delivered directly from Nestlé warehouses to the customer.

http://intranet.nestec.ch/Globe/upload/indexable/Suisse/go_live_support/QRG/GD/FR/
MSA/passer%20une%20commande%20directe.ppt

In-Direct Orders
Record orders to be re-transmitted to a wholesaler/distributor for delivery.

http://intranet.nestec.ch/Globe/upload/indexable/Suisse/go_live_support/QRG/GD/FR/
MSA/passer%20une%20commande%20indirecte.ppt

Pre-sales In-Direct Orders

Record Pre-sales orders to be re-transmitted to a wholesaler/distributor for delivery.

http://intranet.nestec.ch/Globe/upload/indexable/Suisse/go_live_support/QRG/GD/FR/
MSA/passer%20une%20commande%20indirecte%20de%20préventes.ppt

SALES PROCEDURE MANUAL February 2003 Page 16

Customer Claims
Register a claim in the system and facilitate its follow up by assigning it to a specific
responsible.

http://intranet.nestec.ch/Globe/upload/indexable/Suisse/go_live_support/QRG/GD/FR/
MSA/créer%20une%20réclamation.ppt

Returns
Register a return in the system by creating two separate MSA documents. One document
will register the return and the other will define the curse of action to manage it.

http://intranet.nestec.ch/Globe/upload/indexable/Suisse/go_live_support/QRG/GD/FR/
MSA/faire%20une%20demande%20de%20retour%20sans%20référence.ppt

SALES PROCEDURE MANUAL February 2003 Page 17

 SMALL BUSINESS ADMINISTRATION
STANDARD OPERATING PROCEDURE
National

SUBJECT: S.O.P. REV

Warehouse Management
00 09 3

INTRODUCTION

1. Purpose. To establish policy for the Warehouse Management Program. To create guidelines and procedures for warehousing and
ordering forms, publications, and SOPs.
2. Personnel Concerned. All Headquarters and field personnel involved in the management, ordering, and storing of materials in the
PSC warehouse.
3. SOP Canceled. SOP 00 09 2, dated 11/24/97.
4. Originator. Office of Administrative Services, Office of Administration.

AUTHORIZED BY: EFFECTIVE DATE

April 20, 2001
Thomas A. Dumaresq PAGE
Assistant Administrator 1
for Administration
SBA Form 989 (5-90) Ref: SOP 00 23
Federal Recycling Program Printed on Recycled Paper

This form was electronically produced by Elite Federal Forms, Inc.

 00 09 3

Table of Contents

Paragraph Page

Chapter 1 General Information About the Warehouse Management Program

1. What is the Purpose of this SOP? 5

2. What Law Governs the Warehouse Management Program? 5

3. Who is Responsible for Managing the Warehouse Management Program? 5

4. What is the Function of the Inventory Manager? 5

5. What is the Program Support Center (PSC) and What is the Agency’s
Relationship to It? 6

6. Who is Authorized to Order Materials from the PSC? 6

Chapter 2 How to Place an Order Electronically at the PSC

1. What is Needed to Place an Order Electronically at the PSC? 7

2. What is a Username and Password and How Do I Get One? 7

3. How is an Order Placed Electronically? 7

4. What if the Material Isn’t in Stock? 8

5. What if I Need to Check the Status of My Order or Make a Change Electronically? 8

6. How Long Does it Take to Receive an Electronic Order? 8

Effective Date: April 20, 2001 Page 3

 00 09 3
Chapter 3 Frequently Asked Questions

1. How Large a Supply Should an Office Keep on Hand? 10

2. How are Emergency Orders Processed? 10

3. Who Receives the Shipment? 10

4. How Can I Make Suggestions or Complaints? 10

5. How Can Financial Institutions Order Material Directly from the PSC? 11

6. Is There a Charge to Order Material from the PSC? 11

7. Can Orders be Mailed to PSC? 11

Effective Date: April 20, 2001 Page 4

 00 09 3

Chapter 1

General Information About the Warehouse Program

1. What is the Purpose of this SOP?

The purpose of this SOP is to provide the guidelines and procedures for the Agency’s
warehouse management program. This SOP covers:

a. Guidelines for managing the warehouse program; and

b. How to order forms, publications, and SOPs.

2. What Law Governs the Warehouse Management Program?

The Federal Property Management Regulations, 41 CFR, Part 101-28-Storage &

Distribution.

3. Who is Responsible for Managing the Warehouse Management Program?

The inventory manager in the Office of Administrative Services (OAS).

4. What is the Function of the Inventory Manager?

The inventory manager in OAS:

a. Serves as the liaison between the Program Support Center (PSC) and SBA to
resolve any problems or clarify issues;

b. Monitors the stock levels at the PSC and keeps all warehouse material fully
stocked; and

c. Maintains the list of all SBA warehouse contact people and their customer
username and passwords.

Effective Date: April 20, 2001 Page 5

 00 09 3

5. What is the PSC and What is the Agency’s Relationship to It?

The PSC is a warehousing facility run by the Department of Health and Human Services
(HHS). It services more than 12 Federal agencies.

SBA contracts with the Department of Health and Human Services to house all of our
warehoused materials at the PSC. Orders are placed directly to the PSC.

6. Who is Authorized to Order Materials from the PSC?

Any SBA employee or outside entities may place an order. The proper username and
password is required.

Effective Date: April 20, 2001 Page 6

 00 09 3

Chapter 2

How to Place an Order Electronically at the PSC

1. What is Needed to Place an Order Electronically at the PSC?

a. Access to the web

b. Web site: http://propshop.psc.gov

c. Username and password

d. SBA new users instructions are listed on the home page

2. What is a Username and Password and How Do I Get One?

To order materials from the PSC warehouse you must have a username and password.
This enables the PSC and the inventory manager to keep track of usage of materials. The
inventory manager in OAS assigns a username and password to each office. There is
one generic username and password for all outside entities.

3. How is an Order Placed Electronically?

a. Proceed to the web site: http://propshop.psc.gov

b. Once in the home page, shown on the right is a large wheel with various options
listed. Click on “forms & pubs.”

c. You will be prompted to search all agencies. Use the drop down box and select
“SBA”, then click on “search.”

d. You will be prompted to enter your username and password (lower case), then
click on “submit.”

e. You will now be at the ordering process to search by product ID or search by

description. If you know the item number, enter it under product ID. The pre-fix
is not required, only the number. For example to search for item FS-0009 under
product ID only enter 0009. To search by description only give a brief
description of the title.

Effective Date: April 20, 2001 Page 7

 00 09 3

f. Click on “search” once you have selected the item then enter the amount you want
to order and click on “order.”

g. Your shopping cart lists all the items you have requested. You may continue to
order or finalize your order at this point.

h. To finalize the order, click on “finalize order” at the top of the shopping cart.
You will have the option to review or modify your order. Once you have
reviewed or modified your order, click on “finalize my order.”

i. You will now be asked to enter name, address, building and phone. When
prompted for payment method, please choose “Memo of Agree” (MOA).

j. Once order is finalized you will receive your confirmation order number. Please
make note of this number.

4. What if the Material Isn’t in Stock?

If the materials you have ordered are not in stock, you must reorder at a later date. No
items will be placed on backorder. (You may contact the inventory manager for a
scheduled delivery date at 202-205-6629.)

5. How Can I Check the Status of My Order or Make a Change Electronically?

Using the order number received when you finalized your order you may call the PSC at
301-443-7634 to check the status. To make changes to orders that have been finalized,
contact the PSC at the same number.

6. How Long Does it Take to Receive an Electronic Order?

A Headquarters request can be expected within 24-48 hours. Field requests can be
expected within 48-72 hours.

Effective Date: April 20, 2001 Page 8

 00 09 3

Effective Date: April 20, 2001 Page 9

 00 09 3

Chapter 3

Frequently Asked Questions

1. How Large a Supply Should an Office Keep on Hand?

Keep a 1-month’s supply of your office’s frequently used items.

2. How are Emergency Orders Processed?

a. Proceed with placing your request, through the Internet at

http://propshop.psc.gov

b. Contact the inventory manager with the order number and requested
delivery time. The inventory manager will then contact the PSC.

3. Who Receives the Shipment?

a. When you enter “finalize my order,” the system prompts you to enter a
name, address, and telephone number, if different than the originator. The
PSC sends all shipments to whatever name and address you entered.

b. If you are the receiving employee, check arriving shipments for shortage
or damage. Compare the shipping ticket enclosed with every shipment
against your order. If you find any discrepancies, report it immediately to
the inventory manager in OAS.

Effective Date: April 20, 2001 Page 10

 00 09 3

4. How Can I Make Suggestions or Complaints?

a. Contact the inventory manager in OAS; or

b. Contact the PSC through their home page web site to make suggestions
and comments.

5. How Can Financial Institutions Order Materials Directly from the PSC?

SBA approved lenders and all outside entities may order directly from the PSC
by using the on-line site at http://propshop.psc.gov . The generic username is
SBA and the password is field for outside entities. The password must be entered
in lower case.

6. Is There a Charge to Order Material from the PSC?

There is no charge to request material from the PSC.

7. Can Orders be mailed to the PSC?

The PSC does not accept any requests by mail.

Effective Date: April 20, 2001 Page 11

Standard Operating Procedure for the Supply of
Medicines to Patients in Residential Care
Settings/Nursing Homes

Purpose:
To set a standardised protocol of procedures to be followed for the supply of
medicines to patients in residential care settings/nursing homes.

Scope:
This SOP covers the supply of medicines to patients in residential care
settings/nursing homes from a community pharmacy.

Responsibility:
It is the responsibility of the supervising pharmacist to ensure that appropriate
steps are taken to ensure the supply of medicines to patients in residential
care setting/nursing homes.

Date of Preparation: Date of next review:

Prepared by:

Signature: Date review takes

place and initials
Version number:

This SOP has been designed to be used in a working pharmacy environment; however, we
recommend that the SOP is tailored to reflect processes in your pharmacy where appropriate. This
SOP is dynamic, and should be constantly updated when and where necessary. If no errors,
incidences or PSI recommendations occur a review may be carried out every six months starting
from the creation date. This review will update the SOP content and format with the goal to enable
reduction of error within the pharmacy.
Stage of Procedure Person
Responsible
Availability of Prescription

 Original prescription must be physically present in pharmacy

 All repeatable prescriptions are required to be in date

Emergency Supply

 Controlled drugs are not permitted for emergency supply (exception of

methylphenobarbitone, phenobarbitone or phenobarbitone sodium for
treatment of epilepsy)
 Routine emergency supply is not appropriate
 Medication cannot be dispensed from a fax/photocopy of prescription or
a kardex/medication chart

Controlled Drugs

Private Nursing Home

 Ensure valid prescription for named patient

Public Nursing Home

 Ensure valid prescription for named patient
OR
 Valid requisition signed by matron of nursing home and GP
employed or engaged in that home

Labelling of Medicines

 Gather relevant care home folder with valid prescriptions for each
patient
 Ensure all prescriptions have been received according to patient list for
care home
 Ensure correct items have been prescribed
 Confirm all new items/ changes and record in patient medication records
(PMRs)
 Print off labels and medication administration records (MARs) sheets
MARs sheets should include:
o Name
o Date of Birth
o Room Number
o Doctor
o Photo if possible
  All medicines are required to be labelled according to SOP for Dispensing
process
 Place copy of prescription, labels and MARs sheet with medications for
final check
 Dispense according to SOP for blister packing of medication

Review of Medicines Therapy

 Prior to dispensing of prescription review by the pharmacist with regard

to :
o Pharmaceutical appropriateness
o Therapeutic appropriateness
o Other medications used by patient

 On a three monthly basis the pharmacist should:

o Complete medication review form
o Review each medication including OTC medication with GP
and matron for interactions, contraindications, adverse
reactions, side effects, compliance and appropriateness of
medicines
o Record any changes or additional information
o Ensure form signed by all parties involved
o Update PMR on return to pharmacy if any changes

Patient Counselling

 Following review of medication patient should be counselled if necessary

 Supply patient with sufficient information on proper use and storage
supported by supply/availability of PIL

Records
 Offer to counsel patients in home
 Counselling visits made
 Retain record of visits in pharmacy for review
 Document counselling for each patient in patient folder in care home

Transfer of medicines to patients

 Delivery needs to be secure in appropriately sealed containers which are

tamper proof
 Confidential information needs to be safeguarded
 Ensure appropriate delivery of both fridge and controlled drug items and
that controlled drugs are appropriated receipted and accounted for
Records
 Obtain signature to indicate receipt of medications and retain in
pharmacy premises

Disposal of Waste
 Documented in returns log from care home
 Destroy on immediate return to pharmacy or store in designated area
until destruction. In this pharmacy the designated area
is:________________

Records
 Retain copy of returns log on pharmacy premises
 Make note on patient’s PMR if medication discontinued with reason if
known

Regulation 29 of the Health Act 2007 (Care and Welfare of Residents in Designated Centres for Older
People) Regulations 2013 deals with Medicines and Pharmaceutical Services and states:

1. The registered provider shall ensure, in so far as is reasonably practicable, that a pharmacist
of a resident’s choice or who is acceptable to the resident is available to the resident.

2. The person in charge shall facilitate the pharmacist concerned in meeting his or her
obligations to a resident under any relevant legislation or guidance issued by the
Pharmaceutical Society of Ireland.

3. The person in charge shall ensure that, where a pharmacist provides a record of medication
related interventions in respect of a resident, such record shall be kept in a safe and
accessible place in the designated centre concerned.

4. The person in charge shall ensure that all medicinal products dispensed or supplied to a
resident are stored securely at the centre.

5. The person in charge shall ensure that all medicinal products are administered in accordance
with the directions of the prescriber of the resident concerned and in accordance with any
advice provided by that resident’s pharmacist regarding the appropriate use of the product.

6. The person in charge shall ensure that a medicinal product which is out of date or has been
dispensed to a resident but is no longer required by that resident shall be stored in a secure
manner, segregated from other medicinal products and disposed of in accordance with
national legislation or guidance in a manner that will not cause danger to public health or
risk to the environment and will ensure that the product concerned can no longer be used as
a medicinal product.
I have signed to say that I have read and understood the Standard Operating Procedure to
be followed for the supply of medicines to patients in residential care settings/nursing
homes

Name Signature Date

 Vendor Guidelines & SOP’s
boom! LLC & Affiliate Companies
Purpose:
The intent of this document is to outline the Standard Operating Procedures (SOP) for all component /
raw material vendors conducting business with boom! LLC, and its affiliate companies Big Bang Studio
LLC, and New Sunrise Beauty Studio LLC.

This document will detail the vendor qualification procedure, quotation process, forecast review, boom
purchase orders, packaging requirements, QA requirements, shipping requirements and invoice
remittance process. It will also cover the procedures for mold/tooling PO acceptance and payment terms.

All vendors must follow these procedures to ensure smooth transaction, efficient material shipment,
goods receipt and timely payment of invoices.

Failure to comply with these procedures will cause delay in payment and potential financial penalty in the
event of breach of supply.

Any questions or for further information please contact boom!’s Purchasing Department. See Appendix A.

Quotation/RFQ Process
1. All vendors must use the approved boom! Request For Quotation form (RFQ) to submit all
quotations
2. Vendors must fill out all indicated fields. Failure to do so may void your RFQ. Minimum
information needed is: pricing, quantity breaks, minimum order quantity (MOQ), lead-times, daily
or weekly rate of production, tooling, and FOB point.
3. All molds and/or tooling quotations must be on this form also
4. Unless otherwise agreed to the terms and condition (ie. Annual pricing) will be enforced at all
times.
5. Any changes or modifications to a submitted RFQ must be approved by Purchasing.
6. All RFQ forms must be sent to the Purchasing as well as Packaging team.

Molds & Tooling:

1. All molds, decoration tools and fixtures must be quoted on our RFQ and must contain the proper
level of details (i.e. 2 molds x 6 cavities or 3 SS print plates etc)
2. All molds/tooling cost must be approved by boom! Purchasing and Packaging Departments.
3. boom!’s payment terms for all molds and tooling are as follows: Net 45 Days; 1/3 with start of
mold, 1/3 with unit qualification, 1/3 with completed qualified mold/tool, unless otherwise
specified.
4. Mold/tool pricing will be per RFQ, no other changes or modifications will be accepted, unless
previously agreed.

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 Vendor Guidelines & SOP’s
boom! LLC & Affiliate Companies
Copy, Print, Size Critical Component Vendors
1. Any vendor providing printed, copy or die cut components to boom! must provide blue
lines/proofs for approval by the appropriate Packaging Development Person.
2. Die lines must be submitted at least 3 weeks before production begins.
3. The Package Developer must provide an approved, signed and dated copy back to the vendor at
least 2 weeks before production begins.
4. It is the vendors’ responsibility to make sure they have the proper approval prior to starting
production. Any production made without proper approval will be the vendor’s responsibility.

Quality (Packaging Components except Corrugate)

I:\Quality
Assurance\CofC\MA
1. For each shipment to boom, a boom! Certificate of Conformity and 12 pre-
shipment samples of each component for each replenishment order are to be sent via overnight
delivery for QA release of the production shipment. The pre-shipment samples are to be sent to
the issuing purchasing agent for coordination with QA. It is the shipping vendor’s responsibility to
send CoC documents and pre-shipment samples in advance of shipments. These activities must
be scheduled in a timely manner to ensure goods are received on the requested PO delivery
dates. (A co-shipment sample may be sent if authorized by the Purchasing Agent.) All costs
related to the processing of CoC samples is a “cost of doing business” and must be covered by
your unit pricing to boom! Failure to submit a CoC document and samples may result in a
$250 charge back per occurrence
2. boom ICCL (Item Conformance Checklist) identifies the AQL levels and attributes that boom uses
to maintain acceptable quality and resolve disputes. See Appendix C.

Quality (Fragrance Oil / Solution / Raw Materials)

1. Fragrance House / Raw Material vendors will follow boom Product Development pre-shipment
approval process.

Regulatory
1. boom requires all vendors to comply with CONEG and Toxics in Packaging Clearinghouse
(TPCH) legislation for Heavy Metals in Packaging. Please reference Appendix E Heavy Metals
Certificate of Conformance on page 9 of this document.
2. When producing materials for boom licensed brands (Disney, Nickelodeon, etc) and sold through
Wal-Mart, for children age 12 and under, various test protocols will be required as part of the
development process. These tests will be outlined by Package Development for each project. It
is boom’s policy that the producing supplier is responsible to pay all outside testing costs. This is
a “cost of doing business” and is yours to bear.
3. Please refer to Appendix D for boom’s Restricted Substance List (RSL) for items that must not
be used in any boom packaging.

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 Vendor Guidelines & SOP’s
boom! LLC & Affiliate Companies
Domestic Logistics
1. Always contact Mode Transportation Services, 215-766-3080, Ursula DiCaro,
Ursula.dicaro@modetransportation.com to coordinate domestic transportation. Mode handles
domestic freight and from our suppliers to our contract manufacturers.
2. Suppliers can offer and utilize their own trucks and or transportation service, but these need to be
defined and approved by Purchasing and Accounts Payable (A/P). If a domestically produced
item is quoted delivered, then freight carriers can be selected by the suppler without Purchasing
Agent approval.
3. Carton labeling must accurately display: Vendor name, PO #, item number, item description,
quantity shipped and lot number. The item number and item description must match the
information listed on boom’s Purchase Order of Work Order… no exceptions are permitted.
4. Palletizing: All shipments must be palletized using standard 48x40 pallets in good condition.
Pallets must be loaded on a trailer with the largest opening on the pallet facing the trailer door(s).
SIDE LOADING OF PALLETS IS PROHIBITED.
5. Vendors must maintain proper shipping documents (i.e. COD, signed BOL) in case of future
verification needs.
6. Vendors are responsible to provide a proper shipping format (i.e. Inner pack, shipper) that
adequately protects goods during transit. Each pallet must be secured with stretch wrap to avoid
shifting and toppling during transit.

International Logistics
1. boom’s preferred terms are FOB Port. Freight terms must be clearly listed on the RFQ. This

Incoterms -
Active Freight.pdf
should include FOB Port, estimated freight cost etc. Guide to Incoterms:
2. For ocean and air transportation into or leaving the USA boom’s primary freight forwarder is
Active Freight & Logistics; our secondary provider is ASAP Logistics. Please check with your
Purchasing or Planning manager for logistics provider selection. See Appendix B below for
contact information.
3. boom is a certified member of the US Customs & Border Patrol C-TPAT (Customs-Trade
Partnership Against Terrorism) program. Consequently, it is vitally important that all international
partners in our supply chain demonstrate that adequate supply chain security measures are in
place in their facilities. New international suppliers/factories must complete and sign the Appendix
F attachment and return it to their Purchasing Agent.

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 Vendor Guidelines & SOP’s
boom! LLC & Affiliate Companies
Purchase Order:
1. Vendors will use boom’s Purchase Order as confirmation to start production and ship product per
terms and conditions on PO, unless notified otherwise by the Purchasing department
2. PO pricing will be based on submitted RFQ’s. RFQ pricing will constitute fixed annual pricing for
any/all new launch programs
3. Never start production unless final print / design approvals have been submitted by packaging.
4. boom Regular Business Purchase Orders and Work Orders will be shipped with a quantity
tolerance of -0% / +3%. Promotional Purchase Orders & Work Orders will have a quantity
tolerance of -0% / +0%.
5. If delivery date will be other than the noted ‘PO Due Date’ by +1 / -3 days, then the vendor must
notify boom! Purchasing to receive approval and to revise the PO Due Date.

