HOW TO WRITE A WORK

INSTRUCTION TEMPLATE
Plus 15 Free Samples!
CONTENTS
Project Work Instruction Template................................................................................ 3

Construction Work Instruction Template.................................................................... 5

Storage Facility Work Instruction Template............................................................. 47

Safety Work Instruction Template................................................................................ 50

Manufacturing Work Instruction Template............................................................... 51

Assembly Work Instruction Template........................................................................... 60

Engineering Work Instruction Template.................................................................... 74

Visual Work Instruction Template.................................................................................. 77

ISO 9001 Work Instruction Template.......................................................................... 89

Pharmco Products Work Instruction Template....................................................... 105

Earth Science Enterprise Office Work Instruction Template.......................... 110

Forest Certification Work Instruction Template.................................................... 122

Isolation Work Instruction Template............................................................................ 125

Warehouse Work Instruction Template..................................................................... 129

Laboratory Work Instruction Template..................................................................... 167

 Page 1 of 2

Document # Date Effective

GE-XXXXX-A
Author(s) Supersedes

GLAST LAT WORK INSTRUCTION Subsystem/Office

Document Title
[Sample Work Instruction]

FORWARD—DELETE AFTER READING

[Use of this format is mandatory for all QMS documentation to comply with the requirements of ISO
9001. Work instructions shall be prepared in instances where the lack of such directions may
adversely affect the quality of a product. Work Instructions shall be prepared as a procedure
containing the following sections when the instructions will reasonably conform to the format.
Some sections may be designated as "not applicable" in a particular instruction. Employee directions
or instructions that do not reasonably conform to this format, such as drawings, forms, or checklists
shall be identified and controlled as Work Instructions.
[This document template is prepared in two sections. This forward is designed for the document
author’s use. It provides general information about using the template. The forward section must be
deleted from the document and then the remainder of the template can be used. The body of the
document contains section headings and writing instructions , which are enclosed in brackets [ ], as
follows: [This is an instruction on what should be written.] DELETE ALL BRACKETED TEXT
AND REPLACE WITH WORK INSTRUCTION SPECIFIC DETAIL.
[Fill out the title block on page 1, along with the header on page 2, which contains the document
number and title. The “Effective Date” is the earliest possible date after approval the document will
be effective. If this date occurs before final approval, the release date will supersede the effective
date as the date of implementation.]

CHANGE HISTORY LOG

Revision Effective Date Description of Changes

1. PURPOSE
[Short statement of the purpose of the Work Instruction]

2. SCOPE
[Short statement of the scope of the Work Instruction.]

3. DEFINITIONS

Hard copies of this document are for REFERENCE ONLY and should not be
considered the latest revision beyond the date of printing. Form # GF-00002-A
GE-XXXXX-A [Fill in Document Title] Page 2 of 2
[This paragraph is optional. Unless otherwise defined, the quality management terms that are used in
this procedure will be as defined in ISO 8402. When definitions are included, they should be
assigned sequential lower-case letters, beginning with a.]

4. REFERENCES
[List and identify documents which are either referenced in the body of the procedure or employ the
subject procedure as a reference. Also, record forms that are applicable to the implementation of the
procedure.]

5. TOOLS and EQUIPMENT

[List specific/special tools, equipment and materials required to perform the instruction. The list
shall be detailed (e.g. serial numbers, lot date code, etc.) to the degree necessary to perform the
instructions in a satisfactory manner.]

6. INSTRUCTIONS
[In a step-by-step sequence, identify each action required to perform the task. For each step
description, the following guidelines shall be considered:
1. Identify special working conditions
2. Identify requirements/specifications such as pressure, temperature, voltage settings, etc.
3. Identify accept/reject criteria
4. Identify data records and/or forms that must be completed.
5. Include aids that will help the user such as flow diagrams, checklists, diagrams, schematics,
tables, etc.]

7. QUALITY RECORDS
[This section is used to identify quality records. Quality Records are the objective evidence of the
fulfillment of project requirements for quality and the effectiveness of the operation the Project
Quality System.
[Not all documents created as a result of carrying out a process are quality records. You should
identify those quality records that result from key steps in the process.
[It is recommended that the owner and location sections contain information that will generally
guide employees to the record but not be so detailed that an office reorganization or relocation will
necessitate the update of this table.
[The Record Media column refers to the official record and whether it is in electronic or hard copy
format. Generally, the official file copy is either the electronic copy or the hard copy but not both.
[NPG 1441.1, the NASA Records Retention Schedule, is the official procedure governing the
retention, retirement, and destruction of Agency records and should be used to determine schedule,
retention, and disposition.]

Record ID Owner Location Record Media Retention/Disposition

Hard copies of this document are for REFERENCE ONLY and should not be
considered the latest revision beyond the date of printing. Form # GF-00002-A
CIFE CENTER FOR INTEGRATED FACILITY ENGINEERING

A Work Instruction Template

for Cast-In-Place Concrete
Construction Laborers

By

Claudio Mourgues & Martin Fischer

CIFE Working Paper #WP109

DECEMBER 2008

STANFORD UNIVERSITY
 COPYRIGHT © 2008 BY
Center for Integrated Facility Engineering

If you would like to contact the authors, please write to:

c/o CIFE, Civil and Environmental Engineering Dept.,

Stanford University
The Jerry Yang & Akiko Yamazaki Environment & Energy Building
473 Via Ortega, Room 292, Mail Code: 4020
Stanford, CA 94305-4020
 A WORK INSTRUCTION TEMPLATE FOR CAST-IN-PLACE CONCRETE
CONSTRUCTION LABORERS

Claudio Mourgues and Martin Fischer

Abstract

The state-of-practice method to deliver work instructions to construction laborers

(verbal communication plus construction drawing sets) often fails to effectively
communicate the design and construction information that laborers need to perform
their work. Poor quality of construction drawings (e.g., irrelevant, lengthy and unclear
information) plus inadequate verbal communication skills of the actors in the field
(field management and laborers) lead to many mistakes and inefficiencies. This
problem is becoming critical today as these actors’ cultural and social backgrounds are
increasingly different and varied and construction projects are getting more complex.
This problem prompts for a formalization of the information in the instructions that
allows field management to deliver instructions more consistently and reduce the
negative impacts of traditional verbal instructions.

This paper presents a template that defines the format and content for work
instructions for cast-in-place (CIP) concrete laborers in the construction industry. We
developed this template starting from characteristics of good instructions found in the
literature and then tested and revised it through active participation in several
multifamily housing projects for CIP concrete work.

The field-based validation showed that both laborers and field management personnel
felt that instructions based on our template reduce the rework and the number of
questions during the work and increases productivity and safety. Based on this
validation, we claim that this template is a better way to communicate work
instructions to laborers than the traditional practice. This template contributes to the

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CIP concrete construction domain as it defines a foundation from where improvements
can be made and enables leveraging of virtual design and construction methods that
can interact with the formalized information in the instructions.

Keywords: Construction, work instructions, template, cast-in-place concrete, field

information

1. Introduction

Today’s methods and tools (e.g., cost estimating methods and tools, planning and
scheduling methods, simulations, building information modeling (BIM)) help AEC
professionals produce, analyze and manage design and construction information.
However, there are still quality, safety and productivity problems at the jobsite when
laborers use this information to build the project. Why is this? A reason is that the
communication of project information to the final doers of the project (i.e., laborers) is
ineffective.

Emmitt and Gorse (2003) state that to achieve effective communication, instructions
must be clear, concise, complete, error-free, meaningful, relevant, accurate, and timely
to those receiving them. Several of these characteristics do not occur when giving
work instructions (mix of design and construction information) to construction
laborers. The traditional method to deliver these instructions is via construction
drawings and informal verbal communication. Previous studies and our experience
show that this method negatively affects the field work as described below.

- Productivity: construction drawings are frequently incomplete, not coordinated

between the different disciplines, difficult to read, and not updated. This poor
quality of the drawings lowers labor productivity and increases the chance of
having construction claims (Gao et al., 2006; Makulsawatudom and Emsley, 2003;
Kagan, 1985). Also, the content of construction drawings usually addresses more

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 than one discipline. Therefore, some of the content may not be relevant for the
work the laborers of a particular discipline are going to carry out. This makes it
more complex for laborers to extract the information they need. It is important to
note that BIM/4D-based clash detection is improving the coordination of drawings
(Khanzode et al., 2007). However, this improvement has not adjusted the format
and content of the drawings to make it easier for laborers to find the relevant
information in each of the relevant drawings. On the other hand, poor
communication skills also lower the productivity at the jobsite (Makulsawatudom
et al., 2004) which is worsened by language barriers, low formal education levels,
cultural differences, and the noisy environment.
- Workface questions: During a previous study on jobsite communication
(Mourgues et al., 2007), we observed that traditional verbal instructions lead to
many questions during the execution of the work such as: how do I set the forms in
a column with that shape? How many panels do I need for that part of the wall?
How far from my reference point is that column? These questions reduce labor
productivity as they take time to be answered and affect the product quality when
laborers make wrong assumptions instead of looking for an answer. From our
observation/participation on three projects, we classified these questions in 4
groups:
o Drawings: related to drawing interpretation, clarity and completeness (e.g.,
dimensions, locations, details).
o Instructions: related to work procedures.
o Equipment and tools: related to equipment and tools needed to perform
the work.
o Material quantities: related to what and how much material is needed for
the work.
- Rework: Kaming et al. (1997) identified poor instructions as the second cause of
rework in Indonesia. Also, the workface questions increase the rework as,
sometimes, laborers make assumptions that lower the quality of the work.

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- Safety: We have also observed in our previous research that the instruction
misunderstanding produces unsafe situations as many safe procedures are not
understood and followed. This also increases the need for safety inspections.

