Procedure Documentation Template
Revision / Description / Author / Date01 / Initial Draft / Paolo Errore / March 14, 2013
02 / 2nd Draft–added Appendix A, reworked wording / Paolo Errore / April 02, 2013
03 / Added grid and example under System Access section. / Paolo Errore / April 10, 2013
1. Summary
This document serves as a template to documenting a task or procedure. The goal of documenting is to ensure that anyone following this document can complete the procedure with a minimum of effort. Remember that procedural documents are living documents, that is, they should be updated regularly and reviewed (at least yearly) to ensure they are up to date. Place them all in a commonly accessible central location and never on a local hard drive!
What procedures should be documented? The answer is that all procedures should be documented however starting with your most critical procedures is suggested.
The summary portion of this template is essential for the reader to get an overview of the documented tasks. In addition, a successful summary will contain information about why the procedure is important, who is served by the procedure and what consequences to expect if it isn’t done or it’s done incorrectly. Assumptions should also be stated in the summary. An example of an assumption would be: “It is assumed that the reader has a background in accounting or bookkeeping.”. Some find it easier to write the summary after having completed all the other sections in the template.
The most important step in documenting a procedure is to define the start and end of the procedure. Once defined, documentation begins with the needed materials and equipment. Once these are understood it will be important to detail the expected inputs and outputs. The last step to documentation is to outline, in detail, the instructions for completing each task.
By following this template to document your procedures, you can achieve improvement in the following areas.
1.1. Quality: By having a reference, we can make sure things are done the right way every time. This helps reduce the likelihood of problems and the need to fix them!
1.2. Speed: Documents can be updated as better methods are developed insuring that wisdom gained through experience is never lost.
1.3. Agility: Changing a documented task is easier than changing one without documentation. Also, time needed to train new staff or backup personnel drops dramatically.
Conversely, not documenting your tasks can lead to poor client service, frustrated staff and misunderstood workloads or skill needs. In the worst cases, lack of quality or consistency can put the unit at risk and, in some cases, exposes the University to risks and liability.
2. Inputs and Outputs: Materials, Documents, Equipment and Systems
This section outlines the dependencies of the task or procedure being documented.
2.1 Inputs: Many tasks depend on inputs from other people or departments. Make sure you list them here. If any of these inputs are system derived, be sure to list what access/courses are needed to use the needed system in section 2.4. For example:
Input / Location / Schedule/Trigger / Contact / StorageMonthly Fund Balance Report (FZRG00XX) for fund 100001 / Minerva / Monthly (ready as of 6th working day) / Finance Helpdesk:
398- 3463 / Download and store in K:\ABC\
Bill from Company XYZ / Check External Mail / Monthly
(Usually around the 25th) / John Doe
Account Exec at XYZ Inc.
555-8989 / Store in folder marked “XYZ Bills” found in filing cabinet 1, second drawer.
2.2 Outputs: Document the outputs of the procedure here. As with the inputs, make sure you document any system requirements/access needed to deliver the output or deposit the results:
Output / Deadline / Recipient/Tool / Storage / Next StepAdjusting Journal / Before 10th working day of the month. / Banner Finance form FGAJVCQ / N/A / Fund Administrator needs to approve journal
Reconciliation / Before 10th working day of the month. / Finance Supervisor and Associate Dean of ABC Faculty / Download and store in shared drive K:\ABC\ / Supervisor meets with Associate Dean to review
2.3 Materials and Resources: Some tasks require special materials such as letterhead, a color printer, files, a lab coat or a van. Materials and resources differ from inputs in that they are generic and may not be specific to a single task. Each of these should be itemized in the documentation. For example:
Material/Resource / Location / Use / Contact/VendorColor Printer / Leacock 3rd floor or Leacock 6th floor / Output must be in color. / ICS Helpdesk:
514 398-3398
Internal Mail / Red mail bag on 3rd floor / Send printed copy to Associate Dean / Mail Services:
514 555-5555
2.4 System Access: It’s important to list all system dependencies that a person might need to complete the task. Most systems require several days and signed forms to gain access. Other systems require courses before being given access so even a short procedure can be extended by days or months simply because the proper access is not in place! For example:
System/Folder / Contact / Location/URL / CommentsBanner INB Finance and Minerva Reports / www.mcgill.ca/inb or 514 398-FINE / www.mcgill.ca/inb / Course requirements: http://www.mcgill.ca/inb/authorization
Mention you need access to Minerva Report FZRG00XX for fund 100001 on authorization form.
Drive K:\ / Call the ICS helpdesk at 514 398-3398 / Should be mapped on your computer. Look in “My Computer”. / All departmental documents are in K:\.
3. Step-By-Step Instructions
3.1 Identify the procedure you would like to document. A procedure has:
3.1.1 Inputs and outputs → Enter this information in section 2.1 and 2.2
3.1.2 Frequency (e.g. daily, monthly) or, has a trigger (e.g. for every new client…) → Enter this information in section 2.1. Enter deadline information in section 2.2.
3.1.3 Materials and Resources → Enter this information in section 2.3.
3.2 Gather Previous Documentation or Notes: If you have existing documentation or notes about the process or task you will document then collect them and keep them on hand. Consult your supervisor and colleagues for more information on where to find such materials. Also, search through knowledge bases, document management systems or intranets in your faculty or department. Don’t forget to ask people in other departments that may have the same task to perform. They may be willing to share documentation or to develop this document with you!