Purchase Order Status Report:

1. The supplier will provide the Purchasing associate with a weekly status report on all open orders
2. If there are any drastic changes (+1 / -3 days or more) to the Weekly Status or Open Order
Report, the vendor must call the appropriate Purchasing associate to discuss the changes. The
vendor must not depend on email alone!
3. It is the vendor responsibility to clearly communicate any major out of stock or delayed (+1 day)
shipments to boom’s Purchasing Department.
4. The Purchasing associate will either accept or reject revised date. It is the suppliers’ responsibility
to ensure that original due date is achieved.
5. In the event that air freight is required, the vendor if at fault will be responsible for all cost. If
boom! is to pay for air freight, approval by boom Sr. VP Operations is required.

Receiving:
1. boom! will enter all receipts into our financial systems within 24 hrs of receiving the receiver
document.
2. In situations where our shipping terms are FOB Port or Ex-works factory then boom will enter
receipts at the time we take title to the goods.
3. In the event that shipping confirmation is needed, the shipping vendor will supply boom!’s AR
department all relevant information. This may include: Proof of Delivery, signed BOL, Packaging
Slip etc.

Invoicing:
1. It is the vendor’s responsibility to ensure that invoice dates correspond to the PO due date.
2. boom!’s payment terms are Net 45 days, unless otherwise noted.
3. All invoices must contain: Vendor name, PO #, item number, description, quantity shipped,
remittance address, payment terms etc.
4. Pallet / Carton labeling must accurately display: Vendor name, PO #, item number, description,
quantity shipped.
5. Vendor must maintain proper shipping documents (i.e. COD, signed BOL) in case of future
verification needs.
6. All invoices must contain: Vendor name, PO #, item number, item description, quantity shipped,
remittance address, payment terms etc.
7. Boom!’s Remittance Address and AP Associate are:

boom! Creative Development, LLC

rd
800 3 Avenue
New York, NY 10022-7601

Boom AP Auditor: Linda Yuan-Chen

646-218-0754

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 Vendor Guidelines & SOP’s
boom! LLC & Affiliate Companies

Appendix

Appendix A. Purchasing / Package Development / Engineering / QA Contacts:

Name Title Phone # e-mail

Gus Davis EVP Operations 646-218-0760 gdavis@boomllc.com

Marc DeGaetano Director Package Dev. 646-218-0766 mdegaetano@boomllc.com

Jessica Kolb Mgr. QA & Pkg. Eng. 646-218-0777 jkolb@boomllc.com

Rob Lynch EVP QA & Eng. 646-218-0758 rlynch@boomllc.com

Craig Poyser Sr. Mgr. Package Dev. 646-218-0788 cpoyser@boomllc.com

Teddy Puk Sr. Mgr. Purchasing 646-218-0781 tpuk@boomllc.com

Stephen Pulisciano Director QA & Pkg. Eng. 646-218-0778 spulisciano@boomllc.com

Doug Silady Sr. VP Package Dev. & Eng. 646-218-0756 dsilady@boomllc.com

Barbara Wise Director Purchasing 646-218-0767 bwise@boomllc.com

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boom! LLC & Affiliate Companies
Appendix B. International Freight Contacts:

Primary: Active Freight & Logistics:

Pearl River, NY –

Robert Dietzel
Active Freight & Logistics
One Blue Hill Plaza
8th Floor
Pearl River, NY 10965
845-732-8883 (Direct)
845-641-1378 (Cell)
845-735-3546 (Fax)
RDietzel@activeinternational.com

Hong Kong –

Amy Li
Orient Star Transport International Ltd.
Room 8-10, Ever Gain Plaza, Tower 1
88 Container Port Road, Kwai Chung, N.T. Kowloon, Hong Kong
(852) 2217-1000
amyli_hkg@orientstargroup.com

Ada Chan
Orient Star Transport International Ltd.
Room 8-10, Ever Gain Plaza, Tower 1
88 Container Port Road, Kwai Chung, N.T. Kowloon, Hong Kong
(852) 2217-1000
adachan_hkg@orientstargroup.com

Taiwan –

Winnie Chung
USA / America Sea Freight Dept.
Orient Star Transport Int'l Ltd.
5th Fl., No.61, Sec. 3, Nanking E. Road,
Taipei, Taiwan
Tel : 886-2-25067088 Ext. 348 & 310
Fax : 886-2-25067207
Skype account: OSTTPE_WINNIE
E-mail: winnie@orientstar-tpe.com.tw

Secondary: ASAP Logistics:

Debbie Cross
Managing Director

(718) 995-5547 direct

(917) 951-8869 mobile
(718) 995-5540 fax

debbie@asaplogistics.com
http://www.asaplogistics.com

148-05 175th Street

Jamaica, NY 11434

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boom! LLC & Affiliate Companies
Appendix C. Item Conformance Checklist (ICCL) - Descriptions

ICCL Container 36 Plastic Containers

Commodity Title
#
Container 37 Metal Containers
Brush 20 Brushes
Corrugate 38 Corrugate (Dividers, Pads, Master
Actuator 21 Actuators
Shipper)
Bottle 22 Glass Bottles Disc 39 Plastic Film Disc
Bottle 23 Plastic Bottles Drum 40 Paper/Transparent Bottom Chip
Board Plug Drum for Loose Powder
Bottle 24 Decoration and Coating on Plastic
and Glass (Hot Stamping, Silk Fitment 41 Injection Molded Shaker Talc
Screening, Metalizing, Frosting and Fitment For Use With Aluminum
Coating) Can
Cap 25 Plastic Screw Caps Jar 42 Singe/Double Wall Jar

Cap 26 Compression Molded Caps and Jar Label 43 Pressure Sensitive Labels
Covers Liner 44 Liners (Single, Double Face
Cap 27 Plastic Valve Seal With Hinged Plug Fluted Liners)
Dispenser Platform 45 Vacuum Formed Platform
Cap 28 Metal Trifoil Cap
Plug 46 Plug
Cap 29 Aerosol Dust Cap (Metal With
Ribbed Plastic Insert) Puff 47 Puffs (Velour, Lambs Wool,
Cap 30 Cap With Aluminum Over shell Acrylic, or Polyurethane)
Assembly Pump 48 Pumps-Lotion
Cap 31 Polypropylene "Living Hinge" Cap
Pump 49 Pumps-Natural Spray
Cap 32 Plastic Formed Over cap Assembly
Set-up Box 50 Set-Up Boxes, Covers, or Inserts
Cap 33 Plastic Formed Over cap (PP)
Metalized Tube 51 Collapsible Plastic Decorated
Tubes (Caps not Metalized)
Cap 34 Metal Screw Cap
Carton 35 Folding Cartons, Packers, Sleeves
(Paper & PVC) and Product
Enclosures

I:\Boom! Contract
Manufacturer's Han
ICCL Details:

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 Vendor Guidelines & SOP’s
boom! LLC & Affiliate Companies
Appendix D. Heavy Metals, Phthalates & Restricted Substances Certificate of Compliance

Supplier’s signature on this document acknowledges receipt, acceptance and compliance with boom! Creative
Development’s Packaging Regulatory Guidelines stated below:

Toxics in Packaging Clearinghouse (TPCH) legislation for Heavy Metals in Packaging : We certify that
all packaging and packaging components sold to boom! Creative Development or its subsidiaries comply with the
requirements of the toxics in packaging law(s). Specifically:

1. We certify that the regulated metals – lead, mercury, cadmium, and hexavalent chromium -- were not
intentionally added to any package or packaging component during the manufacturing process.

2. We further certify that the sum of the incidental concentration levels of lead, mercury, cadmium and
hexavalent chromium present in any package or package component does not exceed 90 parts per
million by weight.
rd
3. We will submit actual 3 party Independent laboratory test results (according to ASTM test method
E1613-04) to boom! Creative Development at our expense.

4. We will maintain adequate documentation of this certification for inspection upon request

Restricted Substance List for Plastic Materials: We certify that all items manufactured for and sold to boom or its
subsidiaries do not contain the following phthalates: DEHP, DBP, BBP, DINP, DIDO, DnOP. We further certify that
any molded items with intended use as drinking utensils do not contain Bisphenol A (BPA).

CPSIA (Consumer Product Safety Improvement Act): When packaging materials and components are designated
for use in products marketed to children, age 12 and under, you will be notified by a boom package development
associate. CPSIA law requires that a CPSC certified lab must conduct testing for lead and phthalates. Plastic
materials made for boom

1. We will submit CPSC Certified lab test results to boom! at our expense.

__________________________________________________________________________________

Name (Printed):

Signature:

Title:

Date:

Company:

Please e-mail a signed copy of this document to Gus Davis and your Purchasing
Manager
gdavis@boomllc.com
bwise@boomllc.com
tpuk@boomllc.com

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 Vendor Guidelines & SOP’s
boom! LLC & Affiliate Companies
Appendix E. Confirmation of Vendor Guidelines & Code of Conduct Receipt

Vendor Name
(Print or Type):

Name & Title

of Representative
(Print or Type):

Signature of Representative:

Date:

Please e-mail this completed page to Gus Davis and your Purchasing Manager:
gdavis@boomllc.com
bwise@boomllc.com
tpuk@boomllc.com

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boom! LLC & Affiliate Companies
Appendix F. C-TPAT Security Questionnaire:

Please e-mail a completed signed C-TPAT Questionnaire to Gus Davis and your
Purchasing Manager
gdavis@boomllc.com
bwise@boomllc.com
tpuk@boomllc.com

Appendix G. Vendor Code of Conduct

BOOM & Affiliates

Vendor Code_of_C

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 ISLAND SURF SCHOOL
STANDARD OPERATING
PROCEDURES
&
EMERGENCY ACTION PLAN
 STANDARD OPERATING PROCEDURES
ISLAND SURFBOARDS AND SURFSCHOOL

CONTENTS

S.O.P. INDEX:
1. STAFF DUTIES
2. STAFF TRAINING
3. STAFF HIERARCHY
4. SYSTEMS OF WORK
5. LOCAL CONTACT INFORMATION
6. ATTACHMENTS
 RULES & REGULATIONS GOVERNING SURF LESSONS
 CODE OF ETHICS AND CONDUCT FOR SURF COACHES
CODE OF ETHICS AND CONDUCT FOR SURF COACHES
7. EMERGENCY ACTION PLAN (EAP)

ISSUED TO:
PARKS VICTORIA
SURFING AUSTRALIA
SURFING VICTORIA
ISLAND SURF SCHOOL EMPLOYEES
ATTENDING SCHOOLS/COMMUNITY CENTRES
BASS COAST SHIRE COUNCIL
 STAFF DUTIES – ISLAND SURF SCHOOL

ALL STAFF MUST BE 100% FAMILIAR WITH S.O.P. & E.A.P

SURF INSTRUCTORS - (Must hold SA approved surf rescue qualification, SFA,

Working With Children Check and a Surfing Australia Level 1 or above surf coaching
accreditation).

 To teach surfing, body boarding, stand up paddle boarding and any other
water/land-based activities offered by Island Surf School
 To ensure that all equipment is safe and appropriate
 To keep up to date with latest Island Surf School standards (i.e. staff training,
etc.)
 To emphasise safety points and procedures
 To create a positive and friendly atmosphere
 To deal with accidents/emergencies appropriately (immediate first aid, after
care, reporting and recording)
 To take bookings and deal with Island Surf School administration
 To ensure Island Surf School facilities are clean and tidy
 To promote surfing as a healthy lifestyle
 To undertake other duties as instructed by either Manager or Head Coach

OTHER STAFF

 To look after customers prior to, or ending a water session

 To ensure efficient day to day running of Island Surf School
 To pass on specific client information to appropriate instructors
 To take bookings and deal with Island Surf School administration
 To deal with payments to Island Surf School for any lessons / courses
 To keep up to date with latest Island Surf School standards (i.e. staff training)
 To promote surfing as a fun and healthy lifestyle
 To undertake other duties as instructed by either Manager or Head Coach
 Island Surf School Staff Training

All instructors must be proficient in, and hold a current and valid surf rescue
qualification; SFA; working with children check; and surf coaching accreditation to
work at Island Surf School

 The ONLY acceptable surf coaching accreditations for Instructors working at

Island Surf School are the Surfing Australia or ISA Level 1 and 2 accreditations

 All instructors and other Island Surf School staff must hold a valid Working with
Children Check

 All staff must be 100% familiar with Island Surf School SOP's and EAP

 All staff must be 100% familiar with Island Surf School equipment and methods

 Staff are encouraged to gain higher qualifications and will be offered advice and
support throughout their training

 Staff training will be on going throughout the season and will be recorded by
Island Surf School (first aid scenarios, levels of competency in water, coaching
techniques and surf rescue skills)
ISLAND SURF SCHOOL STAFF HIERACHY

ISLAND SURF SCHOOL MANAGING DIRECTOR


ISLAND SURF SCHOOL MANAGER


HEAD INSTRUCTOR


QUALIFIED INSTRUCTORS


ASSISTANT INSTRUCTORS
+
ISLAND SURF SCHOOL STAFF
 SYSTEMS OF WORK

DAY TO DAY RUNNING OF ISLAND SURF SCHOOL

OPENING UP PROCEDURES / PREPARING FOR A LESSON

(Examples)
 Check Conditions (contact BOM for a forecast if necessary) and ensure that every
instructor is aware of the conditions and the predicted forecast for each day.
 Check FIRST AID KITS are in order, ARE DRY, and complete
 Replace any wetsuits to the fleet that were in the drying room overnight
 Place rescue boards on the board racks outside, and hang rescue tubes alongside
 Place First Aid Kits and Flags at the front of the shop for the group leading coach
to collect on their way to the beach

MEETING PARTICIPANTS / CLIENTS

 Ensure that everyone has read and completed a participation declaration prior to
receiving equipment, and that the instructors are aware of any illnesses, medical
conditions or other relevant information before the lesson begins.
 Head Coach to introduce all the Coaches to the participants
 The Head Coach or Shop Manager fits all participants with a wetsuits and rash
vest
 The Head Coach sizes each participant with a soft board
 The lead coach escorts the group to the beach as the other coaches help pair up
the participants to make carrying the boards easier

INTRODUCING CLIENTS TO THE SURF LESSON

 Emphasise safety points, procedures and their functions

 When necessary, split group into smaller groups based on ability and
competency
 Explain about the nature of Smith s Beach and the associated dangers (such
as rips, rocks and other surfers) and how to avoid them
INSTRUCTING & SUPERVISING LESSONS AND PROGRAMS

 Attempt to create and maintain a positive, friendly and enjoyable atmosphere

throughout the session.
 Explain the correct way for participants to position themselves board, paddle
onto waves and perform a back arch (stage 1 of standing up)
 Take the group into the surf to execute the above procedures
 Conduct an on-beach theoretical and practical explanation of how to stand up
on the surfboard using a both a basic and advanced method
 re-enter the surf and assist the participants with problem solving and board
stabilizing techniques for the remainder of the session

ENDING THE SESSION

 Allow sufficient time for a cool down and de-brief / discussion with clients.
 Assist participants with carrying the boards back to the surf shop

AFTER THE SESSION

 Place boards in order in the container and wash wetsuits

 Head coach to fill out the coach session record
 Feedback forms should be logged in the comments folder
ISLAND SURF SCHOOL
CONTACT NUMBERS – Phillip Island
(UPDATED 1/01/14)

EMERGENCY: 000
 WONTHAGGI GENERAL HOSPITAL/A&E (03) 5671 3333
 PHILLIP ISLAND MEDICAL GROUP (03) 5951 1800
 SURFING AUSTRALIA (07) 5599 3800
 BASS COAST SHIRE COUNCIL (03) 5671 2211
 SURFING VICTORIA (03) 5261 2907
 POLICE (03) 5952 2037
 AMBULANCE 000
 FIRE SERVICE 000
 ISLAND SURFBOARDS SMITH S BEACH (03) 5952 3443
 ISLAND SURFBOARDS COWES (03) 5952 2578
RULES AND REGULATIONS:
GOVERNING SURF LESSONS
(Refer to Surfing Australia s Surf Schools Operations Manual)

 A 1:8 ratio (instructor/student) is the maximum number of people in a

coaching group for absolute beginner + low ability improver ( = novice)
surfers
 A 1:4 instructor/student ratio is recommended for younger group
conditions e.g.
 Smaller Children (under 12 years old)
 Other identity groups such as: size; physical impairment; special
needs etc.
 More severe surfing conditions such as: crowded breaks; bigger surf;
strong rips; strong winds; poor visibility etc.

.
Instructors will not free surf during any lessons. However it is understood that for
some of the time instructors will be required to demonstrate the expected outcome
of a lesson objective (achievement). This demonstration is referred to as a coach s
quick-splash demonstration.

NB: The distinction between unnecessary free surfing & necessary quick-splash
demonstrations by the surf coach will be measured by the 10% & wave domination
rules = in any ½hr of a session the instructor surfs for a maximum of 3 minutes.
Anything more than this percentage of water time will constitute a coach is wave
dominating a session: This must not occur at any time during the lesson.

 Island Surf School EAP will be operated in liaison with duty beach lifeguards
(BLG s) (if applicable)
 If a beach used by Island Surf School has an authorised BLG service for that
beach - and during the period of Island Surf School s SOP s - then the BLG will
be clearly informed of lesson aims (see learning outcomes ) for the session
and surfing conditions Island Surf School intend to use.
 Surfing Australia will be notified of any major changes to Island Surf School s
SOP/EAP s and a copy of the revised documents sent to SA ASAP.
 A fully equipped appropriate first aid kit will be available for EAP use as near
as possible to water based SOP s ( = <200m )
 Any serious accident or incident at Island Surf School that requires first aid (or
other actions) will be followed by a formal (written) accident/incident
report and signed by the person in charge of action and lesson. A copy of all
completed accident/incident reports to be sent to SA Head Office ASAP
after completion (usually within 72 hours of incident).
An efficient emergency telephone contact facility will be available at all times
during surf school operations and within reasonable access by the entire group if
lone working
All beginner & intermediate (@ both lower and higher ability) surfing will be
conducted on beach break wave conditions. Such waves and wave peaks will be
clearly suitable (= tolerable ) for the surfers in the group. The size of the waves
( peaks ) will be no more than 2 metre (6ft)

 Any lesson cancellation decisions caused by changing ocean conditions will be

made by the instructors in charge of the lesson on the day, not by MD or surf
school owners.
 Island Surf School will abide by the lifeguard flags and co-operate with
lifeguards/lifesavers on duty if applicable. No surf lesson will take place whilst
a beach is closed.
 All beginner & novice improver surfing lessons will be conducted on safe ( =
risk assessed ) sandy beach locations where waves are less than 2 metres
and in surf conditions that are clearly safe and tolerable for the group and
individuals who will be surfing in the lesson.

NB: No matter what the average size of the actual waves on the day – even if it is
under 2m - the decision to operate a beginners & improvers lesson at the chosen
location, will be decided by the strength & power of the prevailing surf conditions .
These forces are conventionally referred to as:
 swell (strength & direction)
 tide (size & direction)
 wind/air/water (force, direction & temperatures)
These forces will be assessed in addition to the other beach / coastline environment
conditions of the geography (= terrain) and topography (= shape/form). These
coastal environment features will determine whether a location is tolerable for
surfing to take place. This size-force of wave qualification is particularly relevant to
non-beginner lessons of all abilities.

 In addition to Island Surf School s Risk Management Plan, all surf locations
and conditions are to be routinely reviewed (Venue Analysis) for the
tolerability of the risks and therefore the suitability of the surfing lessons
conditions and locations. These must be clearly within the pupils physical
and mental surfing capabilities.

NB. In flat water (flat) conditions: Although Surfing Australia has not set a minimum
size for a surf lesson to be conducted; the following is to be understood. Island Surf
School will ensure there is enough force in the surf conditions to propel a surfer and
surfboard forward and give enough time for a reasonable effort to be made by the
surfer to stand up and ride the wave with control. Other alternative water activities
can be conducted when the surf is flat but these shall not be known, or referred to,
as SA Approved surfing lessons.
 THE EQUIPMENT REQUIRED

 Soft construction surfboards (= soft deck and bottom with

rubberized/plastic fins) must be used for absolute beginners and low ability
improvers.
 Appropriate legropes in good working order (without cuts & abrasions)
 Appropriate full (steamer) wetsuits in good repair and designed for the time
of year lessons are being conducted (in water 18 degrees or under).
 Neoprene accessories (i.e. boots, gloves etc) to be available for all students
due to ocean & wind temperatures or medical reaction to sea & beach flora
& fauna sting reaction.
 A designated rescue board for each group, to be kept on the beach as near
as possible to water SOP s ( = <200m)

NB: rescue board to be a minimum length of 8ft

 A fully equipped appropriate First Aid kit to be kept on beach for immediate
use as near as possible to water SOP s ( = <200m + see EAP requirements
below)
 Warning whistles for use by duty instructors or arrangements for equivalent
means of clear audio & visual signals for safety communications
 Surf instructor and customer identity rash vests designed to retain safe and
clear HVI (visual communication) between instructors and their students.