Summarizing, as Figure 1 shows, the use of traditional verbal work instructions plus
construction drawing sets leads to many questions at the workface, rework, low
productivity, and unsafe situations. Moreover, the informality of verbal instructions
implies a high variability in both the delivery of instructions and the final performance
of the laborers, and, as one of the Lean Construction principles states, the reduction of
variability is key to improve performance (Thomas et al., 2002). Therefore, there is a
practical need for a better and more formal means to communicate work instructions.

Equip. & tools

Materials
Procedures
Drawings

Figure 1. Illustration of verbal communication of work instructions and its negative

impacts on the field. At the left, the superintendent/foreman verbally explains to
laborers what to do and where, using the construction drawing sets. At the right, the
figure shows the consequences of this poor communication.

At the same time, the use of virtual design and construction (VDC) methods and tools,
such as BIM-based estimating and energy simulation (Staub-French et al., 2003;
Bazjanac, 2005), are formalizing design and construction management information
and tasks. So, there is an opportunity of linking these formalizations with the

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information laborers need to improve the quality of work instructions. However, to
take advantage of this opportunity, we need to formalize the content and format of the
instructions.

However, literature on construction work instructions is scarce. Reviews of

construction research topics such as Abudayyeh et al. (2004 and 2006) and Sriprasert
and Dawood (2001) show no research on work instructions. Most of the literature on
construction communication does not address the communication of instructions to
laborers but focuses on communication at the design and management levels (Terry,
1996; Bakos, 1997; Cory, 2001; Gilleard and Gilleard, 2002) or discusses language
barriers (Loosemore and Lee, 2002). Job-assignment sheets (Oglesby et al., 1989) are
one of the few references to work instructions in construction but a formal study and
analysis of their content and format is missing. Even outside the construction domain,
several studies explain characteristics that make instructions good for different
disciplines (LeFevre and Dixon, 1986; Heiser et al., 2003; Agrawala et al., 2003;
Smith and Goodman, 1984), but these studies do not define the format and content of
these instructions. Therefore, besides the above needs for better and more formal work
instructions there is also a need for a scientific foundation for the content and format
of good work instructions.

In a few words, today’s method to prepare and communicate instructions for laborers
does not make the needed design and construction information ready to be used by the
laborers, as in Heidegger’s concept of ready-to-hand (Koschmann et al., 1998). In this
paper, we focus on the communication link (the actual preparation of the instructions
and the related challenges are discussed in a different paper) between the people
preparing this information and its users and address the needs explained above by
formalizing a template to deliver written design and construction information to
laborers (field instructions template). This template aims at reducing rework and the
number of questions and increasing productivity and safety. This formalization also
intends to reduce the variability of both the communication of design and construction

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information and the laborers’ performance. Since formalizing the information
involved in the communication of work instructions for all types of construction work
may or may not be possible, we focused on the CIP concrete domain for residential
buildings as this domain is an important part of the industry and it is field-intensive.
Within this domain, the applicability of the field instructions template depends on the
type, complexity, and scope of activities.

Section 2 of this paper describes characteristics of good instructions found in the

literature. Section 3 explains how we used these characteristics plus active
participation on a project to develop and test the field instructions template. This
section also describes the template in detail and its range of applicability. In Section 4,
we validate the value of the field instructions template on two construction projects by
qualitatively assessing its impact on the identified problems. Finally, Section 5 reports
the main findings of this research.

2. Literature on work instructions

The first section discussed the reasons why verbal work instructions are often poor
instructions. Therefore, we need to determine the criteria that define good instructions.
Researchers have used different criteria such as the instructions’ level of use
(Antifakos et al., 2002), their usability (LeFevre and Dixon, 1986; Heiser et al., 2003;
Agrawala et al., 2003), their clarity (Heiser et al., 2003; Agrawala et al., 2003), and
their readability (Smith and Goodman, 1984). We use the properties defined by
Emmitt and Gorse (2003) (i.e., clear, concise, complete, error-free, meaningful,
relevant, accurate, and timely) as our goodness criteria because they are the most
comprehensive. These properties are directly related to many of the criteria previously
used by other authors (see above). However, these properties are not specific enough
to guide the definition of an instruction template. Thus, we use these properties as the

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criteria to gather a set of specific characteristics of good instructions for construction
from the literature. We then design the template with these criteria.

2.1. Work instructions in construction

Oglesby et al. (1989) present one of the few studies that address the topic of work
instructions in construction. The authors describe the use of job-assignment sheets as
part of the preplanning of construction work, although, as they recognize, this is not a
popular practice. Job-assignment sheets are written instructions that intend to answer
all laborers’ questions before they are asked. So, laborers must be able to perform an
activity with only the sheet that describes that activity. These sheets also serve as a
record of the work that was done. Although the authors do not explicitly state their
goodness criteria, job-assignment sheets are driven by completeness (i.e., answering
all laborers’ questions). However, these sheets are not self-contained since they refer
to blueprints from where more information (e.g., dimensions, quantities) must be
derived by the laborers (i.e., they are not concise and complete). Furthermore, the
description of the steps to be followed by the laborers is unstructured and distributed
in several sections of the sheet (e.g., job, sketches, and method to be used) that could
be different for new instructions as the authors do not present an explicit format and
content for these sheets. This lack of a formal format and content makes the job-
assignment sheets unclear for the laborers each time new sheets are produced.

In practice, the implementation of job-assignment sheets, when used, has become

another management requirement where subcontractors submit a description of how a
certain task will be done. This description is reviewed and approved by the general
contractor before the task is done to ensure safety and coordinate with other crews
(this description is usually called work method statement). However, this description
is not used to communicate to the laborers what they have to do and how they have to
do it since the description is too general. This communication is still done in the
traditional way (i.e., informal verbal communication and construction drawing sets).

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In spite of the identified shortcomings, the concept behind job-assignment sheets is a
good starting point for our research since it is the only formal reference to work
instructions in construction. This concept implies that good instructions are written
instructions that intend to answer laborers’ questions, are the only information source
for the work described in that instruction, and can be used to track the work that was
done.

In some construction disciplines such as piping, some contractors produce written

instructions for their workers as part of the work packaging process (Kim and Ibbs,
1995). However, those instructions suffer from the same shortcomings of job-
assignment sheets as there is no formal and explicit definition of format and content
for those instructions and they reference external information.

2.2. Characteristics of good work instructions

Outside the construction domain, different authors have identified different

characteristics of good instructions.

LeFevre and Dixon (1986), based on the instructions’ usability, show that instructions
with examples are better than generic instructions. In the context of construction, this
means that instructions specific to a project, activity and location are more useful for
laborers than generic descriptions of work procedures as they are more relevant (one
of our goodness criteria) to the laborers’ work.

Austin et al. (1995), in the field of medicine, show that illustrations improve the
comprehension of instructions. This is particularly true in construction, where much of
the information is of graphic nature which is more clearly described (another of our
criteria) with images than with textual descriptions.

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Smith and Goodman (1984) discuss how explanatory schemes that organize
instruction steps based on the structure or the function of the elements to be built
contribute to a faster reading and higher comprehension of instructions (these are
related to the instructions’ clarity). In construction, work instructions address a
particular building element (e.g., wall, slab, column) or functional system (e.g.,
ventilation supply, sewage system), so it is not possible or meaningful to organize
instruction steps by these criteria as they are common for the whole instruction.
Instead, a useful explanatory scheme is organizing the steps by the operation or task
acting on that structural element or functional system.

Antifakos et al. (2002) argue that most people do not use written instructions for many
reasons (e.g., laziness, self-confidence, people’s different levels of expertise,
instructions’ quality, instructions’ linearity). They propose just-in-time instructions
that are part of a proactive, unobtrusive and context-aware system. This system can
identify the state of the environment (e.g., the application of oil spray during the
setting of wall forms) and deliver the instructions as they are needed for that particular
state. Thus, this system addresses the relevance and timing of the information. Such a
system will impact the format and content of the instructions as each portion of
instructions that is delivered for a particular state of the environment must be self-
contained. However, Antifakos et al. do not mention the construction industry as an
application area, and, actually, there are two main challenges for this application in
construction: a messy environment that makes it difficult to identify its state and the
difficulty to make a system unobtrusive for construction laborers as they need mobility
and carry a lot of tools and equipment. In spite of this, technologies such as wearable
computers (Miah et al., 1998; Fuller et al., 2003), augmented reality (Webster et al.,
1996), RFID (Jaselskis and El-Misalami, 2003), and intelligent data analysis
algorithms (Zou and Kim, 2007) present a potential opportunity to implement this type
of instructions in the construction industry in the future. For the time being, good
instructions must still be delivered complete ahead of the work instead of delivered in
self-contained portions of instructions as they are needed by the users.

9
Heiser et al. (2003) and Agrawala et al. (2003) focus on assembly instructions for the
end users of manufactured products. Heiser et al. describe principles to design these
assembly instructions while Agrawala et al. formalize these principles and, based on
them, automate the creation of instructions. The goodness criteria for these principles
are the clarity and usability of the instructions. The authors used cognitive psychology
techniques to investigate “people’s conceptions of object assembly and effective
visualizations of the assembly” and, based on the results, they identified the design
principles described below.

- Hierarchy and grouping of parts: the elements of the object to be assembled are
perceived with a hierarchy of parts and people prefer, when possible, that a group
of parts in the same hierarchical level (e.g., legs of a table) are added at the same
time or in sequence one after another.
- Hierarchy of operations: people think of the assembly operations as a hierarchy
of actions. At higher levels, these actions combine sub-assemblies and at lower
levels the actions address parts of each one of those sub-assemblies. Usually,
assembly instructions contain two-level hierarchies.
- Step-by-step instructions: people prefer instructions that show a sequence of
diagrams instead of one diagram with all the information.
- Structural and action diagrams: action diagrams (i.e., diagrams that use
guidelines to show where new parts will be attached with existing parts of an
assembly) are better than structural diagrams (i.e., diagrams with all the new parts
already attached to their final position in the assembly) to show assembly
instructions.
- Orientation: most objects have orientations that maximize the visibility of all the
relevant parts.
- Visibility: the new parts added in each step must be visible.

