1. Create Visual SOP Documents that Drive Process Optimization, Not Just Peace of Mind
Change your focus from satisfying auditors to driving process optimization, consistent IT operations, and effective knowledge transfer.

2. ANALYST PERSPECTIVE Do your SOPs drive process optimization?
Most organizations struggle to document and maintain SOPs as required, leading to process inconsistencies and inefficiencies. These breakdowns directly impact the performance of IT operations.
Effective SOPs streamline training and knowledge transfer, improve transparency and compliance, enable automation, and ultimately decrease costs as processes improve and expensive breakdowns are avoided.
Documenting SOPs is not just good practice; it directly impacts IT efficiency and your bottom line.
Frank Trovato,
Senior Manager, Infrastructure Research Info-Tech Research Group

3. Our understanding of the problem
IT Process Owners
IT Infrastructure Managers
IT Service Managers
System Administrators
And more…
Identify, prioritize, and document SOPs for critical business processes.
Discover opportunities for overall process optimization by documenting SOPs.
Develop documentation best practices that support ongoing maintenance and review.
CTOs
Business unit leaders
Understand the need for and value of documenting SOPs in a usable format.
Help set expectations around documentation best practices.
Extend IT best practices to other parts of the business.

4. Executive summary
Most organizations know it is good practice to have SOPs as it improves consistency, facilitates process improvement, and contributes to efficient operations.
Though the benefits are understood, many organizations don't have SOPs and those that do don't maintain them.
Create visual documents, not dense SOP manuals.
Start with high-impact SOPs. Identify the most critical undocumented SOPs and document them first.
Integrate SOP creation into project requirements and create SOP approval steps to ensure documentation is reviewed and completed in a timely fashion.
Writing SOPs is the last thing most people want to do, so the work gets pushed down the priority list and the documents become dated.
Promoting the use of SOPs can also face staff resistance as the documentation is seen as time consuming to develop and maintain, too convoluted to be useful, and generally out of date.
Overcome staff resistance while implementing a sustainable SOP documentation approach by doing the following:
Create visual documents that can be scanned. Flowcharts, checklists, and diagrams are quicker to create, take less time to update, and are ultimately more usable than a dense manual.
Use simple, but effective document management practices.
Make SOPs part of your project deliverables rather than an afterthought. That includes checking documentation status as part of your change management process.
Extend these principles to other areas of IT and business processes. The survey data and examples in this report include application development and business processes as well as IT operations.

5. Most organizations struggle to create and maintain SOP documents, especially in North America, despite the benefits
North American companies are traditionally more technology focused than process focused, and that is reflected in the approach to documenting SOPs.
An ad hoc approach to SOPs almost certainly means documents will be out of date and ineffective. The same is also true when updating SOPs as part of periodic concerted efforts to prepare for an audit, annual review, or certification process, and this makes the task more imposing.
Incorporating SOP updates as part of regular change management processes ensures documents are up to date and usable. This can also make reviews and audits much more manageable.
Organizations are most likely to update documents on an ad hoc basis or via periodic formal reviews. Less than 25% keep SOPs updated as needed.
It isn’t unusual for us to see infrastructure or operations documentation that is wildly out of date. We’re talking months, even years. Often it was produced as one big effort and then not reliably maintained.
– Gary Patterson, Consultant, Quorum Resources
Source: Info-Tech Research Group; N=104

6. Document SOPs to improve knowledge transfer, optimize processes, and ultimately save money
Benefits of documented SOPs
Impact of undocumented/undefined SOPs
Improved training and knowledge transfer: Routine tasks can be delegated to junior staff (freeing senior staff to work on higher priority tasks).
Without documented SOPs: Tasks will be difficult to delegate, key staff become a bottleneck, knowledge transfer is inconsistent, and there is a longer onboarding process for new staff.
IT automation, process optimization, and consistent operations: Defining, documenting, and then optimizing processes enables IT automation to be built on sound processes, so consistent positive results can be achieved.
Without documented SOPs: IT automation built on poorly-defined, unoptimized processes leads to inconsistent results.
Compliance: Compliance audits are more manageable because the documentation is already in place.
Without documented SOPs: Documenting SOPs to prepare for an audit becomes a major time-intensive project.
Transparency: Visually documented processes answer the common business question of “why does that take so long?”
Without documented SOPs: Other areas of the organization may not understand how IT operates, which can lead to confusion and unrealistic expectations.
Cost savings: Work can be assigned to the lowest level of support cost, IT operations achieve greater efficiency, and expensive breakdowns are avoided.
Without documented SOPs: Work may be distributed uneconomically, money may be wasted through inefficient processes, and the organization is vulnerable to costly disruptions.

7. COBIT, ISO, and ITIL aren’t a complete solution
Being ITIL and ISO compliant hasn’t solved our documentation problem. We’re still struggling.
– Vendor Relationship Manager, Financial Services Industry
Adopting a framework such as ITIL, COBIT, or ISO doesn’t always mean that SOP documents are accurate, effective, or up to date.
Although these frameworks emphasize the importance of documenting processes, they tend to focus more on process development and requirements than on actual documentation. In other words, they deal more with what needs to be done than with how to do it.
This research will focus more on the documentation process itself – so how to go about creating, updating, optimizing, managing, and distributing SOP documents.