NB: surfers from each group will all be wearing either brightly coloured vests (not
black or navy blue) or identical distinctive wetsuits (i.e. orange arms) marked.
Surfers and their coach/instructor will always be in different colours as this clearly
identifies the leader of each group. All surfer & coach ID/rash vests will be in an
HVI colour (= not dark colours), and Instructor rash vests will be printed with
words 'INSTRUCTOR' or 'COACH'.
CODE OF ETHICS AND CONDUCT FOR SURF
INSTRUCTORS
SECTION A: INTRODUCTION

Background

1. Surfing can contribute positively to the development of individuals. It is a vehicle

for physical, mental, personal, social and emotional development. Such development
is enhanced if the individual is guided by an informed, thinking, caring and
enlightened instructor operating within an accepted ethical framework as a self-
monitoring professional.
2. It is important to establish, publicise and maintain standards of ethical behaviour
in surf coaching practice, and to inform and protect members of the public using the
services of Island Surf School.
3. Key principles of responsibility and competence provide the core values of good
coaching and the framework of Island Surf School s code of ethics.
4. This code is a framework within which to work. It is a series of guidelines rather
than a set of instructions, and should be used in conjunction with other Surfing
Australia codes and publications and any comparable publications produced by the
Australian Sports Commission.
5. Island Surf School instructors who assent to this code, accept their responsibility
to surfers and their parents/families, to instructors and other colleagues, to Surfing
Australia (SA), to Island Surf School and to society and the local community.
6. In this code, the general principles of practice are contained in Section 8. Specific
guidelines for instructors with SA membership are provided in Section C. Surfing
Australia has additional guidelines specific to your operations as a Island Surf School
instructor.

Terms used in this code

7. Surf coaching helps the development of individuals through improving their
performance.
8 The Role of the Coach is to:
 Identify and meet the needs of individuals
 Improve performance through a progressive programme of safe, guided
practice, measured performance and/or competition
 Create an environment in which individuals are motivated to maintain
participation and improve performance.
9. Professional is used in a qualitative context. It does not necessarily imply a paid
position or person.
10. Employer does not necessarily imply the existence of a contract of employment
or a paid position. For many surf instructors their employers are voluntary amateur
club committees.

SECTION B: PRINCIPLES
Introduction
11. Island Surf School Surf Instructors are expected to conform to ethical standards
in a number of areas: humanity, relationships, commitment, cooperation, integrity,
advertising, confidentiality, abuse of privilege and personal standards.
Humanity
12. Island Surf School Surf Instructors must respect the rights, dignity and worth of
every human being and their ultimate right to self-determination. Specifically, Island
Surf School Surf Instructors must treat everyone equitably and sensitively, within the
context of their activity and ability, regardless of gender, ethnic origin, cultural
background, sexual orientation, religion or political affiliation.
Relationships
13. The good coach will be concerned primarily with the well-being, safety,
protection and future of the individual athlete. There must be a balance between the
development of performance and the social, emotional, intellectual and physical
needs of the individual.
14. A key element in a coaching relationship is the development of independence.
Athletes must be encouraged and guided to accept responsibility for their own
behaviour and performance in training, in competition, and in their domestic,
academic or business life.
15. Island Surf School Surf Instructors are responsible for setting and monitoring the
boundaries between a working relationship and friendship with their athletes. This is
particularly important when the athlete is a young person. The instructor must
realise that certain situations or friendly words and actions could be misinterpreted,
not only by the athlete, but also by outsiders (Or other members of a squad or group
of athletes) motivated by jealousy, dislike or mistrust, and could lead to allegations
of misconduct or impropriety.
16. Where physical contact between coach and athlete is a necessary part of the
coaching process, instructors must ensure that no action on their part could be
misconstrued and that any SA guidelines on this matter are followed.
17. The relationship between coach and athlete relies heavily on mutual trust and
respect. This means that the athlete should be made aware of the coach s
qualifications and experience, and must be given the opportunity to consent to or
decline proposals for training, performance or competition.
Commitment
18. Instructors should clarify in advance with athletes (and/or employers) the
number of sessions, fees (if any) and method of payment. They should explore with
athletes (and/or employers) the expectation of the outcome of coaching. Written
contracts may be appropriate in some circumstances.
19. Instructors have a responsibility to declare to their athletes and/or employers
any other current coaching commitments. They should also find out if any
prospective client is receiving instruction from another teacher/coach. If so, the
teacher/coach should be contacted to discuss the situation.
20. Instructors who become aware of a conflict between their obligation to their
athletes and their obligation to Surfing Australia (or other organisation employing
them), must make explicit to all parties concerned the nature of the conflict, and the
loyalties and responsibilities involved.
21. Instructors should expect a similar level of reciprocal commitment from their
athletes. In particular the athlete (parent/guardian in the case of a minor) should
inform the coach of any change in circumstances that might affect the coach/athlete
relationship.
22. Instructors should receive appropriate acknowledgement for their contribution
to the athlete s progress and achievement. Where money is earned from
performances, it is reasonable to expect the coach should receive an appropriate
share of the rewards. Such apportionment with any attendant conditions should be
agreed in advance (in writing) to avoid any misunderstanding.
Cooperation
23. Instructors should communicate and cooperate with other sports and allied
professions in the best interests of their athletes. An example of such contact could
be the seeking of:
 educational and career counselling for young athletes whose involvement in
sport impinges upon their studies
 sport science advice through Surfing Australia s High Performance Center.
24. Instructors must communicate and cooperate with registered medical and
ancillary practitioners in the diagnosis, treatment and management of their athletes
medical and psychological problems.
Integrity
25. Instructors must not encourage athletes to violate the rules of their sport. They
should actively seek to discourage and condemn such action and encourage athletes
to obey the spirit of the rules.
26. Instructors must not compromise their athletes by advocating measures which
could constitute unfair advantage. They must not adopt practices to accelerate
performance improvement which might jeopardise the safety, total well-being and
future participation of the athlete. Instructors must never advocate or condone the
use of prohibited drugs or other banned performance enhancing substances.
27. Instructors must ensure that the activities, training and competition programmes
they advocate and direct are appropriate for the age, maturity, experience and
ability of the individual athlete.
28. Instructors must treat opponents with due respect, both in victory and defeat,
and should encourage their athletes to act in a similar manner. A key role for a coach
is to prepare athletes to respond to success and failure in a dignified manner.
29. Instructors must accept responsibility for the conduct of their athletes and
discourage inappropriate behaviour in training, competition, and away from the
sporting arena.
Advertising
30. Advertising by sports instructors in respect of qualifications, training and/or
services must be accurate and professionally restrained. Instructors must be able to
present evidence of current qualifications upon request. Evidence should also be
available to support any claim associated with the promotion of their services.
31. Instructors must not display any affiliation with an organisation in a manner that
falsely implies sponsorship or accreditation by that organisation.
Confidentiality
32. Sports instructors inevitably gather a great deal of personal information about
athletes in the course of a working relationship. Coach and athlete must reach
agreement about what is to be regarded as confidential information (i.e. not
divulged to a third party without the express approval of the athlete).
33. Confidentiality does not preclude the disclosure of information about an athlete
to persons who can be judged to have a right to know. For example:
 Evaluation for competitive selection purposes.
 Recommendations for employment.
 In pursuit of disciplinary action involving athletes within the sport.
 In pursuit of disciplinary action by a sports organisation against one of its
members.
 Legal and medical requirements for disclosure.
 Recommendations to parents/family where the health and safety of athletes
might be at stake.
 In pursuit of action to protect children from abuse.
Abuse of privilege
34. The sports coach is privileged to have regular contact with athletes and
occasionally to travel and reside with athletes in the course of coaching and
competitive practice. A coach must not attempt to exert undue influence over the
athlete in order to obtain personal benefit or reward.
Personal standards
35. Instructors must consistently display high personal standards and project a
favourable image of their sport and of coaching to athletes, their parents/families,
other instructors, officials, spectators, the media and the general public;
36. Personal appearance is a matter of individual taste but the sports coach has an
obligation to project an image of health, cleanliness and functional efficiency.
37. Sports instructors should never smoke while coaching.
38. Instructors should not drink alcohol so soon before coaching that it would affect
their competence to coach, compromise the safety of the athletes or obviously
indicate they had been drinking (e.g. smell of alcohol on breath).
39. Within the limits of their control, instructors have a responsibility to ensure as far
as possible the safety of the athletes with whom they work.
40. All reasonable steps should be taken to establish a safe working environment,
41. The work done and the manner in which it is done should be in keeping with the
regular and approved practice with their sport as determined by Surfing Australia.
42. The activity undertaken should be suitable for the age, physical and emotional
maturity, experience and ability of the athletes.
43. Instructors have a duty to protect children from harm and abuse.
44. The athletes should have been systematically prepared for the activity and made
aware of their personal responsibilities in terms of safety.
45. Instructors should arrange adequate insurance to cover all aspects of their
coaching practice.
Competence
46. Instructors shall confine themselves to practise in those elements of sport for
which their training and competence is recognised by Surfing Australia. Training
includes the accumulation of knowledge and skills through formal coach education
courses, independent research and the accumulation of relevant verifiable
experience.
47. The National Occupational Standards for Coaching, Teaching and Instructing
(and/or the approved Surfing Australia or ISA coaching awards) provide the
framework for assessing competence at the different levels of coaching practice.
Competence to coach should normally be verified through evidence of qualifications.
Competence cannot be inferred solely from evidence of prior experience.
48. Instructors must be able to recognise and accept when to refer athletes to other
instructors or agencies. It is their responsibility, as far as possible, to verify the
competence and integrity of any other person to whom they refer an athlete.
49. Instructors should regularly seek ways of increasing their personal and
professional development.
50. Instructors should welcome evaluation of their work by colleagues and be able to
account to athletes, employers, Surfing Australia and colleagues for what they do
and why.
51. Instructors have a responsibility to themselves and their athletes to maintain
their own effectiveness, resilience and abilities. They should recognise when their
personal resources are so depleted that help is needed. This may necessitate the
withdrawal from coaching temporarily or permanently.

SECTION C: CONDUCT FOR INSTRUCTORS WITH SURFING AUSTRALIA MEMBERSHIP

1. This section is specifically for instructors with Surfing Australia membership. It

provides more specific information and guidance about the implementation of the
principles embodied in Section B.
2. Members of Surfing Australia shall adhere at all times to standards of personal and
professional behaviour which reflect credit on themselves, their employers, Surfing
Australia and the whole process and practice of sports coaching.
3. It is impossible to specify precisely all those actions which could be deemed to be
prejudicial to such standards. The following paragraphs provide an indication of the
types of incident that are likely to be considered as breaches of this section of the
code:
Public criticism of colleagues
4. Instructors should refrain from public criticism of fellow members of Surfing
Australia. Public in this context means criticism expressed in any branch of the media
or in a lecture or seminar. Any such public criticism of a fellow member will be
regarded as a prima facie breach of this code and may subject to disciplinary action.
Misrepresentation
5. Instructors must ensure they do not in any way misrepresent their qualifications,
affiliations or professional competence to any client or prospective client or in any
publication, broadcast, lecture or seminar. Misrepresentation will be regarded as a
serious breach of this code.
Commitment
6. When instructors enter into a commitment with an employer, a team, or an
individual athlete, the nature of that commitment should be specifically agreed. Any
such contract or terms of reference should be set out in writing and include fees (if
any) and method of payment, the time commitment involved, and an indication of
the expected outcome of the coaching.
Confidentiality
7. Instructors must not divulge confidential information relating to an athlete, other
than that specified in Section B (32 and 33) to any third party unless with the express
approval of the athlete concerned. In the storage and disposal of personal records
instructors should be aware of the requirements of the Data Protection Act. An
individual athlete must be allowed reasonable access to their personal data records
held by a coach.
Criminal conviction
8. Any conviction of a sports coach by a court of law is capable of reflecting adversely
on the profession. Cases of a minor personal nature are unlikely to be regarded as
breaches of this, but all reported cases will be considered. Members of Surfing
Australia must report any alleged criminal offence at the earliest opportunity.
Disciplinary proceedings by an employer
9. Disciplinary proceedings by an employer leading to dismissal from employment
connected with sports coaching will normally be regarded as a breach of this code.
This applies even if the coach has been involved in related court proceedings which
have not resulted in conviction. Other disciplinary proceedings by an employer (e.g.
reprimand) will not normally be considered as a breach of this code unless the
circumstances are sufficient to found a complaint under another section.
10. Members of Surfing Australia must report any formal disciplinary action taken
against them by an employer in connection with their work as a sports coach.
Personal misconduct
11. Personal misconduct by members of Surfing Australia may still give rise to
disciplinary action by Surfing Australia if such conduct is deemed to be misconduct or
gross misconduct, even if such misconduct does not give rise to disciplinary
proceedings by an employer or lead to conviction in a court of law. The following
examples are not exhaustive or exclusive:
 Misconduct (e.g. bad timekeeping, unreasonable or unexplained absence,
lack of application, damage to property or equipment)
 Gross misconduct (e.g. theft, falsification of reports or accounts, breach of
confidentiality, violence, misuse of alcohol or drugs, dishonesty, sexual
harassment or abuse, indecency, any form of child abuse).
Complaints procedure
12. Any individual or organisation wishing to make a complaint against a sports
coach within the context of this code should follow this procedure:
 Report the matter to the employer of the sports coach and to Surfing
Australia. NB Employer in this instance refers to the organisation who
commissioned the coach to do the coaching whether this is paid or unpaid
employment. This might be a club, State Surfing Body (eg Surfing NSW)
Surfing Australia or local authority. Complaints which refer to abuse of
children should also be referred to the Police and Social Services.
 If the coach in question is known to be a member of Surfing Australia or if no
satisfaction is obtained from the complaint to the employer and Surfing
Australia, then the matter should be reported to the Australian Sports
Commission.
On receipt of such a complaint, detailed procedural guidelines will be issued
to all parties concerned.
 ISLAND SURF SCHOOL

EMERGENCY ACTION PLAN (EAP)

1/01/2014
 ISLAND SURF SCHOOL
EMERGENCY ACTION PLAN (EAP)

EAP INDEX:

1. RISK REGISTER
2. RESPONSIBILITIES AND RESCUE MANAGEMENT
3. EXPECTED LEVEL OF PERFORMANCE
4. CONTINUITY OF SUPERVISION
5. COMMUNICATION
6. ETA: AMBULANCE
7. AFTERCARE
8. PUBLIC RELATIONS
9. REPORTING/RECORDING OF INCIDENTS

ISSUED TO:
PARKS VICTORIA
SURFING AUSTRALIA
SURFING VICTORIA
ISLAND SURF SCHOOL EMPLOYEES
ATTENDING SCHOOLS/COMMUNITY CENTRES
BASS COAST SHIRE COUNCIL
 INCIDENT ASSESSMENT

To help the coaches and staff prevent an incident from occurring to one of their
students, identification of the risk areas both in and out of the water will directly
lead to achieving a safer environment.

AQUATIC INCIDENT
 Drowning (Wet, dry and secondary)
 Head Injuries
 Spinal Injuries
 Injury to members of the public
 Personal Injury
 Incident due to previous medical history
 Incident due to weather conditions
 Incident due to swell size
 Marine stings / bites
 Litter
 Lost Person
 Poisoning
 Disorderly Behaviour
 Incident due to surfers / Beach users in teaching area
 Incident due to equipment
 Drugs / Alcohol misuse
 Hypothermia / Hyperthermia
 Incident due to inexperienced water users

BEACH / LAND BASED INCIDENTS

 Head Injuries
 Spinal Injuries
 Injury to members of the public
 Personal Injury
 Incident due to previous medical history
 Marine stings / bites
 Disorderly Behaviour
 Lost Persons
 Drugs / Alcohol misuse
 Road Traffic Incident
 Incident due to Weather Conditions
 Incident due to Equipment
 Poisoning
 Incident due to beach users
RESPONSIBILITIES:
 Manager/owner will ensure area/lesson is adequately supervised by qualified
staff and will ensure emergencies can be dealt with effectively and efficiently
at all times.
 Island Surf School Surf Instructors will deal with emergencies
(minor/major/aquatic/land-based) accordingly
 Island Surf School staff will assist with emergencies by supervising those not
involved and making any phone calls / enquiries necessary.
 Bookings from organisations such as school groups etc. will be given a copy of
Island Surf School Risk Register, SOP and EAP prior to their visit and must be
read by those organising the activity.

RESCUE MANAGEMENT:

MINOR INCIDENT (AQUATIC / LAND-BASED)

A minor incident / injury is an accident which can be dealt with quickly, and is not life
threatening.
PROCEDURE:
1. Instructor responding to the minor incident should call for another qualified
instructor to cover their position & notify manager of the situation
2. Notify other relevant staff of situation verbally or via comms
3. Treat and if necessary inform lifeguards/lifesavers and relevant emergency
services
4. Inform parents / next of kin if needed
5. Fill in an incident report form
6. Replenish first aid supplies
7. De-brief

MAJOR INCIDENT (AQUATIC / LAND-BASED)

PROCEDURE:
1. Raise alarm (3 whistle/horn blasts, and notify manager)
2. Remove remainder of group from water/area (Recall Signal)
3. Member of staff to inform Lifeguard / Emergency Services (usually manager)

IF LIFEGUARDS NOT PRESENT / IMMEDIATELY AVAILABLE:

4. Effect rescue (back up from team members if needed)

5. Remove casualty to safe place if appropriate (not in circumstances of spinal
injury)
6. Effect Primary Survey (DRSABCD)
7. Effect Secondary Survey (if trained to do so)
8. Diagnose extent of injury and treat if necessary
9. Warmth / Rest / Reassurance
10. Inform parents / guardian of situation
11. Take further action as appropriate
12. File an incident Report form
13. Replenish first aid supplies
14. Ensure all rescue equipment is back in place
15. De-brief

AMBULANCE CREW / LIFEGUARD TEAM RESPONSIBILITY

 Island Surf School staff will treat the casualty until lifeguard /ambulance
personnel arrive
 Once advanced medical personnel start to treat the casualty the responsibility
will become theirs

HEAD INJURIES
Persons sustaining a head injury will be sent to hospital as a precautionary measure.

EXPECTED LEVEL OF PERFORMANCE

• Qualified staff of Island Surf School are expected to deal with emergencies as
efficiently and effectively as possible
• Prior training (Surf Rescue qualifications / first aid training) will enable them to do
so

CONTINUITY OF SUPERVISION DURING RESCUE

 In case of an emergency, staff must ensure they are 100% familiar with rescue
scenarios - SOP/EAP
 No member of staff will initiate a rescue until their group has been effectively
removed from water or supervision has been passed on to another qualified
instructor

COMMUNICATION PROCEDURE
Throughout emergency procedure, all members of staff are trained to communicate
efficiently within the team and also externally with lifeguards/ambulance
service/coastguard service. An instructor will carry a mobile telephone/radio with
each group whilst in the water in their first aid kit, and every instructor will carry a
whistle to attract attention.
COMMUNICATION

- 3 loud blasts of the whistle to signal the emergency

- Hand raised above head by all coaches along with verbal
communication and assistance to ensure all participants return to shore
immediately where they are to assemble at the end of the fence line on
the beach
- Mobile phone used to call the ambulance and police (quoting beach
number A7 – Smith s Beach) then contact the surf shop advising the
store manager of emergency
- Should a lack of phone reception disallow a call to be made then a
nominated coach is to run (2 minutes) to the surf shop so a landline call
can be made
- Coaches will provide the required treatment suited to the emergency
until paramedics arrive at which point they will assist in any way possible
ESTIMATED TIME OF ARRIVAL: AMBULANCE SERVICE
• Last checked 4th Feb 2014 Re-check by 4th June 2014
• 5 minutes from Cowes to Smith s Beach car park

AFTERCARE
All those involved in emergency procedure to be de-briefed and given opportunity to
receive professional counselling if needed
Any student of Island Surf School who is involved in an emergency will be given the
opportunity to talk to those involved in rescue and sufficient aftercare will be issued.

PUBLIC RELATIONS
After any incident / emergency, no comments should be made, and all enquiries
should be passed on and dealt with by manager.