We recognize differences between assembly and construction work instructions that

affect the characteristics that can be derived from these principles.

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- The user’s knowledge/expertise: the user of assembly instructions has less
knowledge/expertise about the assembly process than the knowledge/expertise that
the user of construction work instructions has about the construction process since
the latter is a professional in the discipline. This makes it necessary to focus the
content on the key elements of both the design and construction information – not
including every single step – since, based on our experience, construction laborers
quickly dismiss information they think they know and stop paying attention to the
instructions.
- Work environment: the tasks described in work instructions are usually
performed in a harsher environment than the tasks described in assembly
instructions. This implies constraints on the format (e.g., media, length,
organization, size, color coding, etc.) of the work instructions. In the same line,
Gao et al. (2006) recommend the use of color drawings to improve project
communication.
- Process complexity: Assembly instructions usually depict a simpler process than
construction work instructions. This allows showing more detailed information in
the assembly instructions.

Summarizing, we define the following characteristics of good construction work

instructions from our literature review. Work instructions:

- are written instructions that answer laborers’ questions;

- are complete so that laborers need only one work instruction to perform the work
described in that instruction;
- are used to track the work that was done;
- are self-contained (i.e., do not refer to external documents);
- have a formal format and content for all potential instructions;
- are specific to a project, activity, and location;
- contain illustrations;
- organize instruction steps based on the tasks acting on a building element;

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- are delivered completely before laborers need any particular part of the instruction;
- follow a step-by-step sequence of action diagrams (however, since these
instructions are for professionals, the instructions do not need to include every
single step but only the most relevant steps, and the diagrams must maximize the
visibility of the elements added in each diagram);
- have a format that guarantees clarity in the harsh environment of construction
(e.g., color drawings); and
- show only critical details and leave general trade knowledge out.

However, this set of characteristics is not specific to construction and it is not

immediately useful for a contractor as it does not specify the format and content of
good work instructions. Therefore, there is a clear need for a template that defines this
format and content based on characteristics specific to construction. But before
explaining how we developed our field instructions template from this initial set of
characteristics, we need to explore the literature about describing the work scope of
activities to allow producing work instructions that are specific to a project, activity
and location, as stated by one of the characteristics above.

2.3. Describing an activity

Activities are usually described arbitrarily (i.e., planners name an activity without
following a standard) or using construction taxonomies such as UNIFORMAT II
(ASTM, 1997) and MasterFormat (CSI, 2004) that do not formally describe the work
scope of the activity. This makes it difficult to define the content and format of a
potential instruction for that activity. In this paper, we refer to an activity as a
construction process that happens in a specific work area (i.e., an activity is a specific
instance of a construction process)

Darwiche et al. (1988) define the Object-Action-Resource activity ontology as the

basis for their automated project planning system. Using this ontology, they describe

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an activity as an object, or building element, (e.g., slab, column) that receives an
action (e.g., weld, install, pour, paint) that uses resources (e.g., crew X, concrete,
pump, crane). Note that their definition of resources includes labor, material, and
equipment. In the context of work instructions, we do not need to include labor and
equipment as they do not provide information about the work scope of the activity.
Despite this difference, this ontology describes the main elements that are relevant for
our case but it fails to describe the location of the activity.

On the other hand, Seppänen and Kenley (2005) state that the three levels of location
breakdown structures (LBS) for typical building projects are buildings, floors, and
spaces.

Putting together both descriptions, we can describe an activity as an Action (e.g.,

place, put, dig, paint) that happens on a Resource (e.g., rebar, form, cable, concrete) of
an Object (e.g., wall, column, slab) in a particular Work area (AROW ontology). We
define the work area using three elements (analogous to the three LBS levels): a
building (e.g., building X, garage Y), a level (e.g., foundations, 1st floor), and a zone
(e.g., zone between different column lines, mechanical room).

The next section explains our field instructions template and the research method we
used to develop it, based on the characteristics of good instructions we described
above.

3. Field instructions template for construction labor

A field instruction is a work instruction that uses our template (Figure 2) to deliver
design and construction information to construction laborers in a particular format and
content. We introduce this new term to differentiate field instructions from regular
work instructions that could follow any format (even verbal instructions) and to

13
emphasize that field instructions directly support the field work instead of being part
of generic training or documentation programs and communications.

Figure 2. Field instructions template. This template contains four sections (i.e.,
drawings, instructions, equipment and tools, and BOM sections) that group design
and construction information that is specific to the project, activity, and location. The
drawing section includes four information types: model view, detail view, key plan and
color coding legend. The size of the template (11”x17”) is consistent with the size of
the A3 reports used in Lean Manufacturing for problem solving (Sobek et al., 2008).
Section 3.2 explains this template in detail.

Before explaining the template itself, we explain the research method we followed to
develop this template, connecting it with our literature review findings. After
explaining the field instructions template, we discuss its range of applicability.

14
3.1. Research method

Developing a template for work instructions requires a close observation of what

works and what does not work in the field. That is why we decided to use a practical
approach instead of a lab-based approach such as cognitive-psychology, used by
Heiser et al. (2003). We used an active-participation approach where the main author
worked as a project engineer for a cast-in-place (CIP) concrete contractor in a
multifamily housing project. The research method followed three steps: development
of an initial template based on our literature review findings and interaction with the
foremen, field testing of that template, and refinement of the template based on
laborers’ feedback and our observations.

In the initial phase of the research we defined a template with the step-by-step
approach suggested by the literature. We found it difficult to create action diagrams
because the steps illustrated in the instructions were not assembly steps (e.g., connect,
screw) but broader action steps (e.g., dig, place, paint, cut). Figure 3 illustrates two
examples of these early instructions.

We realized very quickly that we had to change this approach. The foremen’s
feedback and our observations suggested that the instructions were unclear and too
long (i.e., contrary to our goodness criteria). This realization led to a drastic change of
the format of the field instructions from a step-by-step approach to an all-in-one
approach. This new approach does not follow a step-by-step sequence of action
diagrams but it uses one or a few images to show the relevant information irrespective
of the particular instructions steps.

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Example 1. Work instruction for digging footings

Example 2. Work instruction for setting forms for a particular wall

Figure 3. Examples of step-by-step instructions. Each step in the instructions is

separated from the others with a horizontal line and illustrated with one or more
diagram or picture. These instructions were assessed as unclear by the foremen and
they were long, considering the small amount of information that they contain.

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Figure 4 shows three examples of instructions with an all-in-one approach. The early
instructions were mainly annotated and color-coded images from the project. At this
point we started the second phase of the research: field testing of the instructions. We
gave these instructions to the crews to support their daily work and collected their
anecdotal feedback and our own field observations. We also attempted to obtain
quantitative impact information but it proved to be unfeasible (see section 4). Based
on this feedback and the characteristics we identified from the literature (with the
exception of the step-by-step approach), we reviewed these instructions and
incorporated and organized information based on the types of workface questions.

Figure 4. Examples of all-in-one instructions. These instructions contain images that

illustrate the needed information as a whole instead of diagrams illustrating each
individual step. The upper images show early instructions that were mainly annotated
and color-coded drawings in different views with little extra information. The lower
image shows a later field instruction that includes more information.

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The next section explains in detail the format and content of the final field instructions
template and its connections with the characteristics of good instructions.

3.2. Field instructions template

Figure 5 shows an example of a field instruction (based on the template shown in

Figure 2) for placing rebar on the wall footings in a particular work area. We will use
this example to explain each part of the field instructions template.

It is important to note that the goodness criteria we used to define the field instructions
template also require that the production of the field instructions is just-in-time (JIT)
so that instructions include up-to-date information and avoid coordination challenges
of the relevant information (e.g., architectural and structural drawings).

The first element of the template is the title, which defines the work scope as the
activity for which the instruction is needed. The title also indexes the field instructions
so the company can find a particular instruction that was used among the many they
will produce for a project. The title uses the AROW ontology described in section 2.3.
In our example, the title describes the activity: Place (action) the rebar (resource) of
the wall footings (object) at building 3, foundations, from column lines 6 to 12 and A
to D (work area).

The title element includes a couple of the characteristics of good instructions we found
in the literature. It is specific to the project, activity and location since it refers to
specific resources, objects and work areas of the project. It also has a formal format
that minimizes misinterpretations and allows tracking the work done with the
instructions by object, resource and work area.

18
 Figure 5. Field instructions example.

Figure 5. Field instructions example. The title of the instruction defines its scope (i.e., place rebar of wall footings at building 3, at

19
the foundation level, from column lines 6 to 12 and A to D) using the Action-Resource-Object-Work area format.
The other main elements of the template are four sections (illustrated in Figures 2 and
5 and described in Table 1) that group the design and construction information. This
information organization answers the typical questions (described in Section 1)
laborers have at the workface. The names of these sections relate to concepts that
laborers easily recognize. For example, the drawing section could also be named
“building design information” but that name would not be easily understood by the
laborers.

Table 1. Sections of a field instruction. These sections address the types of questions
laborers have at the workface.
Section Description
Drawings This section contains design information (i.e., locations,
dimensions, materials, etc.).
Instructions The construction steps and special considerations that laborers
must follow to perform the work described by the field
instruction.
Equipment and The equipment and tools needed to perform the work described in
Tools the field instruction.
Bill of Materials The materials and their quantities needed for the work included in
(BOM) the field instruction.