8. Inadequate SOPs lead to major data loss and over $99,000 in recovery costs
CASE STUDY 1
Company
Source
A mid-sized US organization with over 1,000 employees
Info-Tech Interview
Situation
IT supports storage nodes replicated across two data centers. SOPs for backup procedures did not include an escalation procedure for failed backups or a step to communicate successful backups. Management was not aware of the issue and therefore could not address it before a failure occurred.
Incident
Primary storage had a catastrophic failure, and that put pressure on the secondary storage, which then also failed. All active storage failed and the data corrupted. Daily backups were failing due to lack of disk space on the backup device. The organization had to resort to monthly tape backups.
Impact
Lost 1 month of data (had to go back to the last tape backup).
Recovery also took much longer because recovery procedures were also not documented.
Key steps such as notifying impacted customers were overlooked. Customers were left unhappy not only with the outage and data loss but also the lack of communication.
Hard dollar recovery costs
Backup specialist (vendor) to assist with restoring data from tape
$12,000
Temps to re-enter 1 month of data
$5,000
Weekend OT for 4 people (approximately 24 hours per person)
$5,538
Productivity cost for affected employees for 1 day of downtime
$76,923
Total
$99,462
Intangible costs
High “goodwill” impact for internal staff and customers.
The data loss pointed out a glaring hole in our processes – the lack of an escalation procedure. If I knew backups weren’t being completed, I would have done something about that immediately.
– Senior Division Manager, Information Technology Division

9. – Michelle Pope, COO, Atrion Networking Corp.
IT services company optimizes its SOPs using “Lean” approach
CASE STUDY 2
Company
Source
Atrion
Info-Tech Interview
Lean and SOPs
Standardized work is important to Lean’s philosophy of continuous improvement. SOPs allow for replication of the current best practices and become the baseline standard for member collaboration toward further improvements.
For more on Lean’s approach to SOPs, see “Lean Six Sigma Quality Transformation Toolkit (LSSQTT) Tool #17.”
Atrion’s approach
Atrion is focused on documenting high-level processes that improve the client and employee experience or which can be used for training.
Cross-functional teams collaborate to document a process and find ways to optimize that SOP.
Atrion leverages visual documentation as much as possible: flowcharts, illustrations, video screen captures, etc.
Outcomes
Large increase in usable, up-to-date documentation.
Process and efficiency improvements realized and made repeatable.
Success has been so significant that Atrion is planning to offer SOP optimization training and support as a service for its clients in the future.
Atrion provides IT services, solutions, and leadership to clients in the 250+ user range.
After adopting the Lean framework for its organization, it has deliberately focussed on optimizing its documentation.
When we initiated a formal process efficiency program a little over a year ago and began striving towards a culture of continuous improvement, documenting our SOPs became key. We capture how we do things today and how to make that process more efficient. We call it current state and future state mapping of any process.
– Michelle Pope, COO, Atrion Networking Corp.

10. Strategies to overcome common documentation challenges
Use Info-Tech’s methodology to streamline the SOP documentation process.
Common documentation challenges
Info-Tech’s methodology
Where to start.
For organizations with very few (if any) documented SOPs, the challenge is where to start.
Apply a client focus to prioritize SOPs.
Start with mission-critical operations, service management, and disaster recovery.
Lack of time.
Writing SOPs is viewed as an onerous task, and IT staff typically do not like to write documentation or lack the time.
Use flowcharts, checklists, and diagrams over traditional dense manuals.
Flowcharts, checklists, and diagrams take less time to create and maintain, and the output is far more usable than traditional manuals.
Inconsistent document management.
Documents are unorganized, e.g. hard to find documents or you don’t know if you have the correct, latest version.
Keep it simple.
You don’t need a full-time SOP librarian if you stick to a simple, but consistent approach to documentation management. Simple is easier to follow (therefore, be consistent).
Documentation is not maintained.
More urgent tasks displace documentation efforts. There is little real motivation for staff to keep documents current.
Ensure accountability at the individual and project level.
Incorporate documentation requirements into performance evaluations, project planning, and change control procedures.

11. Use this blueprint as a building block to complete these other Info-Tech projects
Improve IT-Business Alignment Through an Internal SLA
Understand business requirements, clarify capabilities, and close gaps.
Create a Right-Sized Disaster Recovery Plan
Define appropriate objectives for DR, build a roadmap to close gaps, and document your incident response plan.
Standardize the Service Desk – Module 2 & 3
Improve reporting and management of incidents, and build service request workflows.
Extend the Service Desk to the Enterprise
Position IT as an innovator.