REPORTING/RECORDING OF INCIDENTS
All incidents must be reported and recorded in the accident record book and
incident report forms must be filed.
As an employer, Island Surf School has a duty to report and record some work-
related accidents by the quickest means possible to Surfing Australia. These are to
include deaths and major injuries; over three-day injuries (a non-major injury that
results in the injured person being away from work or unable to carry out their work
for more than 3 days); a work related disease; and dangerous occurrences (near
misses).
ClinOS v5:
Standard Operating Procedure
(SOP)Installation Instructions
Medical Affairs Information TechnologyMeta-Xceed, Inc.
September 17, 2002

Authored by: Sy J. Truong, Consulting Systems Developer

Version 1.0
GenentechMeta-Xceed, Inc. Confidential and Proprietary
Admendment History Formatiert: Schriftart: 18 Pt., Fett

Date Version Amendement Description

Formatiert: Schriftart: (Standard)
September 17, 2002 1.0 Final version of SOP Arial
Formatiert: Schriftart: (Standard)
December 17, 200 1.1 Add an SOP for the management of Arial
SOPs

Version 1.0
GenentechMeta-Xceed, Inc. Confidential and Proprietary
 Formatiert: Schriftart: 18 Pt., Fett

Version 1.0
GenentechMeta-Xceed, Inc. Confidential and Proprietary
ClinOS v5.0 Installation InstructionsStandard Operating Procedure Version 1.0

Table of Contents
1. GXP Computer Systems: Test Deviation Identification and Resolution 1

1.1. Purpose 1
1.2. Definitions 1
1.3. Procedure 1

2. Policy for Computer Systems Validation 2

2.1. Purpose 2
2.2. Scope 3
2.3. Policy 3
2.4. Validation Principles 3
2.5. Responsibilities 4
2.6. Documentation 4
2.7. System-Specific Validation Documents 4
Development Documentation 4
2.8. 4
2.9. Procedure 5

3. Change Control Systems 5

3.1. Purpose 5
3.2. Scope 5
3.3. Participants 6
3.4. Initiating a Change Control (CR) 6
3.5. Approval 7
3.6. Implementation 7

4. System Development Life Cycle for Meta-Xceed 8

4.1. Purpose 8
4.2. Definitions 8
4.3. Tasks 8
4.4. SDLC Stages 9

5. Standard Operating Procedure (SOP) Management 12

5.1. Purpose 12
5.2. Scope 12

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ClinOS v5.0 Installation InstructionsStandard Operating Procedure Version 1.0

5.3. Procedure 12

6. Training Methods 14

6.1. Purpose 14
6.2. Policy 14
6.3. Procedures 14

7. Software Version Control Management 15

7.1. Scope/Goals 15
7.2. Definitions 15
7.3. Process 15

8. Source Code Conventions 17

8.1. Scope 17
8.2. Definitions 17
8.3. Procedures 17

9. Storage and Maintenance of Documents 19

9.1. Purpose 19
9.2. Process 19

1. Amendment History 1

2. References 1

3. Overview 1

4. ClinOS v5.0 Windows Installation 1

5. ClinOS v5.0 UNIX Installation 2

GenentechMeta-Xceed, Inc. Confidential & Proprietary

ClinOS v5.0 Installation InstructionsStandard Operating Procedure Version 1.0

Formatiert: Nummerierung und

1. Amendment History Aufzählungszeichen

Doc.
Date Version Amendement Description

9/17/2002 1.0 Original Draft

Formatiert: Nummerierung und

2. References Aufzählungszeichen

SOPs and guidelines are currently being developed within in the Biostatistics
department.
ClinOSv3 Administrator Training
ClinOSv4 User Training
ClinOSv4 Reference Guide
Formatiert: Numbered Series, Diesen
Absatz zusammenhalten

Formatiert: Nummerierung und

1. GXP Computer Systems: Test Deviation Aufzählungszeichen

Identification and Resolution

Code: 1001 CFR: 10569
Effective Date: December 15, 1999
Approved By: Sy Truong Approved Date: Jan 19, 2000

Formatiert: Nummerierung und

1.1. Purpose Aufzählungszeichen

This SOP describes the method for identifying, resolving, and documenting deviations Formatiert: Schriftart: 11 Pt.
encountered during validation testing of computer-related systems.

Formatiert: Nummerierung und

1.2. Definitions Aufzählungszeichen

Test: The pre-approved documentation where testing instructions are defined and Formatiert: Schriftart: Arial, Fett
results are recorded. Formatiert: Textkörper-Zeileneinzug
Formatiert: Schriftart: Arial
Tester: Any person involved in executing tests. The tester executes tests and identifies
Formatiert: Schriftart: Arial, Fett
deviations, documents deviation(s), and performs corrective actions where appropriate.
Formatiert: Schriftart: Arial
Deviation: A deviation occurs when actual test results do not match expected results, Formatiert: Schriftart: Arial, Fett
the test cannot be completed as written, the system does not perform as specified by Formatiert: Schriftart: Arial
the test, or any other unexpected condition arises.
Formatiert: Einzug: Links: 0 cm

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Formatiert: Nummerierung und

1.3. Procedure Aufzählungszeichen

The following procedure should be followed when a deviation occurs. Formatiert: Schriftart: Arial

1.3.1. Identify Deviation Formatiert: Überschrift 3

Formatiert: Nummerierung und
 Document the observed deviation at the time it is encountered, including Aufzählungszeichen
signature of observer and date. Describe exactly what was observed to Formatiert: Textkörper-Zeileneinzug,
warrant a deviation. Assign a unique identifier to the deviation. If a single Aufgezählt + Ebene: 1 + Ausgerichtet
deviation affects a number of tests, a global deviation may be used to an: 3,17 cm + Tabstopp nach: 3,81
cover all affected tests. cm + Einzug bei: 3,81 cm

 Document the root cause of the deviation (e.g., test generation error, Formatiert: Schriftart: Arial
hardware/software bug, specification is incorrect, etc). Formatiert: Schriftart: Arial
 Determine whether testing can proceed, this may involve consultation
with validation, development, and/or Quality Assurance personnel.
Formatiert: Schriftart: Arial
1.3.2. Identify Corrective Action(s) Formatiert: Überschrift 3

 Document the corrective action(s) that are necessary to resolve the Formatiert: Nummerierung und
Aufzählungszeichen
deviation (e.g., test corrections, change request for hardware/software
bug, revision to specification, etc). Include any requirements for re-testing Formatiert: Schriftart: Arial
or new testing based on corrective action(s). Formatiert: Textkörper-Zeileneinzug,
 Assess the impact to requirements, specifications, hardware, software, Aufgezählt + Ebene: 1 + Ausgerichtet
an: 3,17 cm + Tabstopp nach: 3,81
the current test form, and any previously executed tests. cm + Einzug bei: 3,81 cm
Formatiert: Schriftart: Arial
1.3.3. Approve Corrective Action(s) Formatiert: Schriftart: Arial

 Corrective action(s) may be approved either before or after they are Formatiert: Schriftart: Arial
performed. Formatiert: Überschrift 3
Formatiert ...
1.3.4. Perform Corrective Action(s) Formatiert: Schriftart: Arial

 If it is determined that a hardware or software change is necessary, Formatiert ...

initiate the appropriate change control mechanism to make the change, Formatiert: Überschrift 3
and complete any re-testing. Formatiert: Nummerierung und
 Document the disposition (accept/reject and rationale) of test results Aufzählungszeichen ...
affected by the deviation. Formatiert ...
 After corrective actions are successfully completed, retain deviation Formatiert: Schriftart: Arial
paperwork with the original test. Include verification that the corrective Formatiert: Einzug: Links: 0 cm
action(s) has been performed.
Formatiert: Schriftart: Arial
Formatiert: Überschrift 3
1.3.5. Documentation
Formatiert: Nummerierung und
At a minimum, the following information should be documented: Aufzählungszeichen ...
 System name and test ID Formatiert: Schriftart: Arial
 Unique identifier for the deviation (e.g., test IW-1) Formatiert ...
 Description of deviation, signed and dated by the observer Formatiert ...
 Explanation and root cause for deviation Formatiert: Nummerierung und
 Description of corrective action, impact assessment (on other tests, Aufzählungszeichen ...
requirements, specifications, software, etc). For hardware or software Formatiert: Schriftart: Arial
change, reference the change record number. Formatiert: Schriftart: Arial
Formatiert: Standard
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Formatiert: Nummerierung und

3.2. Policy for Computer Systems ValidationOverview Aufzählungszeichen

Code: 1002 DCR: A35854 Formatierte Tabelle

Effective Date: December 11, 1999
Approved By: Sy Truong Approved Date: Jan 19, 2000

Formatiert: Überschrift 2
2.1. Purpose Formatiert: Nummerierung und
Meta-Xceed recognizes that data is a valuable asset and that product cannot be Aufzählungszeichen
released to market without data of ensured integrity. This policy defines Meta-Xceed's
commitment to the validation of computer systems and provides guidance on the
principles for carrying out computer validation in accordance with the requirements of
the FDA and other regulatory agencies.
Formatiert: Überschrift 2

Formatiert: Nummerierung und

2.2. Scope Aufzählungszeichen

This policy is applicable to all existing and new computer systems used for GXP
purposes, and regulatory submissions. A computer system consists of computer
hardware, software, operating environment, associated data, and documentation to
perform a GXP or regulatory submission function. Formatiert: Schriftart: Arial

Formatiert: Nummerierung und

2.3. Policy Aufzählungszeichen

Computer systems that manage data, support regulatory submissions, or control

manufacturing operations that affect the safety, efficacy, or quality of our products must
be validated. Validation of these systems must demonstrate that they were properly
developed, have been thoroughly tested, and are being maintained in a manner that
ensures they meet user requirements, are reliable, and are protected from unintended
changes.

Formatiert: Schriftart: Arial

Formatiert: Nummerierung und
2.4. Validation Principles Aufzählungszeichen
The validation effort required for a computer system is necessarily dependent upon the
size, complexity, and impact of the system and the criticality of the data or processes
managed by the system. Each system should be assessed to determine the appropriate
scope of the validation.

The validation of new computer systems must be performed using pre approved
prospective protocols. Validation documentation must be compiled into approved
summaries and maintained on file in a location where it can be retrieved for inspection
by regulatory authorities. It is important that validation summaries be complete and
stand alone packages that can be understood by qualified independent reviewers
without reliance upon specific individuals for interpretation.

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The validation of new computer systems must be supported by documented evidence

that the system was developed using good system development practices. In addition,
there must be adequate procedures in place to ensure the system remains validated.

The validation of existing computer systems may require a retrospective evaluation of

the system.

Periodic evaluation of validated computer systems is required to confirm that the system
continues to be maintained in its validated state.

Validation of a computer system must demonstrate that ancillary hardware and software
(e.g., networks, server operating systems) were properly installed, are adequately
documented, and operate in accordance with system requirements.

Formatiert: Nummerierung und

2.5. Responsibilities Aufzählungszeichen

The management of areas with computer systems that fall within the scope of this policy
is responsible for ensuring the systems are validated in compliance with this policy.
Validation of computer systems is typically achieved using a team approach with defined
roles: Owners, Users, Developers, Quality Assurance Unit, and any necessary support
groups.

System Owners: manage the operation of systems. They identify the need for new
computer systems and are responsible for their development, validation, maintenance,
and support. They are responsible for maintaining an inventory of validated computer
systems for their area. System Owners may delegate the execution of these activities.

System Users: use the systems on a day to day basis. They provide the basis for the
functional design and support the testing and documentation effort for validation.

System Developers/Administrators: develop, test, and support the ongoing

operation of systems. They provide development, testing, and system support
documentation for validation.

Quality Assurance Unit: reviews and approves computer validation

documentation. They must be independent of the System Owner and
Developer/Administrator.

Formatiert: Nummerierung und

2.6. Documentation Aufzählungszeichen

Documentation potentially required for validated computer systems falls into three broad
categories: system specific validation documents, development documentation, and
procedures. At a minimum, the validation of a computer system requires a Validation
Protocol (or Project Plan when a project involves multiple systems), which identifies the
validation testing and documentation required, and a Validation Summary of the
validation results.ClinOS version 5.0 consists of a series of SAS macros designed to
organize and optimize the analysis and reporting of clinical data. It is designed to work
on UNIX (Sun OS 5.6) and PC Windows. The following installation instructions for UNIX
and Windows documented below as separate installation processes.

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Formatiert: Nummerierung und

2.7. System-Specific Validation Documents Aufzählungszeichen

Validation documents must be approved by the Quality Assurance to ensure the

validation approach is consistent with this policy and appropriate for the size and scope
of the system. System specific validation documents are listed below.

Validation Project Plan

Validation Protocol Formatiert: Textkörper-Zeileneinzug
Installation Qualification Formatiert: Textkörper-Zeileneinzug,
Operational Qualification Einzug: Erste Zeile: 1,27 cm
Performance Qualification
Validation Summaries
Formatiert: Standard
Formatiert: Nummerierung und
Development Documentation Aufzählungszeichen

2.8.
Development documentation provides the basis for validation testing. It is required to
maintain computer systems in a state of control throughout their lifecycle. Development
documentation potentially required is listed below.

System Development Plan Formatiert: Einzug: Links: 1,27 cm

Functional/Design Requirements
System Specifications
Test Plans/Results/Reports
Vendor Evaluations
Software Quality Assurance
Plan Programming Standards
Annotated Source Code
Code Review Documents
Configuration Management Records
System Development Summary
System/User Manuals
System Technical Documentation
Training Curricula, Records, Instructor Qualifications

Formatiert: Nummerierung und

2.9. Procedure Aufzählungszeichen

Formatiert: Einzug: Links: 1,27 cm

Procedures and references that may be required are listed below.
Formatiert: Einzug: Links: 1,27 cm
System and Software Development
Prospective Validation
Retrospective Validation
Validation Test Methods
Preparation, Maintenance, and Archiving of Validation
Documents Approval Requirements
Maintenance
Security
Change Control
Periodic Review

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Error Handling/Resolution
Backup and Disaster Recovery
Training Formatiert: Schriftart: Arial

4. ClinOS v5.0 Wind ow s Installation Formatiert: Textkörper-Zeileneinzug

The follow ing steps are to be perform ed on Wind ow s PC. The prerequisites for this Formatiert: Nummerierung und
Aufzählungszeichen
m achine includ e:
Formatiert: Textkörper-Zeileneinzug,
Einzug: Links: 0 cm
The m achine is running Wind ow s 9x or higher. This includ es N T, 2000 and XP.
Formatiert: Textkörper-Zeileneinzug,
SAS 8.2 is currently installed Keine Aufzählungen oder
The installer has access to create and upd ate the d irectory c:\ clinos Nummerierungen

The installer has access to upd ate the SAS configuration file sasv8.cfg located in the Formatiert: Nummerierung und
Aufzählungszeichen
SASROOT d irectory

Once the location of SASROOT has been id entified and all the prerequisites have been Formatiert: Textkörper-Zeileneinzug,
m et, apply the follow ing steps. Einzug: Links: 0 cm

1. From the w ind ow s d esktop, click on the m enu: Start  Run… Formatiert: Textkörper-Zeileneinzug,
\ \ Mafiles\ bd m \ Statistical Program m ing\ ClinOS\ Version 5\ installer Keine Aufzählungen oder
Nummerierungen
2. Double click on the file: Install_ClinOS_v5.exe
3. Review the follow ing Welcom e screen and click the N ext button. Formatiert: Nummerierung und
Aufzählungszeichen

4. If the SAS configuration file is not located at: c:\ sas, you m ay be presented w ith the
d ialog box:

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Click the OK button. Otherw ise skip to step 6.

5. Enter the proper path to the location of SASROOT. An exam ple is show n here:

Click OK.

6. Files are copied to the C:\ clinos d irectory and the sasv8.cfg is upd ated . The
“Finished ” d ialog box w ill then be show n:

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Click on the Close button.

Formatiert: Textkörper-Zeileneinzug,
Installation is com plete. Configuration options of the ClinOS system can be view ed Einzug: Links: 0 cm

here:

http:/ / gw iz/ groups/ Magi/ projects/ clinos/

Formatiert: Textkörper-Zeileneinzug
Formatiert: Nummerierung und
5.3. Change Control SystemsClinOS v5.0 UNIX Aufzählungszeichen

Installation

Code: 1003 CRF: 15406

Effective Date: December 11, 1999
Approved By: Sy Truong Approved Date: Jan 19, 2000

Formatiert: Nummerierung und

3.1. Purpose Aufzählungszeichen

To describe the procedures for users of Meta-Xceed computer systems to accomplish Formatiert: Schriftart: Arial
change to their systems, under appropriate control. Formatiert: Textkörper-Zeileneinzug
Formatiert: Schriftart: Arial

3.2. Scope Formatiert: Nummerierung und

Aufzählungszeichen

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ClinOS v5.0 Installation InstructionsStandard Operating Procedure Version 1.0

The follow ing steps are to be perform ed by a UN IX ad m inistrator on a SunOS server. The Formatiert: Einzug: Links: 0 cm
prerequisites for the installation includ e:

The m achine is running SunOS version 5.6. Formatiert: Keine Aufzählungen oder
Nummerierungen
SAS 8.2 is currently installed
The installer has access to create and upd ate the ClinOS root d irectory. An exam ple of this is: Formatiert: Nummerierung und
Aufzählungszeichen
/ usr/ local/ biostat/ clinos/ clinos_d ev/ v5.0
The installer has access to upd ate the SAS configuration file sasv8.cfg located in the SASROOT
d irectory

Once the location of SASROOT has been id entified and all the prerequisites have been m et, Formatiert: Einzug: Links: 0 cm
apply the follow ing steps.

1.Create the ClinOS root d irectory. An exam ple is: Formatiert: Keine Aufzählungen oder
/ usr/ local/ biostat/ clinos/ clinos_d ev/ v5.0 Nummerierungen

2.Copy the clinos5.tar file into this d irectory from MAFiles source location located at: Formatiert: Nummerierung und
Aufzählungszeichen
\ \ Mafiles\ bd m \ Statistical Program m ing\ ClinOS\ Version 5\ installer
to the ClinOS root.
3.Uncom press this file by typing the UN IX com m and :
tar –xfv clinos5.tar
4.Verify that the follow ing fold ers are created :
clinos_d ata
clinos_globals
clinos_tools
cod elib
5.Verify the existence of the follow ing files:
clinos_d ata/ config.sas7bd at
clinos_globals/ global_config.sas
clinos_tools/ autoexec.sas
clinos_tools/ autoexec_d rug.tem plate
clinos_tools/ autoexec_stud y.tem plate
clinos_tools/ autoexec_task.tem plate
clinos_tools/ titles.sas
clinos_tools/ titles_task.tem plate
cod elib/ config.sas
cod elib/ d ateback.sas
cod elib/ getchild .sas
cod elib/ gettitle.sas
cod elib/ init.sas
cod elib/ levad m .sas
cod elib/ locate.sas
cod elib/ logeval.sas
cod elib/ m title.sas
cod elib/ pagenum .sas
cod elib/ prtsetup.sas
cod elib/ retire.sas
cod elib/ sam ple_config.sas
cod elib/ setpath.sas

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cod elib/ setup.sas

cod elib/ snapshot.sas
6.Ed it the SASROOT/ autoexec.sas
Ad d these lines d efining w here ClinOS v5 w ill store its d ata:
/ * Set ClinOS d ata libnam e */ Formatiert: Einzug: Links: 0 cm
7. libnam e clinosd t “/ u sr/ local/ biostat/ clinos/ clinos_d ev/ v5.0/ clinos_d ata”; Formatiert: Keine Aufzählungen oder
Nummerierungen
Ad d these lines to the SASROOT/ sasv8.cfg for the SASAUTOS so that it recognizes the Formatiert: Nummerierung und
location of the new m acros: Aufzählungszeichen

-SET SASAUTOS (
6. "/ u sr/ local/ biostat/ clinos/ clinos_d ev/ v5.0/ cod elib"
Formatiert: Einzug: Links: 0 cm
Ed it the SASROOT/ autoexec.sas
Formatiert: Einzug: Links: 0 cm

You have com pleted installing all the necessary files. You m ay w ant to refer to the Formatiert: Einzug: Links: 0 cm
configuration options of the ClinOS system at:

Formatiert: Standard
Formatiert: Nummerierung und
Aufzählungszeichen

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6.Append ix A: Installation Checklist

Item s in italics represent com m and s to be inserted or ed ited d uring installation proced ure. Formatiert: Einzug: Links: 0 cm

# D escription Comments Initial/

D ate
1. Log onto UN IX server w ith the ad m inistration
account w ith proper privileges.
2. Create the ClinOS root d irectory. An exam ple
is:
/usr/local/biostat/clinos/clinos_dev/v5.0
3. Upd ate the privileges to this d irectory so that
it can only be read by users. For exam ple:
chm od 755
/usr/local/biostat/clinos/clinos_dev/v5.0
4. ftp the source file clinos.tar on MAFILES to Formatiert: Einzug: Links: 0 cm,
UN IX server. The source file is located on Erste Zeile: 0 cm

MAFILES at: \ \ Mafiles\ bd m \ Statistical

Program m ing\ ClinOS\ Version 5\ installer
5. Apply the uncom press com m and :
tar -xfv clinos5.tar
6. Verify that the follow ing fold ers are created
clinos_d ata Formatiert: Keine Aufzählungen oder
Nummerierungen
clinos_globals
clinos_tools Formatiert: Nummerierung und
Aufzählungszeichen
7. Verify the existence of the follow ing files:
clinos_d ata/ config.sas7bd at Formatiert: Keine Aufzählungen oder
Nummerierungen
clinos_globals/ global_config.sas
clinos_tools/ autoexec.sas Formatiert: Nummerierung und
Aufzählungszeichen
clinos_tools/ autoexec_d rug.tem plate
clinos_tools/ autoexec_stud y.tem plate
clinos_tools/ autoexec_task.tem plate
clinos_tools/ titles.sas
clinos_tools/ titles_task.tem plate
cod elib/ config.sas
cod elib/ d ateback.sas
cod elib/ getchild .sas
cod elib/ gettitle.sas
cod elib/ init.sas
cod elib/ levad m .sas
cod elib/ locate.sas
cod elib/ logeval.sas
cod elib/ m title.sas
cod elib/ pagenum .sas
cod elib/ prtsetup.sas
cod elib/ retire.sas
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cod elib/ sam ple_config.sas

cod elib/ setpath.sas
cod elib/ setup.sas
cod elib/ snapshot.sas
8. Ed it the SASROOT/ autoexec.sas
Ad d a line d efining w here ClinOS v5 w ill
store its d ata. A sam ple w ould look like:

/ * Set ClinOS d ata libnam e */

libnam e clinosd t
“/usr/local/biostat/clinos/clinos_dev/v5.0/clinos_data”;

9. Ad d a line to the SASROOT/ sasv8.cfg so that

it recognizes the location of the new m acros.
For exam ple:

-SET SASAUTOS (
"/usr/local/biostat/clinos/clinos_dev/v5.0/codelib"
10. Ed it the configuration file located at:
cod elib/ sam ple_config.sas

11. Ensure that all the paths reflect the installed

configuration. Refer to the d ocum entation to
und erstand the m eaning of the param eters Formatiert: Schriftart: (Standard)
Palatino, Nicht Fett
located at:
Formatiert: Schriftart: Arial
http:/ / gw iz / groups/ Magi/ projects/ clinos/ Formatiert: Schriftart: Arial
12. Subm it this program w ith the d efault SAS Formatiert: Textkörper-Zeileneinzug
version 8.2 com m and such as: Formatiert: Textkörper-Zeileneinzug,
Aufgezählt + Ebene: 1 + Ausgerichtet
an: 1,9 cm + Tabstopp nach: 2,54 cm
sas8 sam ple_config.sas + Einzug bei: 2,54 cm
Formatiert: Nummerierung und
13. Review the log file sam ple_config.log to verify Aufzählungszeichen
that the configurations are applied and that Formatiert: Schriftart: Arial
the ClinOS m acro %config is w orking. Formatiert: Schriftart: Arial
This document defines change control procedures to be followed in the implementation
Formatiert: Schriftart: Arial
of modifications to:
 production application software developed or supported by Meta-Xceed on Meta- Formatiert: Schriftart: Arial

Xceed production servers and client machines; Formatiert: Schriftart: Arial

 environment software on Meta-Xceed production servers including, but not Formatiert: Schriftart: Arial
limited to: operating systems, backup utilities, file share utilities, editing utilities, Formatiert: Schriftart: Arial
file compression utilities, and version control systems;
Formatiert: Schriftart: Arial
 software on Meta-Xceed client machines including, but not limited to: operating
Formatiert: Schriftart: Arial
systems, standard desktop applications, and office automation software;
 Meta-Xceed server or client hardware; Formatiert: Schriftart: Arial
Formatiert: Textkörper-Zeileneinzug
Any installation or modification to an application, whether validated or not, on a Formatiert: Schriftart: Arial
production server, requires the change control process. Formatiert: Schriftart: Arial
Formatiert: Einzug: Links: 0 cm
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Formatiert: Überschrift 2
Formatiert: Nummerierung und
Aufzählungszeichen ...
Formatiert: Schriftart: Arial, Fett
3.3. Participants Formatiert: Schriftart: Fett

Project Manager: The Project Manager is the senior technical person accountable for a Formatiert: Schriftart: Arial
Meta-Xceed developed or supported application. The Project Manager is responsible Formatiert: Schriftart: Arial
for: Formatiert: Schriftart: Arial
Formatiert: Schriftart: Arial
 Directing the application's change control process.
Formatiert
 Working with the Requester, Project Sponsor, analysts, programmers, testers, ...

and applications architecture in preparing an Impact Analysis. Formatiert: Nummerierung und

Aufzählungszeichen ...
 Communicating the Change Review Board's decisions to the User, Project
Formatiert: Schriftart: Arial
Manager, and to the Requester of the CR, explaining each acceptance or
rejection. Formatiert: Schriftart: Arial
 Ensuring all documentation is identified and updated as necessary prior to Formatiert: Schriftart: Arial
production release (including system development life cycle documents, testing, Formatiert: Schriftart: Arial
user guides, system administrator guides, and any technical or standard Formatiert: Schriftart: Arial
operating procedures impacted by the change).
Formatiert: Schriftart: Arial
 Ensuring the change is implemented.
 Debriefing the Change Review Board on the production release. Formatiert: Schriftart: Arial

 Signing off upon final disposition of a CR. Formatiert: Schriftart: Arial

Formatiert: Schriftart: Arial
Requester: Requester is anyone initiating a change. Formatiert: Schriftart: Arial
Formatiert: Schriftart: Arial
Project Sponsor: The Project Sponsor is the product user community's representative
Formatiert: Schriftart: Arial
for change control and will be the designated system/data owner. The Project Sponsor
is responsible for: Formatiert: Schriftart: Arial
Formatiert: Textkörper-Zeileneinzug
 Assisting the Project Manager in preparing the Impact Analysis. Formatiert: Schriftart: Arial, Fett
 Identifying and directing all required updates to user generated work flow SOPs, Formatiert: Schriftart: Arial, Fett
guidelines, and practice documents prior to production release and reporting
Formatiert: Schriftart: Arial
completion of these tasks to the Project Manager.
Formatiert: Schriftart: Arial, Fett
Formatiert: Schriftart: Fett
3.4. Initiating a Change Control (CR) Formatiert: Schriftart: Arial
Formatiert: Schriftart: Arial
The Change Request form (CR) is the mechanism by which significant enhancements, Formatiert: Schriftart: Arial
updates and new product implementations are requested and malfunctions are reported.
Formatiert: Schriftart: Arial
For smaller enhancements and bug fixes, the online Change Control Note (CCNote) can
be used to report the items more efficiently. Formatiert ...
Formatiert: Nummerierung und
Any user or developer may generate a request. The CR form and CCNote can be Aufzählungszeichen ...
access on Meta-Xceed servers. For the CR number will only be assign after all the Formatiert: Schriftart: Arial
initiating sections have been completed. The CCNote will have an identification number Formatiert: Schriftart: Arial
automatically assigned to it upon request.
Formatiert: Schriftart: Arial

The CR form and CCNote consists of sections that: Formatiert: Textkörper-Zeileneinzug

 Describe the reasons, procedures and alternatives for the requested change and Formatiert: Nummerierung und
Aufzählungszeichen
identifies the type of change (bug, maintenance release, upgrade, new install, ...
etc.) being made Formatiert: Schriftart: Nicht Fett
 Determine the impact of the requested change (major or minor) Formatiert: Nummerierung und
Aufzählungszeichen ...
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 Identify the documents required for validation of the requested change

 Document approval to implement the change
 Certify all necessary activities were completed for the change.
Formatiert: Einzug: Links: 1,27 cm
The Project Manager determines whether the impact of the requested change is major
or minor. If it is major, an Impact Analysis is performed.

The Impact Analysis identifies how changes to the software might impact critical
business functions or validation status of systems and/or result in the loss or interruption
of operations.

Formatiert: Nummerierung und

3.5. Approval Aufzählungszeichen

A CR is required for all proposed changes. Documentation for minor changes will follow Formatiert: Einzug: Links: 1,27 cm
the System Development Life Cycle. Documentation for major changes is defined by the
Project Manager. The validation documentation necessary for a proposed change is
dependent upon the size, complexity and impact of the system and the criticality of the
data or processes the system manages.
Formatiert: Einzug: Links: 1,9 cm
Formatiert: Nummerierung und
3.6. Implementation Aufzählungszeichen

The project manager completes the Implementation Plan (part of the CR form),
identifying critical milestones such as completion of validation documents before going Formatiert: Einzug: Links: 1,27 cm
into production, pre requisite activities, work to be performed by other groups, etc.
Once the change is coded, tested, and documented per SDLC procedures or
deliverables stated in the MCR, the changed is implemented. The Project Manager
notifies impacted groups that the change has taken place.

The original CR is retained in the active file until final disposition. Upon final disposition,
the original CR will be filed and retained as a system development life cycle document.

Formatiert: Textkörper-Zeileneinzug

Formatiert: Einzug: Links: 0 cm

Installation Excecuted by: ___________________________

Signature: _______________________________________ Date: ____________

Formatiert: Nummerierung und
4. System Development Life Cycle for Meta-Xceed Aufzählungszeichen

Code: 1004 CFR: 18251

Effective Date: December 15, 1999
Approved By: Sy Truong Approved Date: Jan 19, 2000

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Formatiert: Nummerierung und

4.1. Purpose Aufzählungszeichen

This procedure describes the methodology that Meta-Xceed uses to develop validated Formatiert: Schriftart: Arial
information systems. Meta-Xceed System Development Life Cycle is available as a Formatiert: Schriftart: Arial
document on the Meta-Xceed servers.
Formatiert: Textkörper-Zeileneinzug
Formatiert: Schriftart: Arial
4.2. Definitions Formatiert: Schriftart: Arial

System Testing: Testing conducted on a complete, integrated system to evaluate the Formatiert: Schriftart: Arial
system's compliance with its functional specifications. Formatiert: Schriftart: Arial
Formatiert: Nummerierung und
User Acceptance Testing: Formal testing conducted to determine whether or not a Aufzählungszeichen
system satisfies its acceptance criteria as defined in the user requirements and to Formatiert: Schriftart: Fett
enable the user to determine whether or not to accept the system.
Formatiert: Schriftart: Fett

Validation: The process of evaluating system during or at the end of the development Formatiert: Schriftart: Fett
process to determine whether it satisfies specified requirements. Formatiert: Textkörper-Zeileneinzug

Project Plan: Lists outlining tasks, deliverables, resources, and timelines for a project. Formatiert: Schriftart: Fett

Formatiert: Nummerierung und

4.3. Tasks Aufzählungszeichen

Development Formatiert: Schriftart: Fett

 Identify the need for new computerized systems. Formatiert: Einzug: Links: 1,9 cm
 Provide user requirements which are the basis for the functional design. Formatiert: Nummerierung und
 Participate in user acceptance testing. Aufzählungszeichen
 Accept the system for release into production. Formatiert: Aufgezählt + Ebene: 1 +
 Approve the project scope and approach from the technical feasibility point of Ausgerichtet an: 1,9 cm + Tabstopp
nach: 2,54 cm + Einzug bei: 2,54 cm
view, adherence to standards, and appropriateness to the overall IT strategy and
architecture. Formatiert: Aufgezählt + Ebene: 1 +
Ausgerichtet an: 1,9 cm + Tabstopp
 Define system design, development, and implementation plans and schedules. nach: 2,54 cm + Einzug bei: 2,54 cm
 Review system integration issues with other initiatives.
 Review technical conversion from current to new systems within implementation
plans.
 Manage system and user acceptance testing.
Formatiert: Einzug: Links: 1,27 cm
Quality Assurance / Validation Formatiert: Schriftart: Fett
 Oversee the quality assurance process for the product. Formatiert: Einzug: Links: 1,9 cm
 General oversight for all testing.
Formatiert: Nummerierung und
 Enforce validation requirements for the system. Aufzählungszeichen
 Oversee the change control process for the application.
 Provide oversight of validation efforts. Formatiert: Textkörper-Zeileneinzug,
Aufgezählt + Ebene: 1 + Ausgerichtet
an: 1,9 cm + Tabstopp nach: 2,54 cm
+ Einzug bei: 2,54 cm
Formatiert: Textkörper-Zeileneinzug

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 Formatiert: Nummerierung und
Aufzählungszeichen ...
Formatiert ...
ClinOS v5.0 Installation InstructionsStandard Operating Procedure Version 1.0
Formatiert ...
Formatiert ...
4.4. SDLC Stages Formatiert ...
Formatiert: Nummerierung und
Summary Aufzählungszeichen ...
The system development methodology is based on a life cycle approach consisting of
Formatiert ...
the following stages:
 Initiation Formatiert ...
 Requirements Formatiert ...
 Design Formatiert ...
 Development Formatiert ...
 System Testing Formatiert ...
 User Acceptance Formatiert ...
 Rollout
Formatiert ...
 Production
Formatiert
 Retirement ...
Formatiert ...
Stage Completion Formatiert ...
Each stage will not be complete until the deliverables required by that stage are Formatiert ...
complete. Formatiert ...
Formatiert ...
Initiation Stage
In the Initiation Stage, either Meta-Xceed or the client identifies an area where a new Formatiert ...
system, improvements to an existing system, or changed processes would significantly Formatiert ...
enhance productivity. A Meta-Xceed consultant works with the client to define the Formatiert ...
business objectives of the project.
Formatiert ...
Formatiert
Requirement Stage ...
During the Requirements Stage, the users establish and document the needs of the Formatiert ...
business functions. The requirements will define what the system should do. The Formatiert ...
Validation Protocols and Plans are established in order that documented evidence that Formatiert ...
the system has been validated by the time it is put into production.
Formatiert ...
Deliverables Formatiert ...
 Project Plan Formatiert: Nummerierung und
Aufzählungszeichen
 User Requirements ...

 Validation Protocols Formatiert ...

Formatiert ...
Formatiert ...
Design Stage Formatiert ...
In the Design Stage, the developers prepare a functional specification which describes
Formatiert ...
how the proposed systems solution will meet user requirements. The developers then
produce a design specification which will define how the system will be constructed to Formatiert ...
fulfill the functional specification. Formatiert ...
Formatiert ...
Deliverables Formatiert ...
 Governing Structure Document
Formatiert ...
 User Acceptance Test Plan
Formatiert: Nummerierung und
 User Acceptance Test Cases Aufzählungszeichen ...
 User Acceptance Test Case Traceability Matrix
Formatiert ...
 System Architecture Specification Document
Formatiert
 Functional Specification ...
Formatiert ...
GenentechMeta-Xceed, Inc. Confidential & Proprietary Page 16 Formatiert ...
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Formatiert ...
ClinOS v5.0 Installation InstructionsStandard Operating Procedure Version 1.0

 Rollout Plan Formatiert: Schriftart: Arial

 Training Plan Formatiert: Schriftart: Arial
 Project Coding Standards Formatiert: Schriftart: Arial
 Design Specification Formatiert: Schriftart: Arial
 System Test Plan
Formatiert: Schriftart: Arial
 Database Architecture ER Diagram
Formatiert: Schriftart: Arial
Formatiert: Textkörper-Zeileneinzug
Development Stage
In the Development, the developers translate design specifications into Stage computer Formatiert: Schriftart: Arial
programs and perform unit and integration testing on the programs. Formatiert: Textkörper-Zeileneinzug

Deliverables Formatiert: Schriftart: Arial

 Functional Review Report Formatiert: Textkörper-Zeileneinzug,
 System Test Cases Aufgezählt + Ebene: 1 + Ausgerichtet
an: 1,9 cm + Tabstopp nach: 2,54 cm
 System Test Case Traceability Matrix + Einzug bei: 2,54 cm
 Source and Executable Code
Formatiert: Nummerierung und
Aufzählungszeichen
Formatiert: Schriftart: Arial
System Testing Stage
Formatiert: Schriftart: Arial, Fett
In the System Testing Stage, the system is tested against the functional specification.
Formatiert: Schriftart: Fett
Deliverable Formatiert: Textkörper-Zeileneinzug
System Test Summary Report Formatiert: Schriftart: Arial
Formatiert: Schriftart: Arial
Formatiert: Schriftart: Arial
User Acceptance Stage
Formatiert: Schriftart: Arial
In the User Acceptance Stage, the system is tested against user requirements.
Formatiert: Schriftart: Fett
Deliverable Formatiert: Textkörper-Zeileneinzug
User Acceptance Test Summary Report Formatiert: Schriftart: Arial
Formatiert: Schriftart: Arial

Rollout Stage Formatiert: Schriftart: Arial

In the Rollout Stage, users are trained and provided with operating procedures. The Formatiert: Schriftart: Arial, Fett
system is installed in a QA environment and tested to ensure it operates as intended Formatiert: Schriftart: Arial
throughout its anticipated operating range.

Deliverables Formatiert: Schriftart: Arial

SOPs and Guidelines
Training Manuals Formatiert: Schriftart: Arial
Training Logs Formatiert: Schriftart: Arial
Validation Summary Report
Formatiert: Schriftart: Arial
Completed Installation Qualification/Operational Qualification Document
Formatiert: Schriftart: Arial

Production Stage Formatiert: Schriftart: Arial, Fett

In the Production Stage, the system may experience bug fixes, enhancements, and Formatiert: Schriftart: Fett
upgrades to maintain or increase its performance and functionality. Formatiert: Schriftart: Arial
Formatiert: Schriftart: Arial

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Deliverables Formatiert: Schriftart: Arial

Summary Report
Change Request

Retirement Stage Formatiert: Schriftart: Arial, Fett

In the Retirement, the system is removed from the production Stage environment and Formatiert: Schriftart: Fett
archived. Formatiert: Schriftart: Arial
Formatiert: Schriftart: Arial
Deliverable
Decommission Plan Formatiert: Schriftart: Arial

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Formatiert: Schriftart: Arial

Formatiert: Nummerierung und
5. Standard Operating Procedure (SOP) Aufzählungszeichen

Management
Code: 1005 CFR: 18251
Effective Date: January 31, 2003
Approved By: Sy Truong Approved Date: January 31, 2003

Formatiert: Nummerierung und

5.1. Purpose Aufzählungszeichen

This procedure describes the steps taken during the management of the SOP
documents. It will describe how the documents are to be authored, updated and
maintained to ensure proper relevance in the event of changes.

Formatiert: Nummerierung und

5.2. Scope Aufzählungszeichen

Formatiert: Standard
This document defines procedures to be followed in the authoring and modifications to
Standard Operating Procedures (SOP). The SOP can be applied to the process of:
 production application software development, Formatiert: Nummerierung und
 environment software, but not limited to: operating systems, backup utilities, file Aufzählungszeichen

share utilities, editing utilities, file compression utilities, and version control
systems;
 software on client machines including, but not limited to: operating systems, Formatiert: Aufgezählt + Ebene: 1 +
standard desktop applications, and office automation software; server or client Ausgerichtet an: 1,9 cm + Tabstopp
nach: 2,54 cm + Einzug bei: 2,54 cm
hardware.

Any procedure which has a significant affect the software development of Meta-Xceed
applications, whether validated or not, on a production server requires a standard
operating procedure to be defined.
Formatiert: Standard
Formatiert: Nummerierung und
5.3. Procedure Aufzählungszeichen

The following procedure should be followed when a procedure is authored.

Formatiert: Nummerierung und
5.3.1. Identify SOP Aufzählungszeichen
 Document the standard operating procedure in a way that best describe
how it is to be implemented.
 Document the scope of the procedure to ensure that it is not overstating
other procedures.
 Document the steps of procedure or definitions of the procedure.

Formatiert: Nummerierung und

5.3.2. Approval Aufzählungszeichen
 Determine if the SOP needs review and approval.
 Circulate document for review and approval.
Formatiert: Aufgezählt + Ebene: 1 +
 Incorporate review and update the documentation for final approval Ausgerichtet an: 3,17 cm + Tabstopp
nach: 3,81 cm + Einzug bei: 3,81 cm
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5.3.3. Implementation
 Send updated SOP to all members which the SOP applies to for training.
 Have team members sign and hold discussions for review of the SOP if
questions arise.
5.3.4. Review Changes
 Identify changes as needs changes and update the SOP to fit the current
operating procedure. The steps of changes do not require an authoring
of a new SOP but the steps are similar to those from 5.3.1 through 5.3.3.
 Review old SOP that has not been changed on a yearly basis to ensure
that SOPs matches the way the procedures are intended.

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Formatiert: Nummerierung und

6. Training Methods Aufzählungszeichen

Code: 1006 CFR: 18251

Effective Date: January 31, 2003
Approved By: Sy Truong Approved Date: January 31, 2003

Formatiert: Nummerierung und

6.1. Purpose Aufzählungszeichen

This SOP defines and describes the Learning and Development programs and the
training activities available. This SOP applies to all Meta-Xceed personnel.

Formatiert: Nummerierung und

6.2. Policy Aufzählungszeichen

Formatiert: Schriftart: Arial

6.2.1. All personnel in will be trained in relevant standard operating procedures
(SOPs) and guidelines (GDLs). The purpose of this training is to ensure Formatiert: Überschrift 3
personnel are qualified to perform assigned tasks. Formatiert: Nummerierung und
Aufzählungszeichen
6.2.2. These same personnel will be expected to complete internal or external Formatiert: Schriftart: Arial
training (e.g., courses, workshops, conferences, etc.) relevant to their job Formatiert: Schriftart: Arial
expectations and to the implementation of Good Clinical Practices (GCP)
Formatiert: Schriftart: Arial
in those job tasks.

6.2.3. All personnel will document completed training activities.

Formatiert: Schriftart: Arial
6.2.4. All completed training records will be will be maintained in Meta-Xceed
central records. Formatiert: Schriftart: Arial

6.3. Procedures
Formatiert: Schriftart: Fett
6.3.1. Core Curriculum: New employee orientation, SOP/GDL training
regulatory and compliance training, job specific, and professional Formatiert: Mit Gliederung + Ebene:
3 + Nummerierungsformatvorlage: 1,
development training programs. 2, 3, … + Beginnen bei: 1 +
Ausrichtung: Links + Ausgerichtet an:
6.3.2. Foundational Curriculum: Curriculum aligned by job function, providing 2,54 cm + Einzug bei: 3,81 cm
a map of programs and learning activities for employee development.

6.3.3. SOP/GDL Training: All employees will be trained on SOPs and GDLs
relevant to their job function. SOP/GDL training will be delivered in a
paper or online or formal presentation formats as appropriate.
Formatiert: Schriftart: Palatino
Formatiert: Standard
Formatiert: Nummerierung und
Aufzählungszeichen

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7. Software Version Control Management

Code: 1007 CFR: 18251
Effective Date: January 31, 2003
Approved By: Sy Truong Approved Date: January 31, 2003

Formatiert: Nummerierung und

7.1. Scope/Goals Aufzählungszeichen

The scope of Software Version Control Management will be to implement the

configuration management and some aspects of release management for all of the
software developed by Meta-Xceed.