3.2.1. Drawing section

This section addresses several characteristics of good instructions. It is self-contained

(there are no references to additional drawings), it is where most of the illustrations are
(there can be some in the instructions section), it uses color coding to maximize the
clarity for the harsh environment of construction, it is independent of other drawings
(laborers need only these drawings for their work), and it has a formal content – i.e.,
model view, color coding legend, detail view, and key plan – that organizes the
information to make it easier for the laborers to find what they look for.

20
The content elements mentioned above come from our rationalization of our
interaction with laborers and field management personnel. These four elements (i.e.,
model view, detail view, color coding legend, and key plan) help the laborers to
quickly find the information they are looking for, since, as Figure 2 shows, they are
consistently distributed in the drawing section. Figure 6 highlights those elements in
the drawing section of the example in Figure 5.

Drawing Section

Length of Wall
footings-Rebar
distribution
40'-0"
22'-0"
11'-6"
13'-6"
25'-0"

Color coding
legend

Model view
Key plan

Work Area

Detail view

Figure 6. Elements of the drawings section: model view, detail view, color coding
legend, and key plan.

- Model view: shows design information that is relevant (based on the company’s
best practices as explained below) for the activity described by the field
instruction. The number of model views depends on the information required for
that particular activity. In our testing and validation phases we always used only
one model view per field instruction. These views can be plans, reflected views,
elevations, sections or 3D views. They should be color coded to describe
information more clearly and concisely (as suggested by Gao et al. (2006) and by

21
 the laborers during our testing phase). The views can also be dimensioned and/or
annotated if necessary to deliver as much information as possible but leaving
irrelevant information out. For example, if the footing layout is already done (i.e.,
shape is painted on the ground), laborers do not need horizontal dimensions (they
still need elevations) to excavate the footings. We call it model view because it is a
view extracted from the project model (it could be a 3D model or 2D drawings).
- Detail view: shows details (e.g., rebar configuration shown in Figure 6) that
otherwise would be too hard to depict in model views. When different details
apply to different areas in the model, they can be referenced by color coding or
labeling.
- Color coding legend: explains the color coding used in a model view. One legend
is enough for multiple model views if they share the same color coding.
- Key plan: identifies the location in the project where the activity described by the
field instruction occurs.

The content and format of the model view (i.e., the elements included in the view, the
type of view and the color coding of the included elements) depend on the
construction process (activity type, i.e., the actual location of the activity is not
relevant) described by the field instruction. For example, the design information
needed for a certain construction process may be better described by floor plans than
elevations (e.g., lay out footings). The same applies to the color coding scheme used in
the model view and the building components (e.g., footings, columns, slab on grade)
included in that view. However, the final decision on the type of view, the view’s
color coding, and the view’s content that are better for a particular construction
process is up to the companies (ideally a team of experts from the field and main
office of the contractor) using field instructions to communicate instructions to their
laborers because these are subjective choices. Table 2 presents examples of
construction processes with the respective most useful model views based on a
contractor that participated in the testing phase (see section 3.1).

22
Table 2. Examples of construction processes and their respective model views for the
drawing section of the field instruction. In some cases, we include more than one
construction process in the same field instruction (e.g., lay out and dig footings) since
those construction processes have the same format and content for the respective
design and construction information.
Construction Format and Content of Fragments of sample illustrations
process Model View
Lay out and Plan view color coded
dig footings according to bottom
elevations of the footings
(i.e., footings with different
bottom elevations are of a
different color). It includes
only footings, column layout
grids, footing piece marks,
and dimensions.
Set deck Reflected ceiling view of
forms for elevated slab color coded by
elevated slab bottom-of-slab elevations
(i.e., elevated slabs with
different bottom elevations
are of a different color). It
includes elevated slabs,
column grids, and
dimensions.

23
 Set anchor Plan view with the columns
bolts of color coded according to the
columns type of plate (i.e., columns
with different anchor bolt
configurations are of a
different color). This view
must include columns,
layout grid, and dimensions.

3.2.2. Instructions (construction steps) section

This section explicitly states the construction steps that the contractor wants its
laborers to follow. The section has several characteristics of the good instructions. It is
self-contained, it uses illustrations (when needed) to support step explanations, it
organizes steps by tasks, and it contains critical information (trade knowledge is left
out) based on the contractor’s judgment.

This section includes an explicit sequence of the construction steps needed to perform
the activity described by the field instruction. These construction steps are based on
the best construction practices of the company (instead of a particular foreman’s
experience) and can be supported by visual aids to illustrate a particular step. The level
of detail of these construction steps is, again, up to the company using field
instructions, but, as a general rule, construction steps should not include obvious
actions (e.g., grab the hammer, hit the nail, etc.) and general trade knowledge but only
steps that define a procedure that may have an impact on quality, productivity, safety,
and other factors relevant for the contractor (i.e., sustainability, building codes).
Figure 7 shows two examples.

24
 Set column forms Lay out and dig footings
Layout
- Move tools and equipment to work area.
- Paint soil according to drawing section.
- For step footings, paint the bottom step the
same color as the edge of the footings and
paint the top step for the form with a
different color.

Section

Plan
Dig
- Move tools and equipment to work area.
- Set up laser making sure that laser
beacon is level.
- Place receiver on 2x2 and adjust
receiver to bottom of footing.
- Check elevation and give feedback to
backhoe operator.
- If potential rain, pour mudsill.

Figure 7. Examples of the instructions section. The left example shows organization of
the steps based on the tasks acting on the building elements. The right example shows
a visual aid that supports a particular step. One of the steps references the drawing
section of that particular work instruction that is not shown here. The field instruction
in Figure 5 also has a visual aid in the instructions section.

3.2.3. Equipment and tools section

This information complements the construction steps of the instructions section by

specifying a list of the equipment and tools that laborers need to perform the steps.
The purpose of this section is to make the list of these equipment and tools explicit to
the laborers. Again, this section does not include general trade knowledge about how
to use the equipment and tools.

25
3.2.4. BOM section

This section uses the concept of material in a broad sense. We consider material any
element that will be part of a building component (e.g., concrete, rebar, steel), that
supports the installation of a building component (e.g., formwork panels, lumber), or
that is a byproduct of an activity (e.g., earth extracted from digging footings). The key
feature of the material is that it can be and needs to be quantified, based on the
contractor’s needs.

Also, note that not all activities involve materials in the sense that we use the term
“materials” here. For example, laying out footings (pretty much the layout of any
building component) does not need materials.

These four sections (i.e., drawings, instructions, equipment and tools, and BOM)
consolidate the information in an all-in-one work instruction with the characteristics of
good instructions that we derived from our literature review and our active
participation on the jobsite. Field instructions can be used for a range of activities but
there are situations for which they may not provide enough benefits to justify their use.
We discuss the range of applicability in the next section.

3.3. Applicability range of field instructions

As in any method or tool, field instructions should be used for activities when the
benefits of using this formal instruction are greater than the costs of producing the
instruction. This assessment depends on the company’s practices and the complexity
of the activities they perform. However, there are general criteria to determine the
applicability.

26
Regarding the type of activities, the field instructions template is designed to support
field activities and not administrative or support activities such as planning, cost
control, purchasing, equipment maintenance, etc.

Regarding the activity complexity, it does not make sense to use field instructions for
activities that are too simple or where laborers know very well what they have to do.
For example, during the field testing in the development phase, we observed that
laborers did not need any instruction for pouring concrete as they knew very well what
to do and how to do it. Another example is the installation of highly-accurate modular
steel structure systems where laborers only need to know the location and orientation
of the steel members. Figure 8 shows an address code stamped on the steel members at
the factory used by a company to specify the location and orientation of the members
(Luttrell, 2008).

Figure 8. Address code for steel structure members. A manufacturer/installer of steel

structures uses this code to tell laborers the location and orientation of the steel
members (image courtesy of ConXtech).

On the other extreme, if an activity is very complicated, it is necessary to reduce its

scope to keep the respective field instruction simple. For example, instead of using one
field instruction for setting a very complicated embed system in a concrete wall, we
can either use a field instruction for each sub-component of the embed system or
reduce the work area (or specify a subgroup of walls in the original work area) to
include only walls that have the same type of embed system. When highly complex
activities are also very important for the project (because they are highly repetitive or
affect many other activities), the use of field instructions can be complemented with
task-specific training sessions supported by process simulations. Figure 9 shows

27
snapshots of a process simulation with the respective instructions used for the
prefabrication of rebar cages (Arbulu, 2008).

Figure 9. Snapshots of a simulation of the prefabrication of a rebar cage (Arbulu,

2008). Producing this type of simulations is worthwhile only for important activities
(images courtesy of Strategic Project Solutions).

Regarding the activity scope, field instructions are intended for one day of work, so
they are delivered to the laborers for the work they will do that particular day.
However, in some cases (like in the example of the concrete embeds above), it is
necessary to reduce the scope of the instruction. Analogously, simple and repetitive
activities that still benefit from using field instructions (e.g., installing prefabricated
column rebar cages) can use field instructions with scope for several work days.

Now that we have explained the field instructions template, how we developed it and
its applicability range, the question is: do field instructions reduce the problems of the
traditional verbal instructions?

28
4. Validation of field instructions

To answer the question stated above, we must compare the impact that both work
instructions (verbal and field instructions) have on the areas where verbal instructions
have problems. Therefore, we validated the power of the field instructions template by
assessing the reduction of instances of the main problems (i.e., workface questions,
rework, low productivity, and unsafe situations) compared to the traditional
communication of work instructions (verbal communication and construction drawing
sets). We validated the generality, within the CIP concrete domain, by using two
different projects with different teams.