3.3 Document Steps: In section 3 of the template, document the steps of the procedure. Some find it easiest to do this as they perform the procedure, others like to write it out and test the documentation the next time the procedure is needed.
When documenting steps remember to be clear! Take nothing for granted! That is, don’t assume someone will know what you mean. Here are some examples of poorly written steps and how to correct them:
Poorly Written / Properly Written / Things to consider /“Begin the procedure when you get the email from John.” / Begin the procedure when you get the bank statement via email from the Dean of XYZ’s Office. Contact John Doe (Admin. Asst.) if you don’t get the email by the 15th of the month. / Include position and department information in addition to names. This helps insure against people changing positions.
Always include information about when to follow up on a given item.
Always detail what information should be in an email or memo. /
“Compare the balance of the month end report to balance on the statement.” / Compare the “Total Fund Balance” on the last page of the “Monthly Fund Balance” Crystal Report to the “Account balance” on the bank statement. / Be specific about what needs to be compared, where to find the right amount or information and what it should be compared to. It would also be helpful to explain what these numbers represent. /
“Save the file to the shared directory.” / Save the finished reconciliation file in K:\ABC using the following name convention: ABC_mmddyyyy where the date represents the date of the statement. / Consistency is the cornerstone of organization. Develop good habits like a naming convention for files and explicitly state what and where things should be stored. /
“When complete send the file to the Fund Financial Manager of the fund in question.” / When complete send the file to the Fund Financial Manager of the fund in question (name clearly visible on the “Monthly Fund Balance Report”). The fund managers should review and highlight any questionable transactions to you. / The procedure should make the reader aware of what others need to do and what additional work may be involved. /
3.4 Once all the steps have been written, review the entire document:
3.4.1 Is the text clear? Would someone unfamiliar with the procedure be able to follow and accomplish the goals?
3.4.2 Have you included samples of the completed work or indicated where to get them?
3.4.3 Did you test your documentation by using it to complete the procedure? This is the best way to make sure the document contains all the relevant information. If possible, ask a colleague to complete the process with you and explore any questions they have.
3.4.4 How will you remind yourself to check your documentation at regular intervals? Perhaps an Outlook reminder?
3.4.5 Congratulations! You’ve completed your documentation! It will surely become an invaluable reference!
Appendix A – Screenshots
Appendices are not necessary for documenting a procedure however they are encouraged. An appendix can contain a sample of the input or output, checklists, flow chart, FAQs or extra information that may be useful to completing or learning the procedure. In this case, this appendix has some information on using screenshots to your procedure:
Adding screenshots or other visuals to your procedure is easy and really helps people understand what they need to do on the computer to accomplish a given step. A screenshot looks like this:
To make the most of screenshots you can use software like SnagIt available for free from ICS at this address: http://kb.mcgill.ca/#tab:homeTab:crumb:7:artId:1322. SnagIt will allow you to easily add screenshots. After downloading and installing the application, click on the button indicated by the red arrow above to begin your screen capture!
Appendix B – Procedural Tools
- Checklists: Complex procedures may benefit from a checklist to help remember key steps. Checklists are also useful where recording signatures is critical, especially when the recipient of the output changes regularly. Checklists should be short and concise!
1.1. Checklists should list outcomes and not steps for instance:
Summary Complete? □
Inputs/Outputs Complete? □
Steps Complete? □
Procedure Reviewed and tested? □
Document saved to common folder and notification sent to office? □
1.2. Checklists should include a date, a name, and a reference of some type to the work being done (e.g. “May 2013 Reconciliation”).
1.3. Checklists can include other elements such as a signature line, a supervisor’s/reviewer’s signature line, warnings or reminders.
1.4. Use a checkbox if only one person is expected to complete the checklist, use a space for initials where more than one person completes a checklist.
1.5. Your procedure should indicate where to find the checklist template and who and how to fill it out!
- Visual Cues: Consider using color or other visual cues to help your procedure. This is especially useful when several people partake in a given procedure. For instance:
2.1. Designate a specific color folder for a given procedure.
2.2. Use another color for rush or urgent files only. Place the original folder inside the “urgent” colored folder. One quick glance indicates to all what the work is and that it is urgent! One quick scan of an office and you’ll see that urgent file quickly and easily.
2.3. Staple any checklists to the inside of the folder.
2.4. Use colored stickers to color code machinery or equipment or even filing cabinets.
2.5. Consult your colleagues before implementing visual cues. Communicate the use of colors to others and control inappropriate use of visual cues!
2.6. Where appropriate: Use internationally or nationally recognized signage, symbols or colors whenever possible (e.g. Orange for Biohazard, Yellow for caution, Red for stop, Blue for recyling)
- Mistake Proofing: Try to eliminate common mistakes using visual cues, reminders or organization. For instance:
3.1. Organize and maintain storage areas. Create designated places for tools and materials. Use visual cues (see above) to reinforce procedural needs. Organize and maintain electronic storage too!
3.2. Use complaints and failures effectively by determining the causes and eliminating potential for the same error happening again.
3.3. Review and revise procedural documentation with colleagues on a regular basis.
Print Date: April 17, 2013 Page 6 of 6
Path: c:\users\perror1\google drive\process maturity model\procedure_documentation_template_revision03.docx