Formatiert: Nummerierung und

7.2. Definitions Aufzählungszeichen

Configuration management for will be defined as the ability to:

- Uniquely identify the versions of each software item. Formatiert: Nummerierung und
- Identify the versions of each software item that together constitute a specific version Aufzählungszeichen
of a complete product. Formatiert: Aufgezählt + Ebene: 1 +
- Control updating of a given software item including source code (such as program Ausgerichtet an: 1,27 cm + Tabstopp
nach: 1,9 cm + Einzug bei: 1,9 cm
code, software testing code, technical database design documents, etc) and project
documentation (eg, MS Word).

Release management will be defined as the ability to:

- Provide coordination for updating multiple products as required. Formatiert: Aufgezählt + Ebene: 1 +
- Provide a software baseline library for each version of a product. Ausgerichtet an: 1,27 cm + Tabstopp
nach: 1,9 cm + Einzug bei: 1,9 cm
- Notify any and all affected groups and individuals of changes to the software
baseline library. Formatiert: Nummerierung und
Aufzählungszeichen
- Ensure all documents and source files are in place for validation.
Formatiert: Aufgezählt + Ebene: 1 +
Ausgerichtet an: 1,27 cm + Tabstopp
nach: 1,9 cm + Einzug bei: 1,9 cm
7.3. Process
The following is the general work process of updating modules to software. Formatiert: Einzug: Links: 1,27 cm

Work Process Details Formatierte Tabelle

Modularize software development All functions within software are developed
in modules aligned by functions. Each
module is saved to physical separate files.
This can be in a form of source code or
data files.
Editing and updating files Each module can only be edited or
updated by one developer at a time. The
modules therefore are broken into small
enough pieces to not clash with multiple
updates.
Document Changes All updates have to correspond to a
change control request. This is process is
initiated in the change control procedure.

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After changes are implemented,

comments can be added to the change
control documents.
Notify Release All software implementation are to be
notified to all users by email. Further
documentation can be entered through the
change control document during release of
any bug fixes or updated versions.
Formatiert: Überschrift 1

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Instruction.doc
ClinOS v5.0 Installation InstructionsStandard Operating Procedure Version 1.0

Formatiert: Nummerierung und

8. Source Code Conventions Aufzählungszeichen

Code: 1008 CFR: 18251

Effective Date: January 31, 2003
Approved By: Sy Truong Approved Date: January 31, 2003

Formatiert: Nummerierung und

8.1. Scope Aufzählungszeichen

The scope of source code conventions is to specify the format and documentation
requirements for software source code development. This will ensure the quality and
legibility of source code among the development team within Meta-Xceed.

Formatiert: Nummerierung und

8.2. Definitions Aufzählungszeichen

Program Header – This is captures comments that goes at the very top of each source Formatiert: Schriftart: Fett
code program. It is not program logic but comments that describe the program.

Section Comments – The comments describing in plain English each section within a Formatiert: Schriftart: Fett
program.

Variables – Variables are either local temporary or permanent variables corresponding

to columns in an external database.

Formatiert: Nummerierung und

8.3. Procedures Aufzählungszeichen

Procedure Details Formatierte Tabelle

Starting new program All new program needs to have a standard
program header. This includes the program name,
description, input, output, author name and date.
Editing an existing Each section of logic within a program needs to
program have a section comment. This is a brief one or two
sentence describing the section. This appears at
the top of each section.

Updates the program header is needed if to reflect

edits.
Working with variables Variables names need to be direct and short. For
SAS programs, case is not important but for HTML
or Java and JavaScript, the variable starts with
lower case and has an upper case letter for the
start of each word. Variable names should be
consistent across programs.
Programming Format All programs are left justified with indentations
within each program section containing three

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ClinOS v5.0 Installation InstructionsStandard Operating Procedure Version 1.0

spaces. No tab are to be used. It is

recommended for programs to be under a 1000
lines if possible for modularity.

Formatiert: Nummerierung und

Aufzählungszeichen

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ClinOS v5.0 Installation InstructionsStandard Operating Procedure Version 1.0

9. Storage and Maintenance of Documents

Code: 1009 CFR: 18932
Effective Date: January 31, 2003
Approved By: Sy Truong Approved Date: January 31, 2003

Formatiert: Nummerierung und

9.1. Purpose Aufzählungszeichen

This procedure describes the process of storing and maintaining documents for Meta-
Xceed. This will ensure that the latest versions of the documents are secured and
available.

Formatiert: Nummerierung und

9.2. Process Aufzählungszeichen

Storing Electronic Documents Formatiert: Schriftart: Fett

Documents are authored in an electronic form and normally are stored as Microsoft
Word documents. The documents are stored in multiple computer servers on multiple
locations. One version will be stored at Meta-Xceed head quarters on the main server.
The second version is stored on a web server which is maintained by an internet service
provider (ISP) which Meta-Xceed contracts with. The ISP is Verio and servers are
maintained in Mountain View with additional backups in different locations through out
the United States. This will ensure that in an event that there is lost of data and
documents at one location, that the other location can be used to restore the files.

Storing Paper Documents

Paper documents to be stored in metal filing cabinets at Meta-Xceed head quarters.
These are fire resistant and are locked with key access to only administrators of
documents. Formatiert: Schriftart: Nicht Fett

Maintaining Documents
All electronic and paper versions of documents are to be updated in a similar manner.
Old copies are placed a backup folder and the new updated versions are to be placed in
the designated folder. This ensures that the latest versions of the documents are in the
assigned folders while maintaining a history of older versions in a backup folder. Formatiert: Schriftart: Nicht Fett

Accessing Documents
All electronic documents will be controlled by group permissions of the operating
system. On the main server within Meta-Xceed head quarters, NT groups will be set so
that appropriate read and write access are granted. Only administrators will have write
access. Similar privileges are set on the UNIX servers of the offsite mirrored locations.

Formatiert: Überschrift 1

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 Standard Operating Procedures
Husbandry of Semi-Aquatic Species Housed in a Satellite Facility Location

Principal investigator: Protocol number(s):

Location (building and room): Species:
Maximum days in this location: Date approved:
Individuals responsible for care:

Procedures for Quarantine

 If species are obtained with uncertain health status (e.g., from the wild), describe how they will be housed (e.g.,
separate cages, duration of separate housing) and monitored to ensure that they newly acquired animals will
not transmit diseases to species already in the PI lab. If no quarantine is necessary, write No quarantine
required .

Transportation
 Describe how animals the will be transported (e.g., from the wild or UAC) to the satellite location

Personal Protective Equipment (PPE):

 Describe any PPE that must be used when handling the animals. If no PPE is necessary, write No PPE required .

Description of Housing (It is better to provide an acceptable range of the specific items listed below to allow flexibility in
the use of professional judgment and to avoid non-compliance as a result of overly restrictive parameters)
 Type and size of housing (tank, raceway, pond)
 Methods of identification (tank and/or individual animal, as appropriate)
 Water source (municipal water, surface ater, artificial sea ater, etc…). Include how chlorine and chloramines
will be removed, if using municipal water.
 Minimum and maximum number of animals per enclosure (e.g., 4-6 adult zebrafish/liter of water)
 Minimum and maximum water temperatures, including any variation for different life stages, spa i g, etc…
(e.g., 24-28oC for non-spawning zebrafish)
 Minimum and maximum water quality parameters including conductivity (salinity), pH, oxygenation and levels of
NH4 and NO2
 Type of water filter and frequency of cleaning
 Method for water recirculation, if any
 Minimum and maximum tank humidity
 Minimum and maximum light-dark cycle, including any variations for different life stages, spawning etc… (e.g.,
14-10 hour light cycle for non-spawning zebrafish)
 Type, source (vendor) and storage of feed, the amount of feed per animal and frequency of feeding for all life
stages
 Enrichment (e.g., naturalistic environment, group housing, gravel or other substrate, plants, visual barriers or
hides, terrestrial areas, as appropriate)
 Assurance that electrical hazards have been minimized (e.g., electrical outlet covers are present, drip-loops on
electrical cords)

Description of Daily Monitoring (includes weekends and holidays)

 Record water temperature on the Daily Animal Care Assessment Log
 Record tank humidity on the Daily Animal Care Assessment Log
 Record the time the lights are turned on and off on the Daily Animal Care Assessment Log
 Record feeding on the Daily Animal Care Assessment Log
 Observe all animals for signs of illness or distress and indicate their health status on the Daily Animal Care
Assessment Log

Page 1 of 2
  Record treatments given on the Daily Animal Care Assessment Log and any other health issues on the
appropriate Health Record
 Check that the water and tank are clean and the water level is sufficient
 Check that the tank is not damaged and clean the area around the tank, if necessary
 Initial the Daily Animal Care Assessment Log

Description of Other Activities (weekly, monthly, biannually, yearly, as appropriate)

 Clean the tops of tanks for removal of food debris weekly
 Methods and frequency for gravel or substrate cleaning (syphoning)
 Methods and frequency for assessing water quality including conductivity, pH and levels of NH4 and NO2; include
calibration of pH and conductivity meters
 Methods for restoring water quality to specified parameters
 Methods and frequency of water replenishment (include percentage of total volume; how chlorine and
chloramines will be removed)
 Methods and frequency of tank cleaning (algae removal)
 Methods and frequency of tank disinfection
 Other, if any

Health Monitoring and Veterinary Care Plan (List who to contact for veterinary care of sick animals)
 UAC veterinary support can be contacted at 626-6702 or UAC-Clinical@email.arizona.edu
 Co tact the o ‐call eteri aria as listed o the Weeke d a d E erge cy Co tact list
 Describe common illnesses and the treatments that can be applied
 Provide details of who to contact for veterinary care in the event of more serious illness
 Describe the expected morbidity of the different life stages that will be housed (e.g., 5-10% per week for adults)
 Describe the expected mortality of the different life stages that will be housed
 Describe what you will do if morbidity or mortality exceed the expected numbers for the different life stages

Criteria for Moribundity

 Animals will be euthanized when the following clinical signs occur:
o [insert protocol criteria]

Methods of Euthanasia and Carcass Disposal

 Animals will be euthanized by [insert protocol method(s)]
 Carcasses will be disposed of by [insert method]

Disaster/Contingency Plan
 In the event of power failure or other system failure/event that jeopardizes the health and well-being of the
animals, UAC must be immediately contacted so that animals can be moved. During week days, contact AHSC
UAC: 626-6702. On weekends or holidays contact the on-call veterinarian. If the veterinarian cannot be
contacted, contact the on-call supervisor for assistance. If neither can be reached, put the animals back into the
appropriate housing room. Call and leave a message at 626-6702 telling UAC off the incident and where the
animals are. If an animal has been injured by the event, immediate euthanasia will be performed and UAC
contacted to inform UAC of the event. Additionally, an adverse event report must be submitted to the IACUC
(http://orcr.vpr.arizona.edu/IACUC).
 If a catastrophic event incapacitates UAC facilities, the UAC Emergency Plan will be enacted.
 Assure that individuals who are responsible for the care of the animals are aware of these plans.
 Animals that must be euthanized due to emergency situations will be euthanized as above.

Page 2 of 2
 Standard Operating Procedure (SOP)
Title
Receiving of materials
QA Signature Area Manager
Signature
Date of signature Date of signature

Introduction: This document describes procedures to receive materials that will

be stored in the warehouse.

Objective: To receive the incoming raw, printed and packaging materials.

Responsibility: Receiver, QC/QA, Product Development Coordinator, Purchasing

Manager.

Section 1: Receiving General

The shipper/receiver will:

1.1 Inspect all incoming trucks for the following:

 The trucks must be covered and closed.

 Floorboards are dry and clean.

 No evidence of chemical spills, garbage, waste or

spoiled foods.

 Insect and rodent activity.

 Bad odor.

 Make a note of the truck license plate or trailer

number.

 Notify the Supervisor and QA of any issues.

1.2 Unload the shipment and inspect the condition of the shipment
to ensure:

 All products are on clean pallets.

 No damaged cases or packages.

  No evidence of any non-food items or items that could
contaminate the products being received.

 On receipt of damaged goods follow section 5.

1.3 Check the drivers slip to ensure the company states ‘Our
Company’

1.4 Tag each skid with the product name and BV code and notify
the Supervisor and QA of any issues.

1.5 Count the goods and compare the quantity, name, and lot
numbers to the information stated on the shipping documents
and company purchase order (PO). Investigate any
discrepancies.

1.6 Complete the “Receiving Log” with the following information:

Product Information:
 Received date
 PO number
 RA-Code
 Description
 Weight in kg (if applicable)
 Lot number
 Quantity received
 Shipment Supplier
 Shipment Carrier

Vehicle Inspection:
 Visual inspection
 Odor inspection
 Pest / Rodent activity
 Truck/trailer number

Receiver’s initial

1.7 Once QC has applied the QC approved green stickers store

product in the designated area.
1.8 For raw materials follow section 2.

1.9 For printed materials follow section 3.

1.10 For packaging components follow section 4.

Section 2: Receiving Raw Materials

The shipper/receiver will:

2.1 Follow section 1.

2.2 Place on hold labels on the skid/boxes.

2.3 Pass the PO with all relevant information to the QC department.

2.4 QC will take sample as per sampling procedure SOP New Raw
Material Approval.

2.5 Once the goods are acceptable, QC will:

 Place a “QC Approved sticker” on the product.

 Tag the product with lot number, date received, product name, RA-
code, purchase order number and quantity.
 Complete the “Receiving Log” with the following information:

QC Check
 Certificate of Analysis
 QC Approval
 Expiration Date
 Date of Rejection
 Date sample taken

QC inspector initial

2.6 Material deemed unacceptable (out of specification) will be tagged

by QC as “on hold” and should be moved to the QC hold area.

2.7 Further testing would be done by QC/R&D supervisor and if the

material is still out of specifications, it will be tagged with “QC
Rejected” tags and noted as rejected in the receiving log.

2.8 Purchasing Manager will contact the supplier as to the action

required for the rejected material i.e. to be returned, replaced,
destroyed, etc.

2.9 Purchasing Manager will inform the Receiver and QC with the
status of rejected material. QC will record the status of raw
materials on original PO and return the original PO back to
Purchasing Manager

2.10 QC will file the copy of PO in QC Rejected Material binder.

Section 3: Receiving Printed Materials

Printed materials include labels, printed bags, sleeves, printed boxes (not
shippers), etc.

The shipper/receiver will:

3.1 Follow section 1.

3.2 Place on hold labels on each side of the skid/each box.

3.3 Place labels out side the label room and all other printed
materials in the printed materials area.

3.4 Place the PO and associated documentation in the label room

door holder for sampling and QC checking.

Label control will:

3.5 Remove 5 samples from each batch of

labels/sleeves/bags/boxes/etc, write the new count on the
roll/box/etc, attach the samples to the PO and receiving paperwork
then pass to QC for inspection.

3.6 QC and the Product Development Coordinator will review the

printed materials as per SOP: Label Control.

3.7 On receipt of the “approved green stickers” from the Product

Development Coordinator, apply the ‘approved’ stickers over the
‘on hold’ stickers and store product in the designated area (i.e. label
room or printed materials area).

 For printed materials stored on skids in the warehouse (outside

of the label room) the Product Development Coordinator will
also supply box tags containing the product name and code.
These should be applied to the boxes (after the “approved
green stickers”) and the quantity in each box should be written
on the tag.

3.8 Material deemed unacceptable (out of specification) will be

tagged by Product Development Coordinator as “rejected” and
moved to the WHS or returned to the printer for replacement.

Section 4: Receiving Packaging components

 The shipper/receiver will:

4.1 Follow section 1.

4.2 Pass the PO to the Purchasing Manager.

4.3 Store the materials in the designated area.

Section 5: Receipt of Damaged Goods

On receipt of a damaged shipment the shipper/receiver will:

5.1Take a photo of the damaged product (camera in supervisors

office) and ensure the truck driver signs the receiving document as
evidence.

5.2 Notify QC.

On being notified of a damaged shipment QC will:

5.3 Inspect the damaged product and note the damage on the PO.

5.4 Place the damaged product in sterile plastic bag (if required) in
QC Detention Area, until notification is received from the
Purchasing Manager to return or destroy.

5.5 Label damaged product with all information: name, lot#,

quantity, report #, purchase order # and date.

5.6 Attach the picture to the signed Purchase Order and pass to the
Purchasing Manager (or e-mail photo to the Purchasing
Manager).

On receipt of a PO with damaged product the Purchasing Manager

will:

5.7 Instruct QC to save for supplier’s inspection or for disposal.

5.8 Contact the supplier for a claim.

5.9 If product is to be disposed, follow SOP Product Disposal.

Documentation
Receiving Log G:\Production\Receiving Log
QC Rejected tags
QC On Hold tags.
 Doc No: SOP 11
Revision No: 1
-
Revision Date:

Created By:

SECTION TITLE: STANDARD OPERATING PROCEDURES Approved By

DOCUMENT TITLE: TRAINING NEW EMPLOYEES Pages: 1

PURPOSE: This SOP provides guidelines for the training of new employees. This ensures that
all employees are familiar with health and safety issues, their responsibilities, company policies,
rules and obligations.

PERSON MONITORING
FREQUENCY CORRECTIVE ACTIONS RECORDS
RESPONSIBLE ACTIVITY

When findings deviate from written

standards the QA designate will document
findings on the Daily / Monthly GMP Audit
Form and notify the General Manager of
Daily GMP
the deviation.
According to Audit Daily GMP Audit,
QA Designate Audit Schedule, Monthly GMP Monthly GMP Audit,
Short term action will be initiated and
As Required Audit
recorded on the Daily / Monthly GMP audit
form. Long term action required, will be
discussed by management and corrective
actions / responsibilities and time frames
will be agreed and documented.

PROCEDURE DESCRIPTION:
1. All new employees are trained before starting his duties.

2. Training will cover the following points:

1. Personal Hygiene Requirements
2. Hygienic Handling of Food
3. Illness and Injuries
4. Cross – contamination
3. Each employee is required to certify in writing that he/she has received the training, and that they
understand the contents explained to them by signing the” Acknowledgement Record”.
4. New employee is taken on a plant tour, highlighting food and personal safety signs, emergency
signs and apparatus and emergency exits.

Macintosh HD:Users:main:Desktop:EXAMPLES:example 9:SOPs:SOP 11 Training of N#27A3A3.doc

Standard Operating Procedures
for
Manufacturing & Service

郭倉義
中山大學企業管理學系
• Imagine your are a manager of a bookstore
• You hired an hourly worker recently
• What are you going to do with him/her?
 No Time for
Training

Firefighting

Ineffective & Ineffective

Varied Results Training
 Develop Workplace Talents
• Understand Skills Required
• Breakdown job to pieces
Identify Critical • Identify Key Points / Reasons
Knowledge • Job breakdown Sheets

• Job Instruction (4 steps methods)

Transfer
Knowledge

• Confirm results of Training

• Adjust the Process
Verify Learning • (Plan, Do, Check, Action)
& Success
 Develop Workplace Talents
• Defining Critical Knowledge
– SOP:
• Identify work requirements
• Document work requirements
– Critical requirements vs. Personal preference
• Transferring the critical knowledge
– Job Instruction (Training Within Industry, TWI)
• Follow-up
– Verify the results
Five Critical Workplace Knowledge
Fundamental Skills

Ancillary Task Knowledge

Policies and Judgments

Core Job-specific Knowledge

Accumulated Know-how
 Driving a Car
Fundamental
Skills
Ancillary
Policies and
Tasks
Judgments
Knowledge

Core
Task
(Driving)

Accumulated Know-How
• Fundamental Skills
– Applicable to all driving situations
• Family cars, Racing cars, emergency vehicles
– Starting / Turning off the car
– Seat belts operation
– Accelerating / Braking
– Backing up
– General maneuvering (Turns, signals…)
• Ancillary Tasks Knowledge
– Secondary and supportive
• Driving is still possible without doing these task
• Outsource to other sources
– Filling the gas tank
– Change flat tires
– Change oil
– Servicing per manufacturer’s recommendations
• Policies and Judgments
– Rules for safe driving
• The right of road,
– Traffic signs
– Traffic lights
– Emergency vehicles
– Night driving
– Country driving
• Core task
– Driving on the road
• Apply knowledge in the context of real work
environment
– Share road with others
– Moving through the intersections
• Yellow light means Stop vs Rush
– Merging into traffic
– Passing
• Accumulated Know-how
• Appling knowledge become automatic
– Driving in various conditions
• Night conditions
• Winter condition
• Driving in fog
– Response to near-accident situation
– Driving etiquette
 Develop Workplace Talents
• Defining Critical Knowledge
– SOP:
• Identify work requirements
• Document work requirements
– Critical requirements vs. Personal preference
• Transferring the critical knowledge
– Job Instruction (Training Within Industry, TWI)
• Follow-up
– Verify the results
• Document work requirements
– Breakdown job to pieces
– Identify key points and reasons
– Job breakdown sheet
• Document work requirements
– Breakdown job to pieces
– Identify key points and reasons
– Job breakdown sheet
Vanilla Pound Cake
Vanilla Pound Cake
 Key Points
• Chapter 5
– Begin at a high level to understand the skill
requirements of the job
• Chapter 7
– Analyzing routine work
– Analyze a complex job from the health care
• Chapter 10
– Standardized complex engineering tasks
Reading Lists
• Chapter 5
• Chapter 7
• Chapter 8
• Chapter 9
• Chapter 10
 AFRICAN TECHNOLOGY POLICY STUDIES NETWORKS
Administrative Policies and Procedures Manual

1 GENERAL OFFICE ADMINISTRATION

1.1 Communication
1.1.1 ATPS seeks to provide all employees with current information on activities and
developments affecting the organization. Staff are strongly encouraged to ask
questions, maintain an active interest in ATPS activities, and offer suggestions. To
promote staff involvement in ATPS’s work, periodic retreats will be arranged by
the Secretariat.