The validation shows that the field instructions template reduces the problems
produced by the current method of communicating work instructions. It also shows the
unforeseen result that using field instructions weakens power hierarchies produced by
information access.

The validation methodology we used consisted of 3 steps: produce daily field

instructions for one week of work on each construction project, have the laborers use
these instructions and, at the end of this period, interview the laborers to qualitatively
assess the impact of these instructions.

We initially tried a quantitative evaluation of these instructions’ impact. We tried to

measure, for cases with and without field instructions, the affected activities’
productivity, the number of questions laborers had while doing those activities, the
rework hours related to those activities, and the number of unsafe situations and
accidents that occurred while working on those activities. However, obtaining timely,
accurate, and reliable data from the projects proved to be impossible since the required
measurement system was not in place and manual measurement would have been too
intensive and disruptive. Consequently, we used a qualitative assessment of the impact
on these problems.

29
The projects used for the validation focused on the construction of cast-in-place
concrete foundations and slabs-on-grade for multifamily housing buildings. However,
the buildings have important differences that contribute to the generality of the
validation. One project is a regular podium building (i.e., elevated post-tensioned slab
on top of one floor of concrete columns and walls) while the other is a building where
the slab-on-grade is split into two levels and includes a large retention wall.

The structured interview asked the interviewees to assess the impact of the field
instructions in their daily work regarding 5 categories compared with the use of
traditional verbal instructions. Table 3 explains these impact categories and relates
them with the instructions’ properties for effective communication.

Table 3. Impact categories. The third column shows the criteria for good instructions
that relate to each of the impact categories.
Impact Explanation Instructions’ properties
Category (Emmit and Gorse, 2003)
General General assessment of support to do All
impact their work.
Workface Questions that laborers have when they Clear, complete, accurate,
questions are performing their work. and timely
Rework Work that laborers have to redo because Clear, error-free and
the information they got was wrong or accurate
they did not interpret it correctly.
Productivity Efficient use of time and other Clear, concise,
resources (people, equipment and tools, meaningful, relevant and
and materials). timely
Safety Assessment of safety when they NA
perform their work.

30
We classified the interviewees in three categories based on their relation with the field
instructions: foremen/superintendent (of the cast-in-place concrete contractor),
laborers who used the field instructions during the validation week, and laborers who
did not use them. This last category includes both laborers working on activities for
which we did not prepare field instructions, and laborers working on activities that had
field instructions. The latter laborers are the fewest and they were usually low skilled
(cannot read either words or drawings) and with very low interest/engagement in the
project. These laborers work on very simple tasks and just wanted to be told what to
do, limiting their intellectual involvement with those tasks. We decided to include
these laborers in the validation to identify if there were significant differences with the
other interviewees. They based their assessment on what they saw in the filed (the
other laborers using the instructions) and our explanation during the interview. Figure
10 shows the answers of the interviewees on a 1-to-5 Likert scale where 1 represents a
very negative impact, 3 a neutral, and 5 a very positive one. Positive impacts mean
that field instructions are better than traditional instructions to deliver instructions.
All Instructions (8)
All Projects (2)

Figure 10. Results of field instructions validation. This graph shows the data from the
interviews on the two projects. Based on these positive assessments, we conclude that
our field instructions template is better than traditional instructions relative to the
problems identified in section 1.

All the interviewees assessed the impact of field instructions positively in all the areas
as they felt that using field instructions was much better than relying on verbal

31
communication. The superintendent/foremen felt that they could better communicate
and were particularly happy with the impact on workface questions. The impact of
field instructions on safety was considered to be positive but not as strong as in the
other areas. Most of the interviewees mentioned that safety depends finally on the
worker. The variation on the assessments made by the different types of interviewees
(foremen/superintendents, laborers who used the field instructions and those who did
not use them) is relatively small with a slightly bigger difference between the
foremen/superintendent and the laborers. Given the small sample, these differences do
not have a definitive trend.

A very interesting, and unforeseen, finding from the validation is that workers felt the
information was more accessible to everyone and, therefore, it weakened power
hierarchies created by information access. This weaker hierarchy contributed to the
purpose of field instructions (i.e., improve communication of design and construction
information) as it facilitated the communication between laborers and the
superintendent and foremen.

5. Conclusions

The current method to deliver work instructions (verbal communication plus

construction drawings) negatively impacts the work in the field by raising questions at
the workface, increasing the rework, lowering labor productivity, and creating unsafe
situations.

In response to this problem, we presented a format and content template for work
instructions (field instructions template) as a better means to communicate design and
construction information to CIP concrete construction laborers. Developing this
template, we formalized characteristics of good work instructions for construction
based on literature review and active participation in projects.

32
Based on the validation shown in section 4, we claim that our field instructions
template is better than traditional practice as it reduces the above problems. The use of
this template will allow better field communication and tracking of the work done and
the construction methods used. The practical implications of this are: lower costs for
the contractor due to less rework, higher productivity, and safer operations; and better
contractor’s knowledge management since there is an indexed record of the specific
design and construction information used for activities in the project that can be
tracked by date, building element, resource, and location.

This template contributes to the knowledge in the construction domain as it defines the
content and format of good work instructions for construction. Previous research did
not present explicit format and content formalizations. Even outside the construction
domain, we were able to collect characteristics of good instructions but not explicit
definitions of format and content. We also discovered in this process that the step-by-
step approach, suggested by previous research in assembly instructions, does not work
well in the construction domain. Consecutively, we suggest the use the of an all-in-one
approach.

In the process of defining our field instructions template, we extended the OAR
activity ontology by including a work area defined by the three typical levels of LBS
for building projects. This extension defines the AROW ontology.

The major limitations of the presented template are the following:

- We developed the template for a specific domain (CIP concrete operations). Other
construction disciplines may have particular characteristics that require a different
information format or content in the work instruction.
- The validation process was qualitative only (reliable quantitative data proved
impossible to obtain during this research).

33
- The template is for field construction operations only and does not address support
activities such as material movement and equipment maintenance, or managerial
activities such as quality control and progress reporting.
- The scope of this research is the delivery of design and construction information to
the laborers so the template does not allow capturing feedback information from
the laborers at the moment of performing the activity described in the field
instruction. However, this feedback information is key to keep an indexed record
of the “as is” information that includes product and process changes done in the
field (i.e., actual product dimensions and locations, and actual construction steps,
equipment and tools, and materials), quality related comments, suggestions, etc.

We plan to continue our research to extend the scope of this template to other
construction disciplines (e.g., plumbing, framing, and steel structure), perform
quantitative validations of the impact of the template, and integrate feedback
information in the template. Also, we suggest future research using a different
methodology to derive good instructions for construction. For example, Heiser et al.
(2003) and Agrawala et al. (2003) used cognitive psychology to define principles for
assembly instructions. We believe that, although hard to apply and maybe too general
for obtaining a specific format and content template, it would be interesting to apply
this methodology on a future study to contrast the results with the presented field
instructions template.

Finally, there is a big opportunity to automate the production of field instructions as

the format and content of these are now clearly defined. We plan to continue our
research to answer how the input information (design and construction knowledge) of
such automation has to be defined.

34
6. Acknowledgements

We thank Accu-Crete, Inc. for its support of this research and the access to its
projects, people, and data. We also thank the Center for Integrated Facility
Engineering (CIFE) and its industry members for funding this research.

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Staub-French, S., Fischer, M., Kunz, J., and Paulson, B. (2003). "An Ontology for
Relating Features with Activities to Calculate Costs." Journal of Computing in
Civil Engineering, 17(4), 243-254.

Terry, P. C. (1996). "Communication Breakdowns." Practice Periodical on Structural

Design and Construction, 1(4), 108-112.

Thomas, H. R., Horman, M. J., Souza, U. E. L. d., and Zavrski, I. (2002). "Reducing
Variability to Improve Performance as a Lean Construction Principle." Journal
of Construction Engineering and Management, 128(2), 144-154.

Webster, A., Feiner, S., MacIntyre, B., Massie, W., and Krueger, T. (1996).
"Augmented reality in architectural construction, inspection and renovation."
Proc. ASCE Third Congress on Computing in Civil Engineering. Jorge Vanegas
and Paul Chinowsky (Eds), 913–919.

Zou, J., and Kim, H. (2007). "Using Hue, Saturation, and Value Color Space for
Hydraulic Excavator Idle Time Analysis." Journal of Computing in Civil
Engineering, 21(4), 238-246.

40
Sample work instruction for storage

W2 Storage

This work instruction outlines the steps you must follow for storing food items in order to minimise
the risk of contamination and spoilage.

Procedure

1. Goods once received will be transferred to the appropriate storeroom or cool room without
delay.

2. All food received will be stored in the appropriate store (dry; chilled; frozen) in their original
inner packaging where practical.

3. All outer packaging is to be removed before placing items in the storeroom to prevent
possible contamination or infestation by pests.

4. All food items will be controlled and FIFO (first-in-first-out) used, especially for food items
with a limited shelf life and explicit ‘use-by’ dates. These food items will be stored in a
manner that ensures older stock is used first.

5. The manager will ensure that all food items are received, stored and handled in a manner
that will prevent temperature variations and contamination.

6. All food items must be clearly identified or labelled with the date of delivery/production,
covered during storage if appropriate with either a lid or plastic film. Container lids must
not be stored on the floor.

7. Raw and ready-to-eat food must be stored separately, ideally in separate cool rooms. If this
is not possible, ready-to-eat food is to be stored on upper shelves above the raw foods.

8. Cool room doors are to be kept closed at all times (when not in use), and the temperature of
food in cool rooms will be monitored and recorded twice a day. Any deviations in
temperatures must be investigated to initiate correction. All refrigeration units will be
properly cleaned and maintained at all times.

9. Checks of refrigerators will be made first thing in the morning and in the afternoon and
recorded on the cold storage check sheet. Any food items with an expired use-by date will be
discarded.