12. Use these icons to help direct you as you navigate this research
Use these icons to help guide you through each step of the blueprint and direct you to content related to the recommended activities.
This icon denotes a slide where a supporting Info-Tech tool or template will help you perform the activity or step associated with the slide. Refer to the supporting tool or template to get the best results and proceed to the next step of the project.
This icon denotes a slide with an associated activity. The activity can be performed either as part of your project or with the support of Info-Tech team members, who will come onsite to facilitate a workshop for your organization.

13. Info-Tech offers various levels of support to best suit your needs
Guided Implementation
“Our team knows that we need to fix a process, but we need assistance to determine where to focus. Some check-ins along the way would help keep us on track.”
DIY Toolkit
“Our team has already made this critical project a priority, and we have the time and capability, but some guidance along the way would be helpful.”
Workshop
“We need to hit the ground running and get this project kicked off immediately. Our team has the ability to take this over once we get a framework and strategy in place.”
Consulting
“Our team does not have the time or the knowledge to take this project on. We need assistance through the entirety of this project.”
Diagnostics and consistent frameworks used throughout all four options

14. Create Visual SOP Documents – project overview
1. Prioritize, optimize, and document critical SOPs
2. Establish a sustainable documentation process
3. Identify a content management solution
Best-Practice Toolkit
1.1 Identify and prioritize undocumented/outdated critical processes
1.2 Reduce effort and improve usability with visual documentation
1.3 Optimize and document critical processes
2.1 Establish guidelines for identifying and organizing SOPs
2.2 Write an SOP for creating and maintaining SOPs
2.3 Plan SOP working sessions to put a dent into your documentation backlog
3.1 Understand the options when it comes to content management solutions
3.2 Use Info-Tech’s evaluation tool to determine the right approach for you
Guided Implementations
Identify undocumented critical SOPs.
Understand the benefits of a visual approach.
Work through a tabletop exercise to document two visual SOP documents.
Establish documentation information guidelines.
Identify opportunities to create a culture that fosters SOP creation.
Address outstanding undocumented SOPs by working through process issues together.
Review your current approach to content management, and discuss possible alternatives.
Evaluate options for a content management strategy, in the context of your own environment.
Onsite Workshop
Module 1:
Identify undocumented critical processes, and review the SOP mapping process.
Module 2:
Review and improve your documentation process and address your documentation backlog.
Module 3:
Evaluate strategies for publishing and managing SOP documentation.
Phase 1 Outcome:
Review and implement the process for creating usable SOPs.
Phase 2 Outcome:
Optimize your SOP maintenance processes.
Phase 3 Outcome:
Choose a content management solution that meets your needs.

15. Workshop overview
Contact your account representative or for more information.
Workshop Prep
Workshop Day 1
Workshop Day 2
Workshop Day 3
Workshop Day 4
Activities
Scope the SOP pilot and secure resources
Identify the scope of the pilot project.
Develop a list of processes to document.
Ensure required resources are available.
Prioritize SOPs and review methodology
1.1 Prioritize undocumented SOPs.
1.2 Review the visual approach to SOP planning.
1.3 Conduct a tabletop planning exercise.
Review SOPs and identify process gaps
2.1 Continue the tabletop planning exercise with other critical processes.
2.2 Conduct a gap analysis to identify solutions to issues discovered during SOP mapping.
Identify projects to meet process gaps
3.1 Develop a prioritized project roadmap to address gaps.
3.2 Define a process for documenting and maintaining SOPs.
3.3 Identify and assign actions to improve SOP management and maintenance.
Set next steps and put a dent in your backlog
4.1 Run an SOP working session with experts and process owners to put a dent in the documentation backlog.
4.2 Identify an appropriate content management solution.
Deliverables
Defined scope for the workshop.
A longlist of key processes.
Undocumented SOPs prioritized according to business criticality and current state.
One or more documented SOPs.
Gap analysis.
SOP Project Roadmap.
Publishing and Document Management Solution Evaluation Tool.
Multiple documented SOPs.
Action steps to improve SOP management and maintenance.

16. Measured value for Guided Implementations (GIs)
Engaging in GIs doesn’t just offer valuable project advice, it also results in significant cost savings. GI
Measured Value
Phase 1: Prioritize, optimize, and document critical SOPs
Time, value, and resources saved using Info-Tech’s methodology to prioritize and document SOPs in the ideal visual format.
For example, 4 FTEs*4 days*$80,000/year = $5,120
Phase 2: Establish a sustainable documentation process
Time, value, and resources saved using our tools and methodology to implement a process to ensure SOPs are maintained, accessible, and up to date.
For example: 4 FTEs*5 days*$80,000/year = $6,400
Phase 3: Identify a content management solution
Time, value, and resources saved using our best-practice guidance and tools to select an approach and solution to manage your organization’s SOPs.
For example: 2 FTEs*5 days*$80,000/year = $3,200
Total Savings
$14,720
Note: Documenting SOPs provides additional benefits that are more difficult to quantify: reducing the time spent by staff to find or execute processes, improving transparency and accountability, presenting opportunities for automation, etc.