1.1.2 Staff use of photocopying, long distance telephone, telex and fax equipment for
personal needs are to be recorded and reimbursed on a monthly basis. Staff should
limit personal telephone calls and other communications to essential matters.
When absent from the office, staff should provide information as to where they can
be contacted if necessary.

1.1.3 The Messenger handles incoming and outgoing mail under the supervision of the
Receptionist, who arranges for its distribution. All incoming and outgoing mail is
registered in the Mail Register by the Receptionist. A Fax Register is also
maintained by the Receptionist. However, any employee who picks a fax memo
must record its particulars in the fax Register.

1.2 Office Security

1.2.1 Access to the offices will be strictly controlled, and visitors will be permitted
access through the Receptionist. The front door will remain locked outside office
hours, and suitable security measures taken through the use of alarms and intruder
detection systems. Movement of equipment will be controlled by procedures
operating under the Fixed Assets procedure.

1.2.2 All visitors to the premises will be issued with visitors’ badges at the reception.
Badges must be displayed at all times on the premises. Employees should escort
any person on the premises who is not displaying an identification badge back to
the reception. Visitors will remain at the reception until the appropriate member of
staff is available to escort them in and out of the office area.

1.2.3 To assist in maintaining office security, the last employee to leave the office
should ensure that all entrances are locked. No money or valuable property should
be left unattended as ATPS insurance coverage does not extend to personal
property.

1.2.4 In the event of a fire or emergency, staff should leave their workstations
immediately and not stop to clear papers or collect personal belongings. Staff
should note the location of fire exits and extinguishers. In the event of fire, lifts
must not be used.

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 AFRICAN TECHNOLOGY POLICY STUDIES NETWORKS
Administrative Policies and Procedures Manual

1.2.5 Staff should ensure that all ATPS materials and correspondence are properly
secured and not accessible to unauthorized persons.

1.2.6 ATPS will not accept liability for loss of employee’s belongings on the premises.
The Finance and Administration Manager will discourage employees from
bringing valuables to the workplace. Where this is unavoidable, employees will
be encouraged to safeguard their belongings.

1.3 Information

1.3.1 The confidentiality of the Secretariat’s business is to be maintained at all times.

All letterheads, forms, and other stationery bearing the logo of ATPS are kept
under lock and key. Back-up copies of computer data files are regularly updated
to ensure security of documentation. Hard disks of computers being loaned to
other departments, National Chapters or for use at meetings, are to be cleared of
data. External visitors are not permitted the use of office computers; computers
are available in the library for the use of researchers and students.

1.3.2 Backups of all important documents and records, including computerised

information essential to the basic operation of the Secretariat’s business, is
maintained outside the offices. This ensures ATPS’s ability to continue
unimpeded in the event of major disruptions, such as earthquake, fire, or
prolonged civil disorder. Typically, such records include those pertaining to the
training and research grants management, publications, the accounts, personnel
contracts, and any other record of a commitment by ATPS.

1.4 Travel
1.4.1 Travellers to ATPS meetings shall be informed in a letter of invitation of:
• The subject, venue and dates of the meeting;
• Their manner of participation
• Travel arrangements with details of the itinerary, accommodation and per
diem;
• Insurance coverage details, if any.

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 AFRICAN TECHNOLOGY POLICY STUDIES NETWORKS
Administrative Policies and Procedures Manual

1.4.2 For ATPS employees, travel and per diem details are available from the Finance
and Administration Manager and will be administered as detailed in the
Finance Policies and Procedures Manual.

1.5 Office Cleaning

1.5.1 The office shall be cleaned between 7am and 8am before staff officially arrive
and again over lunch hour (12.30pm-1.00pm). The Finance and Administration
Manager will be the person responsible for co-ordinating all cleaning activities.
At his/her discretion and after consultation with the Executive Director, he/she
may opt to employ cleaning personnel or engage the services of a cleaning
company.

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 AFRICAN TECHNOLOGY POLICY STUDIES NETWORKS
Administrative Policies and Procedures Manual

2 HEALTH AND SAFETY

2.1 Safety

2.1.1 It is ATPS’s intention to provide a safe and healthy working environment. The
health, safety and welfare of employees at work is ATPS’s responsibility. To
meet this obligation, the Finance and Administration Manager will conduct
periodic workplace inspections.

2.1.2 A checklist has been developed to ensure a systematic approach for carrying out
the inspections.

2.1.3 Once completed, the workplace inspection form will be held by the person
responsible for co-ordinating health and safety matters so that a record of the
inspections carried out can be produced when required. Additionally, if certain
remedial work needs to be carried out, a copy should be forwarded to the
Finance and Administration Manager for authorisation and action.

2.1.4 Corrective action should be taken within a specified and reasonable period of
time by the responsible ATPS representative in collaboration with appropriate
authorities. Failure to take action by the responsible ATPS representative may
result in disciplinary action.

2.2 First Aid

2.2.1 First aid will only be administered either by qualified medical practitioners or
trained first aiders within ATPS

2.2.2 A list of the members of staff trained in first aid will be circulated to all
employees on a periodic basis and at least once a year. New staff will also be
provided with these same lists. When these trained staff are on mission/absent
from the premises, the name(s) of alternate first aiders/safety officers will be
circulated. A person, who will be appointed by the Finance and Administration
Manager, will be responsible for co-ordinating health and safety matters in ATPS
and charged with the duty of updating this information.

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 AFRICAN TECHNOLOGY POLICY STUDIES NETWORKS
Administrative Policies and Procedures Manual

2.2.3 A first aider record form has been developed to note when first aiders require
refresher courses and further training.

2.2.4 In the event of an accident, first aid boxes are installed at clearly identified
locations for emergency treatment.

2.3 Accidents at Work-Place

2.3.1 Should an employee be injured in the workplace during office hours, it will be
the responsibility of the employee’s manager together with the Finance and
Administration Manager, to make appropriate arrangements for medical
attention.

2.3.2 Accident reporting procedure:

• All incidents involving injury must be reported to the Finance and

Administration Manager.

• The Finance and Administration Manager is responsible for keeping full

and accurate records and investigating the incident as soon as possible.

• Every employee who is injured at work and employees assisting the injured
individual must report the accident as soon as reasonably practical.

• Accident log forms are available for recording all incidents and actions taken
to prevent occurrence of similar incidents.

2.4 Fire procedures

2.4.1 A list of members of staff trained as fire wardens will be circulated to all
employees, including new employees, together with diagrams of the office layout
indicating fire exits, location of fire extinguishers and location at which all
employees and visitors will assemble prior to evacuation of the building. Keys to
the emergency exits will also be prominently displayed.

2.4.2 The procedures to be followed in the event of fire will be displayed in prominent
areas in the corridor/s.

2.4.3 The safety officer or person responsible for co-ordinating health and safety
matters in ATPS will be charged with updating this information.

2.4.4 It is the responsibility of the Finance and Administration Manager to ensure

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that fire wardens know how to use fire extinguishers and how they should be
applied. A fire warden record form will be maintained to note when fire wardens
require refresher courses and further training.

2.4.5 Emergency exits will be clearly identified and prominently displayed. Fire
wardens will evacuate their allocated areas of the building. Employees are
required to familiarise themselves with the best escape route in event of an
emergency.

2.4.6 The Receptionist will be responsible for notifying the emergency services.

2.4.7 All employees must be accounted for before employees are permitted to return to
the building or disperse.

2.4.8 No employee will be permitted to return to the building until emergency services
or fire wardens give clearance.

2.4.9 Emergency evacuation exercises will be organised and carried out on a regular
basis by the Finance and Administration Manager and fire wardens.

2.4.10 Fire alarms will be tested periodically by the Finance and Administration
Manager.

2.4.11 A minimum of three days’ notice will be given before such testing takes place.

2.5 Fire Precautions

2.5.1 Although some computers need to be left on occassionally, it will be the

responsibility of each member of staff to ensure that all other electrical
appliances are switched off at main wall sockets prior to leaving the office at end
of the working day.

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2.5.2 Particular attention will be given and periodic inspection will be carried out to
ensure that flammable materials (paper, liquids) are not being stored on or in
close proximity to electrical equipment (transformers, UPS, voltage regulators,
etc.). Any loose switches, faulty plugs or other defective apparatus must be
reported immediately to the Finance and Administration Manager or the
person responsible for co-ordinating health and safety matters in ATPS.
Unauthorised personnel should not correct such faults.

2.5.3 Any suspicion of burning or smoldering must be reported to the Finance and
Administration Manager or fire warden, who will be responsible for its
investigation.

2.6 Vehicle inspection

2.6.1 All vehicles operated by ATPS will be checked by the driver on a monthly basis,
and prior to use on long or extended trips away from duty station. The inspection
should be carried and noted on the vehicle inspection form, which should be
forwarded to the head of the Finance and Administration Manager.

2.6.2 All trips made by vehicles must be authorised by the Finance and
Administration Manager.

2.6.3 In case a vehicle has to be driven by a member of staff, the staff member must
have a valid Kenyan driving license.

2.6.4 The vehicle checklist is intended to ensure that nothing is overlooked. The
checks on the form are intended to cover most vehicles, but space has been left
for additional checks, which might relate specifically to a particular vehicle.

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3 TRAVEL

3.1 Official Travel

3.1.1 An employee intending to travel on official business should inform the Finance
and Administration manager of the intended trip, the destination, travelling
itinerary, purpose and duration. This should be done in writing by filling out the
travel requisition form or by email.

3.1.2 The Program Manager or the acting Executive Director in the absence of the
Executive Director should approve the Travel Requisition Form.

3.1.3 Upon receipt of the approved form, the Finance and Administration Manager will
then liase with the Secretary/Administrative Assistant to make reservations with
the appropriate carriers, hotel and car agencies. This process will be greatly
facilitated by using an appointed travel agency.

3.1.4 It should be noted that:

(i) Tickets are provided one day prior to the date of departure unless otherwise
requested for.
(ii) Unauthorised routings and stopovers will be at the traveller’s personal
expense.

3.2 Travel Policy

3.2.1 Employees and project advisors of ATPS shall normally travel on the basis of the
most direct route.

3.2.2 All employees will be encouraged to travel using the economy class. Business
class is permitted in the following circumstances:
(iii) Journeys in excess of eight hours’ flying time, and intercontinental
overnight flights
(iv) Lack of available space in economy class and lack of alternative flights
(v) Health reasons, including physical handicaps (supported by medical
advice) and medical emergencies;
(vi) Civil unrest requiring departure on the first available flight.

3.3 Travel Industry Promotions

3.3.1 Promotional activities in the travel industry are aimed at attracting business
travelers. Benefits such as vouchers, discount coupons and free trips are offered to
travelers as well as to those responsible for making bookings on carriers and in
commercial accommodation.

3.3.2 Employees shall not accept, directly or indirectly, for themselves or on behalf of
any person or organisation with whom they are in close social, family or economic
relationship, any gift, hospitality or other benefit from any person, group or
organisation having dealings with ATPS where such gift, hospitality or other

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benefit could possibly influence employees in the exercise of their duties and
responsibilities. All such offers must be reported to the Executive Director who
will determine whether they can be accepted or not.
3.4 Travel Advances
3.4.1 Travel advances will be requested on the Travel Requisition Form, and must be
approved together with the authorisation to travel. Normally, this advance will be
provided as US dollar travelers cheques except where cash payment may be
required e.g. for airport taxes. No travel advances shall be authorised until prior
travel advances have been settled.

3.4.2 Employees and project advisors are responsible for acquiring the necessary
foreign currency or travelers cheques and may include exchange and normal bank
service charges in their expense claims.

3.5 Cancellation or Amendment of Travel

3.5.1 The traveller is responsible for canceling flight and hotel reservations when
changes occur during the course of travel. Otherwise the finance director should
be informed within a reasonable timeframe of intended cancellations so that they
may execute them.

3.5.2 Amendments to the form should be made in time with reasons for such
amendments being given.

3.6 Allowable Travel

3.6.1 ATPS shall pay reasonable travel and living expenses of employees, advisors and
consultants traveling on ATPS business according to the per diem rates
maintained by the Finance and Administration Manager. This Per Diem Schedule
shall be revised annually and shall be similar to that of comparable organisations.

3.6.2 For ATPS employees using the meals/incidentals per diem rates, all other
expenses including hotel charges are to be accounted for on an actual and
reasonable basis. Receipts should be obtained for taxi fares in excess of US$15.

3.6.3 ATPS employees will be reimbursed the costs incurred for necessary
communications on ATPS business. Such expenses should be supported by
details as to the purpose of the call.

3.6.4 ATPS will bear any costs incurred in complying with immunisation requirements
for ATPS staff members and accompanying dependents and project advisors
required to travel on ATPS business.

3.7 Completion of Expense Reports

3.7.1 On completion of official duty travel, an employee or project advisor shall submit
an expense statement to the Finance and Administration manager with supporting

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receipts within ten (10) working days.

3.7.2 After verification by the Finance and Administration Manager, the expense
statement shall be forwarded to Finance Assistant for entry into the accounts and
for settlement of any reimbursements.

3.8 Insurance Coverage

3.8.1 Employees and project advisors who travel on behalf of ATPS according to an
approved Travel Authority are covered by an ATPS insurance policy.

3.8.2 Items included for this coverage include currency, money, notes, securities,
railroad, airline or other tickets, passports and other documentation. Also excluded
are jewelry, semi-precious stones, watches and furs totaling together more than
25% of applicable insurance. No more than a maximum of $500 each for any of
the stated category of items. The policy is also subject to the usual terrorist, war
and nuclear exclusion clauses.

3.8.3 A claim should be made immediately in writing with a copy of the first-hand
report given to the local applicable authority i.e. police hotel, airport etc.

3.9 Medical emergencies

3.9.1 ATPS shall assist staff members with deferring some of the costs associated with
medical emergencies incurred in the course of ATPS business travel where such
cots are not covered by the staff member’s medical scheme or any additional travel
insurance purchased by ATPS. This would be at the discretion of the Executive
Director. When an ATPS traveler combines personal travel with business travel,
ATPS will assume no responsibility for the costs associated with medical
emergencies which occur during the personal portion of the trip or involving
accompanying dependents who are not traveling on ATPS business.

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4 MOTOR VEHICLE ADMINISTRATION

The overall administration of motor vehicle falls directly under the administration
department.

Authorisation to drive ATPS vehicles will be granted to those who hold valid
driving licenses and who, in the opinion of management, qualify to do so.

4.1 Use of Vehicles

The Secretariat’s vehicles are meant to be used for ATPS work. However, members
of staff can use ATPS vehicles for private use if the vehicles are available. At all
times, ATPS work must be given priority.

Private mileage is charged at a rate determined by the Finance and Administration

Manager and dependent on the class of vehicle. These charges are available on
request.

There is no private allocation of vehicles to any individual. However, due to

parking security reasons, especially after work, no private vehicle shall be left
overnight outside the office.

Employees who are allocated a company vehicle should adhere to the following
instructions

The vehicle allocated should not be driven by any other party other than
the employee to whom the vehicle is allocated or by employees of the
company without the employer’s authority.

Individual employees to whom vehicles are allocated must make sure

that details in the log book are properly entered and up to date.

Service booking must be anticipated in advance and requisition for work

to be carried out made in writing to the Finance and Administration
Manager who will arrange for the booking.

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4.2 Motor Vehicle Maintenance

The Finance and Administration Manager will ensure that:

All vehicles have valid insurance, road licenses and other stickers as required
by law.

All vehicles are in good working condition.

Any dents or other damages on any vehicle are identified in good time for the
appropriate action to be taken.

All vehicles are taken for service on a regular basis.

4.3 Motor Vehicle Accidents

When an employee is involved in an accident, the following steps must be taken:

Inform the Finance and Administration Manager by phone immediately

and submit a written statement giving full details of the accident within 24
hours.

Note the names of witnesses, the third party and the third party insurance and
the vehicle number

Complete as appropriate the insurance claim form and submit it to the

Finance and Administration Manager.

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5 PROCUREMENT MANAGEMENT AND PROCEDURES

5.1 Purchase requisitions

5.1.1 At the end of each year, each department will identify or determine the supplies
that they need to acquire and use during the course of the coming year.

5.1.2 Once the items required have been determined, reorder and minimum stock
levels will be set for each and every item.

5.1.3 On a periodic basis, each department will requisition for stock through the
Receptionist once the predetermined re-order levels have been reached. In the case
of technical high value supplies, the IT/Network Administrator shall liase with the
Finance and Administration Manager in the requisitioning process.

5.1.4 Where applicable, the major suppliers of identified materials will be approached
and credit facilities established. Negotiations will be carried out with these
suppliers to establish discount terms, bulk discounts and the credit period. These
suppliers will be requested to provide updated price lists (monthly) to ATPS to
facilitate decision-making.

5.1.5 Purchase requisitions in duplicate will be originated by the Receptionist (stores

clerk) once the reorder level is reached and must be approved by the responsible
manager. The purchase requisition should contain the specifications of the
materials/items required as well as the proposed price. These details should be
available from the stores ledger card.

5.1.6 The top copy of the requisition will be sent to the Finance and Administration
Manager for approval of purchase and the second copy filed in the goods in transit
file in the store. Once approved, it will be sent to the Finance Assistant.

5.1.7 The Local Purchase Order (LPO) will be prepared by the Finance Assistant and
approved and signed by the Finance and Administration Manager. If the Finance
and Administration Manager is not available the Executive Director will sign the
LPO. The LPO will be attached to the latest price lists of the suppliers. The
decision to select suppliers will rest with the Finance and Administration Manager
and the Executive Director.

5.1.8 The LPO will be in filled in triplicate. The top copy will be sent to the supplier
through the Receptionist to organise for delivery of the goods, the second copy
filed by the Finance Assistant while the third copy will be retained as a book copy.

5.2 Receipt of supplies

5.2.1 The Receptionist will organise for the delivery of materials and will therefore be
responsible for ensuring that ATPS receives the right quality of materials.

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5.2.2 Once the materials/items are delivered, the Finance Assistant together with the
Receptionist will inspect them (if the goods are technical in nature, the IT/Network
Administrator, where appropriate, will also inspect them). If accepted, the
Receptionist will supervise their storage. The delivery note will be matched to the
copy of the purchase requisition in the goods in transit file, and moved to a goods
received file.

5.2.3 A goods received note (GRN) will then be raised by the Receptionist in
duplicate. The original will be sent to the Finance Assistant while the copy will be
filed in the goods received file together with purchase requisition and the delivery
note.

5.2.4 When the invoice is received it will be handled exclusively by the Finance and
Administration Department. They will retrieve their copy of the Local Purchase
Order (LPO) and attach it to the goods received note (GRN) from the stores as well
as the invoice. The liability for the goods will be noted in the GL (General
Ledger) as well as in the Creditors Ledger. Thereafter, the invoice and its
attachments will be filed in an aging file waiting for payment.

5.2.5 Once the payment is made the documents plus the payment voucher will be filed
in the suppliers file while the cheque and its remittance advice will be sent to the
supplier through mail or messenger.

5.2.6 Suppliers will be encouraged to collect their cheques whenever possible. In all
instances a cheque register will be used to indicate the date the cheque was
prepared, date the cheque was sent out and how it was dispatched.

5.3 Urgent Purchases

5.3.1 A threshold should be created to enable a manager purchase goods (items)
quickly and efficiently.

5.3.2 On identification of such a need, a petty cash voucher would be raised and passed
on to the Finance and Administration Manager to approve it and advance the
money to the manager for immediate purchase.

5.3.3 A cash sale or invoice stamped paid would be obtained and immediately passed
back to the Finance Assistant. This would be attached to the petty cash voucher
and used as evidence to support petty cash replenishments. This should be done at
the latest within two working days of the Finance and Administration Manager
disbursing the cash.

5.3.4 At the end of every month the Finance and Administration Manager should
receive a report prepared by the Finance Assistant, detailing the items purchased
and amounts. The Finance and Administration Manager should then file the report
and action on it as the need arises.

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5.3.5 This facility, however, should not be misused for items that would ordinarily
have been stocked.
5.4 Engagement of Consultants
5.4.1 ATPS may, for a designated time period engage consultants to undertake
specified tasks, which may include;

• Reviewing research and policy issues in a given field;

• Studying different types of training requirements;

• Advising on administrative and managerial procedures; and

• Provide specialized services in support of ATPS programs and National

Chapters.

5.4.2 Requests for consultancy services will be initiated by the Board of Directors or
the Executive Director and co-ordinated by the Executive Director. The costs of
consultancy services will be agreed on between the consultant and the Executive
Director the following having taken into consideration:

• The experience and qualifications of the consultant

• The prevailing market rates applicable in the consultant’s locality.

5.5 Procurement of Consultancy Services

5.5.1 The Executive Director upon mutual agreement between the said Director and
the consultant will assign consultancy services. This agreement will be in the form
of a signed contract.