10. All cooked food items will have the date of cooking displayed.

Required storage temperatures are as follows:

Raw meat/poultry/seafood: 0C – 5C

Cooked meat/poultry/seafood: 0C – 5C

Cooked vegetables: 0C – 5C

Dairy produce: 0C – 5C
Dry store: 12C – 18C

Frozen products: Will remain frozen (usually below -18C)

Responsibilities

It is the responsibility of the stores and kitchen staff to comply with the procedures.

It is the responsibility of the manager to ensure compliance with the procedures. It is the
responsibility of the manager to ensure that temperature checks on food are completed.

Documentation

Cold storage check sheet

Dry storage check sheet

Cooling check sheet

Work instructions can cover more than one activity, for example the work instruction above covers
cold storage, freezer storage and dry storage.

Each work instruction includes detailed check sheets to help staff perform the different actions and
record the information in a systematic way. Take a look at the data provided on the following cold
storage check sheet.

Sample cold storage check sheet

Cold storage check sheet (W2)

 Check each fridge and freezer in the morning and afternoon.

 Record the temperature and check that the fridge is set up correctly.

Tell your supervisor if the fridge is above 5C or the freezer is above -18C.

BUSINESS NAME: DATE:

Time Fridge Temp. Stock Food Food Clean & Comment Sign
No. rotated covered labelled tidy
& off & date
yes/no floor marked yes/no
Storage
temperature yes/no
recorded yes/no
 SAFE WORK INSTRUCTION TEMPLATE
TITLE /DESCRIPTION OF ACTIVITY:
Faculty/Division School/Unit
Created By Document No. Risk Number

Initial Issue Date Current Version Next Review

Date
SCOPE: (List whom this procedure applies to and the specific location this work can be conducted in)

AUTHORISATIONS: (List specific operator competency requirements, e.g. area induction, qualifications, certificates, OHS
training, supervision. List who can approve that competency has been achieved)

HAZARDS: (List all the potential hazards and associated consequence, e.g. chemical exposure – inhalation or skin
absorption, leading to irritation, burns, acute or chronic injury)

SAFETY (List the safety controls that are required to be in place, e.g. fume-hoods, biosafety cabinets, emergency
equipment, machine guarding, spill kits, personal protective equipment, first aid response, any after-
CONTROLS:
hours work restrictions or rules)

PRESTART (List tasks to be completed before commencement of work, e.g. conduct a prestart safety check of
equipment; review chemical MSDS, risk assessment or lab rules; prepare work area, equipment and/or
REQUIREMENTS:
operator)

INSTRUCTIONS: (List step by step procedures for the task. You can use photos, flow charts, diagrams etc.)

CLEAN UP/ (List procedures for disposal of waste, decontamination, storage, shut down of equipment)
SHUT DOWN
PROCEDURES:
EMERGENCY (Provide the emergency response procedures e.g. power isolation procedures, spill containment
procedures, first aid response)
PROCEDURES:

FURTHER (List any relevant procedures e.g. Monash procedures, relevant legislation, definitions, reference to
other safety information)
INFORMATION:

APPROVALS
Title Name Signature Date
Supervisor
Safety Officer

Safe Work Instruction Template v2.1 Responsible Officer: OH&S Manager Page 1
Date of first Issue August 2015 Date of last review: July 2018 Date of Next Review: 2021
18/07/18
For the latest version of this document please go to: http://www.monash.edu.au/ohs/
MANUFACTURING WORK INSTRUCTIONS
Whitepaper
CONTENTS
3 Work Instruction Challenge
4 Manage Efficiency

5 Build Integrity & Deliver Efficiency

3DS Configured 3D Work Instruction Solution

6 

Manufacturing Work Instructions for Aerospace Whitepaper 2 © 2012 Dassault Systèmes

Manufacturing Work Instructions help create and
manage assembly work instructions, condition of supply
illustrations, and maintenance manuals from a configured
3D definition for the aerospace industry.
To be in compliance with FAA regulations or government
program office requirements, aerospace companies
have to ensure that the shop floor—or the supplier—has
manufactured and assembled each product as design
intended. As-Designed intent must be reconciled to the
shop floor’s As-Planned work instructions as a foundation
for an accurate As-Built result.
The business drivers for this are lower shop-floor costs
and better reliability, which result from reducing the time
spent creating and consuming accurate, comprehensive
work instructions for each unit, while accommodating late
changes as fast as possible.
Aerospace companies recognize that there is great value
in increasing productivity in the authoring phase of work
instruction. But they also recognize that the ultimate payoff
for an end-to-end solution is the value-add that it brings to
shop-floor installation and quality inspection.
WORK INSTRUCTION
CHALLENGE
Companies spend much time and effort implementing
rich 3D solutions that enable great product and process
design, but there remains a wall between Engineering and
Documentation. Documentation users can’t use the 3D data
effectively, so they resort to creating their own sketches and
illustrations, or to taking digital photos of completed products.
In some aerospace companies, documentation users go to
engineering designers and ask them to create screenshot
after screenshot of CAD data—wasting time and taking
engineers away from important design activities.
Manufacturing Work Instructions for Aerospace Whitepaper
Other companies place a predefined digital mockup
directly on the shop floor, using CAD models that are often
too heavy.
The problem with these manual methods is that they’re
disconnected from the engineering systems. As the product
changes, these manually-created deliverables don’t stay
current with modifications, and are difficult and costly to
update. These documents must be revisited individually for
each plan, with a greater potential for error or overlooked
data. This creates a redo situation that pushes out the
release-to-market time — impacting market share and
eroding profitability.
Value Positions
Deliver 3D model-based work instructions
to the shop floor, based on validated and reconciled
planning data in the 3DS DELMIA Manufacturing Hub.
Minimize effort required to incorporate
design- or manufacturing-driven changes into work
instructions.
Deploy an intuitive, easy-to-use interface for
authoring and illustrating 3D work instructions.
Reuse common work instructions across
different configurations.
Use a similar methodology for
maintenance manual creation and Condition
of Supply illustration.
3 © 2012 Dassault Systèmes
How many different formats do you use for your shop floor
work instructions? Which parts of your current instructions
are reusable?
MANAGE EFFICIENCY
Model-based design practices are intended to provide a
single source of design authority. Designers electronically
define the As-Designed flyaway condition of the aircraft
in a consistent manner, using components of 3D with
catalogs supplemented by annotations and callouts that
incorporate intelligence into the dataset. The key benefit is
consistency, which enables the data to be used automatically
downstream. As the data is enriched along the way,
Manufacturing can automatically incorporate the changes
into their flexible planning system and adapt. The model-
based approach is not always a 3D definition, but rather
a single-source, model-based architecture that enables
efficient design and planning evolution.
Designers have refined their model-based architecture
to “one part = one model” for efficient change and
configuration management. In the same way, planners have
refined their model-based architecture to adapt: instead
of being embedded into a flat-file document or production
visual aid, manufacturing plans are exposed in the database
at a change-and-configuration-managed granular level to
maximize reuse and provide visibility into changes. This
information can be used to analyze several variations of the
plans; planners can apply simulation and analysis to select
the best plans, just as designers do for engineering.
Model-based design and planning enables efficient reuse of intellectual property for work instruction authoring.
Manufacturing Work Instructions for Aerospace Whitepaper
The resulting validated model-based plans can be reused
and distributed downstream as accurate work instructions.
A key benefit of this approach is the ability to incorporate
and validate late design changes quickly. The net effect
on the shop floor is assurance that work instructions are
accurate and up to date.
Product information is usually delivered late, so planners
define textual work instructions separately from any
graphics, knowing the text will have to be reworked when
the final graphics are available. The downstream impact of
inaccurate work instructions is that design issues have to
be resolved on the shop floor, where the cost of change is
high. This affects the production schedule by increasing the
number of non-conformances and the number of corrective
actions that have to be taken.
Using configured work instructions from Dassault Systèmes
(DS), planners can create detailed 3D work instruction with
half the effort in half the time. Model-based design and
planning enables efficient reuse of intellectual property
for work instruction authoring. In addition, standard text
libraries enable quick descriptions that can be directly
associated with this 3D definition.
The efficient reuse of upstream engineering and planning
information delivers clear, accurate, and comprehensive 3D
work instructions for use on the shop floor.
4 © 2012 Dassault Systèmes
BUILD INTEGRITY
The impact of engineering change challenges the integrity
of shop-floor work instructions. Design changes are
requested for many reasons, such as customer and market
requests, performance requirements, and shop-floor
unbuildable conditions. A seemingly simple part redesign
can result in thousands of downstream work instruction
updates.
The result on the shop floor is that extra time is spent
getting clarification on the work instruction, which takes
time away from building the aircraft, and the possibility
of work stoppage. In most cases, incorporating a change
request on the shop floor results in many additional follow-
on change requests because downstream processes were
not considered.
All of this can be avoided by using a Product
Process and Resource data model to analyze the impact of
any given change on work instructions. Shop floor workers
then receive accurate instructions and limited change
notifications where necessary. The result is increased
worker touch time, faster turnaround time for completing
change requests, and improved product quality.
DELIVER CONSISTENCY
Because manufacturing plans are authored according
to aircraft Tail Number or Unit Number, the job that a
worker must perform can deviate from plane to plane
depending on the configuration and set of parts to be
installed. This high level of variability means more work
re-creating work instructions.
Manufacturing Work Instructions for Aerospace Whitepaper
3DS PPR Model
The 3DS Product, Process and Resource (PPR)
model enables a direct association between design,
manufacturing planning, and shop floor deliverables
for automatic changes
Making a change within the PPR model has a virtual
downstream impact just as change does on the shop
floor, enabling:
• Upfront change impact analysis
• F
 ast re-planning and validation of all affected
plans and work instructions, in context
• I ncorporation of ALL shop floor changes required
to maintain production & quality
Because work instructions are re-created and
duplicated, a single operation can be described in
multiple ways. Shop floor workers need extra time
to understand their procedures, and the potential for
unnecessary non-conformances rises. The solution:
eliminate re-creating any work instructions that are
common from unit to unit by authoring them under
configuration control. This also ensures consistent
documentation of already-validated procedures.
Reuse and validation means that shop floor workers
deal with less variability. Whenever possible, they’re
looking at the exact same job, and are only notified
when the job is changed.
5 © 2012 Dassault Systèmes
What if you could deliver common work instructions
for multiple configurations to the right people at the
right time?
3DS CONFIGURED
3D WORK INSTRUCTION
SOLUTION
3DS Manufacturing Work Instructions for Aerospace
enables a solution with efficiency, integrity, and
consistency. Work Instruction authors use their time more
efficiently by reusing model-based definition and standard
instructions wherever possible. Shop floor deliverables
become much more accurate and reliable because the PPR
data model streamlines change management. The practice
of creating common instructions across configurations
dramatically increases a worker’s understanding of the
work content—demonstrating the value of authoring
configured work instructions and quickly delivering the
right instructions to the shop floor.
This 3DS solution is scalable within your enterprise, and is
flexible in terms of instruction authoring, with ZeroD, 2D and
3D functionality. ZeroD authoring provides for rich textual
content, including the use of standard instruction libraries. 2D
authoring amends the use of drawings, images, spreadsheets
and other material as attachments to a plan. The key is that
the 3DS solution allows your company to apply the correct
functionality to the discipline or to the needs of the target
product program. It puts the full breadth of functionality in
the hands of the end users, giving them the power to deliver
appropriate content (ZeroD, 2D or 3D) to any task.
Manufacturing Work Instructions for Aerospace Whitepaper
3DS Solution: Key Applications
CATIA – Digital product experience and innovation
DELMIA Process Engineer – Structured process
planning and Bill of Material management
Work Instruction Composer – Create and manage
model-based work instructions from a configured
3D definition
3DVIA – Repurpose existing 3D data to create high-
quality interactive technical 3D experiences
DELMIA Operations Velocity – Real-time
Manufacturing Operations Management
supporting shop floor execution and
non-conformance management
The 3DS Work Instruction end-to-end solution relies on the
model-based definition from As-Designed to As-Planned
to As-Built, applying tools from CATIA, DELMIA Process
Engineer, DELMIA Work Instruction Composer, and DELMIA
Operations Velocity. The end-to-end solution supports
multiCAX import, providing model-based definitions that
originate from many sources.
DELMIA Work Instruction Composer (WKC) embeds
3DS 3DVIA lightweight geometry and extensive publishing
technology on top of its built-in configuration-managed
6 © 2012 Dassault Systèmes
foundation. Work instructions with lightweight 3D content,
created with WKC in maximum configuration states, are At the center of the 3DS Solution for 3D authoring,
filtered by a Shop Order Release for specific line or unit
the DELMIA Work Instruction Composer
numbers and delivered to the 3DS MES solution (DELMIA
Operations Velocity) for execution. Shop floor execution, add-on provides fast, intuitive functionality for
using Velocity, provides manufacturing technicians with manufacturing engineers, including views of:
full 3D product views with annotation, measurement
functionality, buyoff and signoff. Velocity also has complete • Operations Sequence
non-conformance management functionality, rounding out
the 3DS solution with business-matching capability for the
• Standards Links
aerospace enterprise. • Parts and Tools lists
• Text Instructions
•  roduct and Tools, as well as markup
P
visual aids