5.5.2 The letter of contract to a consultant will state the following:

• Date of commencement and termination of the contract;

• Terms of reference including the work to be carried out;

• Maximum number of consulting days;

• Consultancy fee;

• Terms of reference including details of travel;

• Amount available for disbursements e.g. travel and other expenses;

• Mobilization fee details, if applicable;

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• Terms of insurance coverage and other benefits where these are to be provided
by ATPS;

• Required notice for termination of the contract by either party;

• Obligation of the consultant to comply with legislation in his or her country of

residence, particularly with regard to tax regulations and any countries to be
visited;

• Statement to the effect that any reports are the property of ATPS;

• Statement clarifying that the consultant is not an employee and restricting

their benefits to only those stated in the contact. It should also be made clear
that the consultant is responsible for their own taxes levied by the government;

• Details of ATPS and that they are a company limited by guarantee and
incorporated in Kenya.

5.5.3 It will also be required that the consultant provide their PIN or Social security
number before any payment is made.

5.5.4 The Executive Director will, with the assistance of the relevant Departmental
Head, maintain a roster of consultants, which will be updated every two years.

5.5.5 Once the consultants work is completed, the evaluation form in Appendix I will
be used to evaluate their work. On completion of the assignment and submission of
a satisfactory report by the consultant, the final contract fee will be paid.

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6 PROGRAMME ADMINISTRATION

6.1 Grants and Awards

6.1.1 ATPS offers grants and awards to institutions and individuals to implement
activities in accordance with the approved Programme of Work and Budget.

6.1.2 Grants will only be considered after a formal request has been submitted except
where commissioned by the Secretariat itself. This formal request should give:

• The purpose/objective of the grant

• A description of the proposed activity and its implementation

• The individual/s or institution receiving the grant; and

• A proposed budget

6.1.3 The request shall identify the grant recipient who will subsequently be
responsible for financial and technical reports.

6.1.4 Approval of the grant shall be communicated to the recipient by means of a grant
letter stating the:

• Objectives of the grant including reference to any other documentation;

• Date of commitment of the grant and its duration;

• List of participating researchers;

• Individual or institutional recipient of funds;

• Budget; and

• Schedule of payments and reporting procedures.

6.1.5 The grant letter shall state that the grant has been given in accordance with
ATPS’s objectives and where applicable, it shall also state that the results of the
activity should not be construed as reflecting the view’s of ATPS’s Secretariat or
its Board of Directors.

6.1.6 The grant shall state that it is the responsibility of the recipient to comply with
any relevant legislation as may pertain to the implementation of the activity,
including income tax, customs, immigration, exchange control or research
clearance.

6.1.7 Where applicable the grant research shall state that ATPS, by virtue of its support
of the activity in question, has right of prior refusal of publishing the results.

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6.1.8 Approval of the grant will also be communicated to the recipient’s national
chapter.

6.1.9 The Executive Director may, at his discretion terminate any grants and where so
justified demand repayment of grant for the following reasons:

• Failure to undertake the agreed activity within the specified and agreed
period;

• Failure to undertake the activity in accordance with the grant letter and
relevant documentation;

• Evidence of misappropriation of funds; and

• Failure to comply with other conditions stated in the grant letter e.g.
compliance with national legislation pertaining to taxation, customs,
immigration, exchange control and research clearance.

6.1.10 The Secretariat shall maintain accurate records for each request and grant, in
accordance with general and specific grant procedures.

6.1.11 The Executive Director and Research Co-ordinator shall at their discretion treat
certain correspondence, as confidential and such items shall not be filed as part of
the general correspondence/records.

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6.2 Equipment
6.2.1 Whereas small items of equipment with a net value of USD 100 can be retained,
significant items of equipment shall be transferred upon completion of the project
to the activity or institution that the Executive Director will have stated in the grant
letter.

6.2.2 The grant letter will state that such equipment will be properly used and
maintained, suitably insured, and that it cannot be removed, sold or otherwise
disposed of without prior written consent of ATPS.
6.3 Accounting for Grants
6.3.1 The recipient shall report expenditures in local currency and US dollars, and
indicate the relevant exchange rate. Expenditures made in a currency other than
that of the recipient’s locality should be reported in US dollars.

6.3.2 The recipient must substantiate any expenditure in excess of USD 100 with the
itemised receipts.

6.3.3 The recipients should submit financial reports according to the reporting
schedule set out in the grant letter. This report should state the:

• Estimated total expenditure (Per approved budget);

• Actual expenditure to date;

• Committed expenditure so far; and

• Projected expenditure to completion of the activity.

6.3.4 For individuals, itemised receipts will be required. Institutions will also be
required to keep receipts to facilitate audits and submit signed financial reports,
where these may be requested by the donor. The signatories to these reports will
be the institution’s Accountant and another representative.

6.3.5 Upon satisfactory completion of the financial report and receipt of a satisfactory
technical report, the Secretariat can release the next scheduled payment.

6.3.6 Should the financial analysis so indicate, the Programme Manager may postpone
release of payment, or release a partial payment, pending receipt of further
information from the recipient.

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6.4 Payment of Research Grants

6.4.1 The following represents the payment schedule that will be used in the payment
of grants:

• 50% on presentation of a signed contract;

• 30% on presentation of an interim technical and financial report and;
• 20% upon satisfactory completion.

6.5 Technical Reporting Procedures

6.5.1 The recipient shall submit technical reports in accordance with a schedule set out
in the grant letter. Usually this shall be submitted together with the financial report.

6.5.2 In the case of research activities, a paper containing a full satisfactory account of
interim or final results presented at a workshop can be considered a technical
report.

6.5.3 In other cases, the technical report should contain a detailed account of activities
undertaken under the terms of the grant.
6.6 Supplementary grants and extensions
6.6.1 In general, the ATPS’s policy is to discourage requests or expenditure in excess
of that set out in the original grant or award.

6.6.2 The National Chapters or the Secretariat may recommend a supplementary grant
where such results are considered justified. Requests for a supplementary grant
shall be governed by the relevant general and specific procedures applicable to the
grant in question.

6.6.3 The Executive Director may however, extend the duration of a grant and alter the
original schedules of payments and reports accordingly. The reasons for any
extension shall be documented and the revised schedules communicated to the
receipt.

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7 RESEARCH GRANTS

7.1 General

7.1.1 ATPS provides grants for "thematic", "non-thematic" and "Regional" research, as
well as thematic Plenary paper and Special Workshops in accordance with the
approved Programme of Work and Budget.

7.1.2 Grants for thematic research on a designated theme are given to individual teams
of researchers, linked together by means of a network.

7.1.3 Themes are determined through the work of the National Coordinators and
approved by the Board. In selecting a given theme, the National Coordinators shall
be guided by such criteria as:
• its relevance to their countries;
• its relevance to science and technology policy making;
• whether it is researchable;
• whether it is doable, in terms of research skills and data;
• financial resources time frame
• and its continuity with other research supported by ATPS.
7.1.4 Grants for non-thematic research are provided on an exceptional basis, and as
such, are subject to different procedures than those for thematic research. Such
grants shall be offered to successful proposals following a recommendation by the
Board.

7.1.5 In all cases, research grants must be formally recommended by the Research
Coordinator to the Executive Director, who is responsible for the disbursement of
funds. The Executive Director may delegate responsibility for disbursement of an
approved budget to the Programme Manager.

7.1.6 For consideration, research proposals must meet the ATPS’s guidelines for
presenting research proposals.

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7.2 Honoraria

7.2.1 Research grants may provide for honoraria. The purpose of such honoraria is not
to compensate researchers at commercial rates, but rather to enable them to devote
sufficient time to research of immediate interest to themselves and ATPS.

7.2.2 The researchers receiving honoraria shall be identified in an appendix to the

grant letter.

7.2.3 Honoraria shall be payable upon (100%) satisfactory completion of a project.

7.2.4 The following maximum levels shall apply for thematic research:

• $1,000 for the principal researcher, who will normally also be the grant
recipient; and

• $800 for other designated researchers.

7.2.5 These levels shall be reviewed periodically by the Executive Director in

consultation with the Research Coordinator.

Grant Approval Procedures

7.3 Thematic Research

7.3.1 The Executive Director at his discretion may approve grants of less than $5,000
for the purposes of:
• preparing a research proposal for possible financing by the ATPS;
• engaging in preliminary research;
• undertaking a research project; and
• preparing the results of research for publication in the Research Papers series,
a scholarly journal, or a monograph/book.

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7.3.2 All other grants for thematic research recommended by the National Chapters shall
first be subject to review by the Research Coordinator who will also document it.

7.3.3 The purpose of external review is to ensure that:

• the proposal has scientific merit, both in its definition of the research issue and
proposed methods of analysis;

• the researcher(s) is/are made aware of any other relevant literature and
studies; and

• the research will ultimately contribute to further knowledge or public policy.

7.3.4 In selecting proposals for review, the Research Coordinator will be guided by the
results of prior exchanges with the researcher(s) and in consultation with members
of the Board of Directors and other recognised authorities in the field.

7.3.5 The review itself in the case of individual grants will normally take place in two
stages:

(i) presentation of the proposals to the National Chapters and selection of a

suitable number of proposals, currently 15, for review by the Board.
(ii) an assessment of the National Chapters’ proposal by the Board of Directors.

The assessment will indicate whether the proposal is rejected, accepted or accepted
subject to revision.
7.3.6 The National Chapters may also recommend that rejected proposals be resubmitted
at a later date, subject to agreed revisions.

7.3.7 Subsequent to the assessment of individual proposals, the Research Coordinator

may also rank approved proposals in order of merit, should financial constraints so
dictate.

7.3.8 Where this review procedure is not feasible, e.g. because it may entail an
unnecessarily long delay, or because the researchers, for acceptable reasons,
cannot attend a workshop, external review will be undertaken by the Research
Coordinator or Executive Director through telephone and written exchanges with
the National Chapters which will later be documented.

7.3.9 Recommended grants to individuals in excess of $40,000 must be approved

separately by the Chairman of the Board.

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7.4 Non-Thematic Research

7.4.1 All grant requests for non-thematic research must first be referred to the Board of
Directors for approval in principle. Where this referral cannot be conducted at a
meeting of the Board, the Research Coordinator shall forward a copy of the
proposal to members, requesting a written response within three weeks of
receiving the proposal.

7.4.2 A proposal approved in principle by the Board of Directors shall be governed by

the same procedures for review that apply to thematic research.

7.5 Regional Research

7.5.1 In certain circumstances, ATPS would undertake special projects cutting across
different National Chapters and hence requiring special funding. Efforts would
therefore be made to seek special funding where no allocations have been made
from the core funding. Regional research may however be thematic in nature.

7.5.2 It will be coordinated by the Secretariat through the National Chapters.

7.6 Special Workshops

7.6.1 The Research Coordinator is responsible for special workshops which are
governed by the same procedures that apply to thematic research.

7.6.2 In implementing special workshops, the Research Coordinator will be guided by

the results of prior exchanges with the researcher(s) and will consult as necessary
with the Executive Director, the Steering Committees and the Board of Directors.

7.6.3 Special workshops will be subject to regular review at scheduled workshops.

7.7 Plenary Papers

7.7.1 In selecting a given topic, the Research Coordinator will be guided by such criteria
as is relevant to science and technology policy making following consultation with
the Executive Director and the Board of Directors.

7.7.2 In selecting authors for plenary papers, the Research Coordinator will be guided by
the results of prior exchanges with potential authors, and the Executive Director.

7.7.3 Grants for plenary papers are given to individuals or a team of experts to work on a
designated topic.

7.7.4 The Research Coordinator will document all decisions and maintain records of
grant actions.

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Administrative Policies and Procedures Manual

8 MEETINGS
8.1 General

8.1.1 ATPS finances various types of meetings in accordance with the approved
Programme of Work and Budget.

8.1.2 These meetings may be administered by the Secretariat or a designated recipient,

but in both cases, in accordance with the ATPS 's travel procedures.

8.2 Secretariat-Administered Meetings

8.2.1 ATPS typically administers research workshops, senior policy seminars, special
meetings, training and other technical workshops or exchanges related to ATPS 's
supported research.

8.2.2 ATPS may, from time to time and on a selective basis, finance the participation of
an individual researcher in meetings other than those sponsored by ATPS for the
purposes of presenting research findings to other scholars and policy makers and
for establishing contacts with other researchers.

8.3 Recipient-Administered Meetings

8.3.1 Meetings financed by ATPS may be administered directly by a designated

recipient.

8.3.2 Funds will be expended in accordance with ATPS 's guidelines for Travel and as
stipulated in the grant agreement, or the recipient's procedures, as approved by the
Executive Director.

8.3.3 Requests for grants for such meetings shall contain the following information:
• object, venue, duration, participants and outcome;
• institution or association administering the meeting; and
• an itemized budget setting out travel and administrative costs.
8.3.4 The ATPS 's grant letter to the recipient shall state:
• the agreed objective and outcome of the meeting;
• an itemized budget; and
• submission of detailed financial and technical reports of the meeting.
8.3.5 Grant requests shall be approved by the Executive Director upon the
recommendation of the Programme Manager.

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9 PUBLICATIONS

9.1.1 ATPS supports publishing activities for the purposes of:

• disseminating the results of research and of other studies to researchers,

institutions and policy makers;
• promoting scholarly exchanges and an informed discussion of public policy;
and
• enhancing the professional status of African researchers.

9.1.2 These publications include:

• Research Paper Series
• Special Papers Series and derivatives therefrom
• Technology Brief Series
• Research Newsletters
• Books
• An Annual Report
• A biannual ATPS Network Newsletter
• Brochures
• Executive summaries and
• Selective support for local publications.
9.1.3 ATPS Research Papers, Special Papers and books include a statement of the
Consortium's aims and a disclaimer to the effect that views are those of the
author(s) alone and should not be attributed to ATPS 's sponsoring Members,
National Chapters or Secretariat.

9.2 Working Paper Series

9.2.1 The ATPS Working Paper series is directed toward the effective and timely
dissemination of research results among scholars and policy makers in a suitable
professional format.

9.2.2 The Working Papers series contains the results of research financed by ATPS.
Papers are published after positive internal and external reviews. Prior to external
review, a technically-edited Final Report is distributed in limited numbers to
facilitate timely dissemination to policy makers and teachers.

9.2.3 Research grant letters encourage authors to use material contained in Working
Papers for other publications including journal articles, monographs and books
with appropriate acknowledgment of ATPS 's support.

9.2.4 The manuscript of a final report is reviewed initially by the Regional Coordinator
following technical editing for language, clarity and format. The Regional

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Administrative Policies and Procedures Manual

Coordinator determines whether to reject the manuscript, suggest revisions or

forward it for external review.

9.2.5 External review is conducted by two reviewers selected by the Regional

Coordinator . At the discretion of the Executive Director, a modest honorarium
may be paid to ensure a careful and rapid reading of the manuscript. Reviewers
are normally expected to return the manuscript to the Regional Coordinator within
six weeks of its receipt by them. The reviewer's comments are then forwarded to
the authors along with any revisions suggested by the Regional Coordinator.

9.2.6 An externally reviewed and revised manuscript must be approved by the Regional
Coordinator for publication in a distinctive cover bearing ATPS logo.

9.2.7 For each Working Paper, authors also prepare an abstract to facilitate cataloguing
and a two to three page non-technical executive summary for policy makers and
others.
9.3 Special Paper Series

9.3.1 The special paper series are publications presenting research work commissioned
to experts covering a specified area of interest to ATPS and its interests.

9.3.2 Procedures followed in the approval and eventual publication of this paper are the
same as those for the Working Paper Series.

9.4 Technopolicy Brief Series

9.4.1 At certain times, ATPS will commission experts to undertake a specific study with
the aim of contributing to a specific policy. The research findings are summarised
in the brief document (max 12-page document), Technopolicy Brief Series.

9.5 ATPS Books

9.5.1 ATPS’s books may contain a synthesis of ATPS -supported research on specific
themes; the results of research financed by ATPS; and other books commissioned
by ATPS for teaching purposes. Materials recommended for publication are
reviewed by the Secretariat and approved by the Executive Director. Publication
may also be undertaken jointly with commercial publishers.

9.6 Distribution

9.6.1 ATPS maintains a comprehensive mailing list to ensure effective dissemination of

its various publications to researchers, policy makers, institutions, libraries and
teachers. No charge is levied for ATPS publications distributed to Africa-based

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Administrative Policies and Procedures Manual

researchers and institutions. Charges for publications distributed outside Africa

are intended to recoup the cost of distribution, except in those cases where the
Secretariat has arranged for exchange on a reciprocal basis.

9.7 Support for Journals

9.7.1 ATPS support is guided by the following criteria, namely:

• regional purview in terms of ownership, content, and readership;

• likely contribution to the dissemination of research findings and an informed
discussion of public policy;
• evidence of sound editorial and financial management; and
• potential access to additional sources of financial support.

9.7.2 The Board of Directors approves support for journals as part of the annual
Programme of Work and Budget.

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10 EVALUATION

10.1.1 The Board of Directors conducts an evaluation of each four-year phase of work
with a view to:

(i) Assess the validity of the objectives set for the phase;

(ii) Determine the extent to which the objectives are being achieved in a
cost-effective fashion; and

(iii) Use the insights and information of the evaluation in planning the
programme of work for the next triennial phase.

10.1.2 The cost of the evaluation is budgeted in the Programme of Work and Budget
under Programme Management. The Executive Director is responsible to the
Board for its implementation.

10.1.3 At the Board's discretion the results of the evaluation may be published or
otherwise disseminated by ATPS.

10.1.4 The implementation of any other evaluations, pursuant to the regulations or

requests of a contributing Member of ATPS is scheduled with due regard to the
priorities, capacity, and finances of the Secretariat.

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Appendix I: Consultant Assessment Form
 AFRICAN TECHNOLOG POLICY STUDIES NETWORKS

CONSULTANT ASSESSMENT FORM

Name of Consultant

Nature of Work Commissioned

Agreed Completion Date Actual Date Completed

Comments on quality and thoroughness of work

Rating Good (Exceeds desired standards)

Adequate (Meets desired standards)
Poor (Fails to meet desired standards)

Fee Payable US$

I request that payment of the above fee is made

Signed
Position Date

I request that payment of the above fees is deferred pending satisfactory completion of
the work agreed.

Signed Position Date

APPENDIX II: ATPS ORGANISATION STRUCTURE
 Table of Contents
1 GENERAL OFFICE ADMINISTRATION....................................................... 1
1.1 Communication.........................................................................................................................1
1.2 Office Security ..........................................................................................................................1
1.3 Information ...............................................................................................................................2
1.4 Travel ........................................................................................................................................2
1.5 Office Cleaning.........................................................................................................................3
2 HEALTH AND SAFETY..................................................................................... 4
2.1 Safety ........................................................................................................................................4
2.2 First Aid ....................................................................................................................................4
2.3 Accidents at Work-Place...........................................................................................................5
2.4 Fire procedures..........................................................................................................................5
2.5 Fire Precautions ........................................................................................................................6
2.6 Vehicle inspection.....................................................................................................................7
3 TRAVEL ............................................................................................................... 8
3.1 Official Travel...........................................................................................................................8
3.2 Travel Policy.............................................................................................................................8
3.3 Travel Industry Promotions ......................................................................................................8
3.4 Travel Advances .......................................................................................................................9
3.5 Cancellation or Amendment of Travel......................................................................................9
3.6 Allowable Travel ......................................................................................................................9
3.7 Completion of Expense Reports................................................................................................9
3.8 Insurance Coverage.................................................................................................................10
3.9 Medical emergencies...............................................................................................................10
4 MOTOR VEHICLE ADMINISTRATION...................................................... 11
4.1 Use of Vehicles .......................................................................................................................11
4.2 Motor Vehicle Maintenance....................................................................................................12
4.3 Motor Vehicle Accidents ........................................................................................................12
5 PROCUREMENT MANAGEMENT AND PROCEDURES ......................... 13
5.1 Purchase requisitions ..............................................................................................................13
5.2 Receipt of supplies ..................................................................................................................13
5.3 Urgent Purchases ....................................................................................................................14
5.4 Engagement of Consultants ....................................................................................................15
5.5 Procurement of Consultancy Services ....................................................................................15
6 PROGRAMME ADMINISTRATION ............................................................. 17
6.1 Grants and Awards..................................................................................................................17
6.2 Equipment ...............................................................................................................................19
6.3 Accounting for Grants.............................................................................................................19
6.4 Payment of Grants...................................................................................................................20
6.5 Technical Reporting Procedures .............................................................................................20
6.6 Supplementary grants and extensions .....................................................................................20
7 RESEARCH GRANTS ...................................................................................... 21
7.1 General....................................................................................................................................21
7.2 Honoraria ................................................................................................................................22
7.3 Thematic Research..................................................................................................................22
7.4 Non-Thematic Research..........................................................................................................24
7.5 Regional Research ..................................................................................................................24
7.6 Special Workshops..................................................................................................................24
7.7 Plenary Papers.........................................................................................................................24
8 MEETINGS......................................................................................................... 25
8.1 General....................................................................................................................................25
8.2 Secretariat-Administered Meetings.........................................................................................25
8.3 Recipient-Administered Meetings ..........................................................................................25
9 PUBLICATIONS................................................................................................ 26
9.2 Working Paper Series..............................................................................................................26
9.3 Special Paper Series................................................................................................................27
 9.4 Technopolicy Brief Series.......................................................................................................27
9.5 ATPS Books...........................................................................................................................27
9.6 Distribution .............................................................................................................................27
9.7 Support for Journals................................................................................................................28
10 EVALUATION ................................................................................................... 29

APPENDIX I: CONSULTANT ASSESSMENT FORM....................................... 30

APPENDIX II: ATPS ORGANISATION STRUCTURE ..................................... 33
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