3DS PLM Solution for Manufacturing PLANNING and EXECUTION

Manufacturing Work Instructions for Aerospace Whitepaper 7 © 2012 Dassault Systèmes

Below is a view of WKC used by manufacturing engineers • Orders
for 3D instruction authoring. • Operations Sequence
• Standards Links
Velocity, the DELMIA Operations Manufacturing Execution
Solution, delivers world-class capability to shop-floor • Parts and Tools lists
assembly and quality personnel. It gives them interactive • Text Instructions
use of: • 3D Product and Tools, as well as markup visual aids
• Non-conformance item management

Here is a view of DELMIA Operations used by manufacturing and quality technicians.

Manufacturing Work Instructions for Aerospace Whitepaper 8 © 2012 Dassault Systèmes

Delivering Best-in-Class Products

Virtual Product Design Information Intelligence

3D for Professionals Dashboard Intelligence

Realistic Simulation Social Innovation

Virtual Production Online 3D Lifelike Experiences

Global Collaborative Lifecycle Management

About Dassault Systèmes

Dassault Systèmes, the 3DEXPERIENCE Company, provides business and people with virtual
universes to imagine sustainable innovations. Its world-leading solutions transform the way
products are designed, produced, and supported. Dassault Systèmes’ collaborative solutions
foster social innovation, expanding possibilities for the virtual world to improve the real world.
The group brings value to over 150,000 customers of all sizes, in all industries, in more than
80 countries. For more information, visit www.3ds.com.

The 3DS logo, CATIA, SOLIDWORKS, SIMULIA, DELMIA, ENOVIA, GEOVIA, EXALEAD,
NETVIBES, 3DSWYM and 3DVIA are either trademarks or registered trademarks of
Dassault Systèmes or its subsidiaries in the US and/or other countries.

Europe/Middle East/Africa Asia-Pacific Americas

Dassault Systèmes Dassault Systèmes Dassault Systèmes
10, rue Marcel Dassault Pier City Shibaura Bldg 10F 175 Wyman Street
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France Japan USA

Visit us at
3DS.COM/DELMIA

Item: 3DS.WP.TRI.2012x.0417
 T2003
Work Instruction Version: H
Template Effective Date:
Independent May 8, 2014
Verification &
Validation Program

DOWNLOADED AND/OR HARD COPY UNCONTROLLED

Verify that this is the correct version before use.

AUTHORITY DATE
Jeffrey Northey (original signature on file) IMS Manager 05/08/2014
Richard Grigg (original signature on file) Process Owner 05/08/2014

REFERENCES
Document ID/Link Title
IVV QM NASA IV&V Quality Manual
IVV 05 Document Control

If any process in this document conflicts with any document in the NASA Online Directives
Information System (NODIS), this document shall be superseded by the NODIS document.
Any external reference shall be monitored by the Process Owner for current versioning.

This document is uncontrolled when printed - check the master list at

http://ims.ivv.nasa.gov to verify that this is the correct version before use

1 of 14
 T2003
Work Instruction Version: H
Template Effective Date:
Independent May 8, 2014
Verification &
Validation Program

Purpose of the Work Instruction Template

This template is designed to provide a standard outline and format for work instructions
(WIs). This template is also designed to provide standard sections that are used in all
WIs, and direction to provide tailoring and section-content guidance for those who
generate or update WIs.

Work Instruction Template Conventions

Three different styles of text are used in this template:

1. [Text included in square brackets]

This text represents WI-specific information to be provided. Examples are [WI

name] for the name of the WI, and [purpose] for the purpose of the WI. Where
this text appears, insert the WI-specific information between the brackets, and
then delete the brackets.

2. {Italic text in braces}

This text is guiding or explanatory in nature. It will include tailoring guidance and
descriptions of the kinds of information to be included in each section. Therefore,
this text should be deleted from the WI.

3. Normal text

This is standard text that should be copied verbatim into the WI as necessary. It
represents any text that does not fit into either of the above categories.

Instructions for Using the Work Instruction Template

Copy the following template into a new document, enable the “Track Changes” feature
of Microsoft Word, and follow the conventions above.

After completion, forward or provide a link to a copy of the document to the DCC for
review. The document shall be named “IVV [WI number] – WORKING.”

WI creators or modifiers shall employ the following general guidelines when creating
and/or modifying WIs:

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 T2003
Work Instruction Version: H
Template Effective Date:
Independent May 8, 2014
Verification &
Validation Program

a. The font for all sections of the WI shall be Arial.

b. The body text shall be 12-point font.
c. The font family for the header shall be Arial, case shall be proper, and font weight
shall be bold. Font size shall be 12-point in the right corner, and 14-point in the
center.
d. The footer shall appear exactly as represented in this document; once copied
into the new document, no modifications to the footer are necessary.
e. Drafts should be watermarked “DRAFT” on the first page of the WI.
f. With the exception of section headers, all text shall be full-justified.
g. WI headings and subheadings shall use the point numbering system. All
headings and subheadings shall be bold.
i. First-level headings (e.g., Section 1.0 and Section 2.0) shall be left-
justified in 12-point font and specified in proper case.
ii. Subheadings shall be formatted in 12-point font, specified in proper case,
and indented as appropriate in half-inch increments from the last superior
section.
h. Ensure that all references to the NASA IV&V Program read “NASA IV&V
Program.”
i. Verify that all hyperlinks and file paths in the WI are valid.
j. Verify that all references to sections within the WI are qualified with italicized
titles set off by commas.
 Example: “Refer to Section 3.0, Definitions and Acronyms, for additional
information.”
k. Verify that all references to other documents are qualified with italicized titles set
off by commas.
 Example: “Refer to IVV 09-4, Project Management, for additional
information.”
l. Verify that all documents and websites specifically mentioned in the text of the
WI are listed in the “References” table. Also verify that the “References” table
contains any parent/child documents associated with the WI.
m. Ensure that the document precedence statement is included below the
“References” table. The precedence statement shall state the following: “If any
process in this document conflicts with any document in the NASA Online
Directives Information System (NODIS), this document shall be superseded by
the NODIS document. Any external reference shall be monitored by the Process
Owner for current versioning.”
n. Ensure that Section 3.0, Definitions and Acronyms, contains the proper reference
to the Quality Manual.

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 T2003
Work Instruction Version: H
Template Effective Date:
Independent May 8, 2014
Verification &
Validation Program

o. Verify that all records contained in the table in Section 6.0, Records, are
complete and accurate, and that all fields in the table (e.g., Record Name,
Original, Responsible Person, Location, etc.) are complete and accurate for each
record. (For a new record, verify that the Record Name and Responsible Person
fields are complete and accurate; the Records Team and/or DCC will complete
the remaining fields for new records.)

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 T2003
Work Instruction Version: H
Template Effective Date:
Independent May 8, 2014
Verification &
Validation Program

VERSION HISTORY
Effective
Version Description of Change Rationale for Change Author
Date
Basic Initial Release – conversion of Paige 04/13/2007
IVV 05-3 to T2003 Eckard
A Updated process flow diagrams to Stephanie 02/04/2008
align with Facility Management Ferguson
paradigm
B Updated Shared Network Drive links Stephanie 06/13/2008
Ferguson
C Changed “IV&V Facility” to “IV&V Stephanie 12/11/2008
Program”; updated Shared Drive path Ferguson
D Updated verbiage in Section 6.0, Sara Cain 01/27/2010
Records
E Added precedence statement to be Sara Cain 07/01/2010
included in all WIs
F Synchronize who will complete new Richard 12/03/2010
record fields on pages 4 and 11 Grigg

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 T2003
Work Instruction Version: H
Template Effective Date:
Independent May 8, 2014
Verification &
Validation Program

Version Description of Change
G Add Rationale to Version History table
and move table towards the end of the
document in landscape.
Add Process Owner to renamed
Authority table; replace Revision with
Version; point QM link to SLPs;
enhance footer.
H Update precedence statement;
expand NODIS acronym.
Add NODIS to acronym list.
Rename References table; add Link.
VERSION HISTORY
Effective
Rationale for Change Author
Date
Rationale for changes is frequently lost or Richard 01/31/2013
documented in email or other hard to Grigg
retrieve documents. PO info is helpful to
any users who have questions about the
WI. The direct link to the QM changes
with each update. Version and footer now
follow agency convention.
Some users, especially newer employees Richard 05/08/2014
or outside customers, may not be aware Grigg
of or familiar with the NODIS acronym.
Websites and web pages are an ever
larger portion of referenced information.

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 T2003
Work Instruction Version: H
Template Effective Date:
Independent May 8, 2014
Verification &
Validation Program

{Page intentionally left blank.

Template begins on the following page.}

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 [IVV ##-#-#]
Version: [Basic-ZZ]
[WI name] Effective Date:
Independent [Month DD, YYYY]
Verification &
Validation Program

DOWNLOADED AND/OR HARD COPY UNCONTROLLED

Verify that this is the correct version before use.

{The Authority table contains the name of the Approving Official, role of the Approving
Official within the IMS, and date the Approving Official signed the DCR to approve the
addition or modification of the document. Second row contains the name of the Process
Owner (PO), role, and date the PO signed the DCR.}
AUTHORITY DATE
[Approving Official] (original signature on file) [Approving Official’s [mm/dd/yyyy]
IMS Role]
[Process Owner] (original signature on file) Process Owner [mm/dd/yyyy]

{The References table contains any documents and/or websites that are referenced in
the text of the WI, as well as any parent/child documents associated with the WI. The
entries in the table below are standard for all WIs that produce records.

The document must contain the disclaimer located below the References table to
ensure proper precedence and versioning practices.}
REFERENCES
Document ID/Link Title
IVV QM NASA IV&V Quality Manual
IVV 16 Control of Records
NPR 1441.1 NASA Records Retention Schedules

If any process in this document conflicts with any document in the NASA Online Directives
Information System (NODIS), this document shall be superseded by the NODIS document.
Any external reference shall be monitored by the Process Owner for current versioning.

This document is uncontrolled when printed - check the master list at

http://ims.ivv.nasa.gov to verify that this is the correct version before use

8 of 14
 [IVV ##-#-#]
Version: [Basic-ZZ]
[WI name] Effective Date:
Independent [Month DD, YYYY]
Verification &
Validation Program

1.0 Purpose

{This section provides a clear statement of why this WI exists.}

The purpose of this work instruction (WI) is to establish a consistent method for
[purpose].

2.0 Scope

{This section states the applicability and limits to which the WI shall be used. For
example, "This WI applies to what, where, when, whom, how…” This section
outlines the area, function, group, or personnel to which the WI applies.}

This WI applies to [scope].

If any process described in this document conflicts with any part of [regulation,
directive, or requirement name], this document shall be superseded by
[regulation, directive, or requirement name].}

3.0 Definitions and Acronyms

{This section defines those words, phrases, terms, acronyms, and abbreviations
that apply specifically to the WI. Roles and terms listed in this section shall be
alphabetized, with the exception that the “Acronym” subsection appears last in
this section.

Defined roles and terms shall appear in proper case, bold, Arial, 12-point font.
Roles and terms that produce acronyms shall appear with those acronyms in
section and subsection titles, and the acronym shall then appear throughout the
definition.

For example:

3.x Procurement Request (PR)

A PR is the document initiating the procurement of…

Roles and terms that are common across NASA IV&V processes and procedures
are defined in the Quality Manual. Therefore, these common roles and terms

This document is uncontrolled when printed - check the master list at

http://ims.ivv.nasa.gov to verify that this is the correct version before use

9 of 14
 [IVV ##-#-#]
Version: [Basic-ZZ]
[WI name] Effective Date:
Independent [Month DD, YYYY]
Verification &
Validation Program

need not be defined in each WI. A disclaimer will be added to direct WI users to
the Quality Manual for common term and role definitions.}

Official NASA IV&V roles and terms are defined in the Quality Manual.
Specialized definitions identified in this WI are defined below.

3.1 [role or term]

[definition]

3.2 Acronyms

{This is a list of acronyms used within the WI. The “Acronyms” subsection
should be the last item in the “Definitions and Acronyms” section. All
acronyms shall be defined, excluding “IV&V” and “NASA,” and shall be
alphabetized.}

[acronym] [definition of acronym]

IMS NASA IV&V Management System
NODIS NASA Online Directives Information System
NPR NASA Procedural Requirements
QM Quality Manual
WI Work Instruction

4.0 Process Flow Diagram

{A process flow diagram is a high-level depiction of the processes described in

this WI. The process flow diagram is to be constructed in the “swim lane” format,
and is to graphically represent the responsibilities and actions that shall be
performed by process participants. The WI and process flow diagram are to be
written such that the main objectives of the process are captured and the “how-
to” details are minimized. Please consult the DCC if questions arise concerning
the level of detail that should be used in the WI or process flow diagram.

All WIs shall contain the following text in this section:}

The following diagram depicts processes described in this document, and the
responsibilities and actions that shall be performed by process participants. Any
information supplemental to the depicted process will appear after the diagram.

This document is uncontrolled when printed - check the master list at

http://ims.ivv.nasa.gov to verify that this is the correct version before use

10 of 14
 [IVV ##-#-#]
Version: [Basic-ZZ]
[WI name] Effective Date:
Independent [Month DD, YYYY]
Verification &
Validation Program

{If the WI does not contain a process that can be diagrammed in the “swim lane”
format, please consult the DCC for further instructions.}

{This section can also provide important information supplemental to the process
flow diagram that is critical to the execution of the processes described in the WI.
This supplemental information should be presented in paragraph format. Consult
the DCC if questions arise concerning the amount or relevance of details
proposed for inclusion in the WI. Additional documents, including supporting
documents, may be created to capture additional details not described in the
higher-level WI.}

5.0 Metrics

{This section lists all relevant metrics resulting from the processes described in
the WI. Unless otherwise required, a general statement regarding metrics may
be used. The following general statement shall be used in this section:}

Any metrics associated with this WI are established and tracked within the NASA
IV&V Metrics Program.

6.0 Records

{This section features a table that identifies the products of the WI, their retention
location and requirements, and the parties responsible for retaining and
maintaining them. The table contains the outputs generated by the processes in
the WI, and indicates how records will be distributed, controlled, and retained.

If records are associated with the WI, the following text shall be inserted into this
section:

The following records will be generated or updated and filed in accordance with
this WI and IVV 16, Control of Records, and in reference to NPR 1441.1, NASA
Records Retention Schedules.}

{If there are no records associated with the WI, the following text should be
inserted into this section:

There are no records associated with this WI.}

This document is uncontrolled when printed - check the master list at

http://ims.ivv.nasa.gov to verify that this is the correct version before use

11 of 14
 [IVV ##-#-#]
Version: [Basic-ZZ]
[WI name] Effective Date:
Independent [Month DD, YYYY]
Verification &
Validation Program

{If records are associated with the WI, the following table shall be inserted after
the abovementioned text:}

Responsible Retention
Record Name Original Vital Location
Person Requirement

{The table contains six fields that must be completed. For an existing record, as
many fields as possible should be completed by the author. For a new record,
the Record Name and Responsible Person fields must be completed by the
author. The Records Team and/or DCC will complete the remaining fields for
new records.

a. Record Name – contains the official name of the record and any
associated form number.
b. Original – indicates whether the original record has been created and will
be maintained at the NASA IV&V Program. Acceptable values are “Y” or
“N.” A “Y” signifies that the record is an original copy. An “N” value
signifies that the record is a reference copy or “non-record.”
c. Vital – indicates whether the record is required to resume normal
operating conditions in the event of an emergency. Acceptable values are
“Y” or “N.” Program Management determines the vitality of a record.
d. Responsible Person – name or title of the person responsible for creating
and maintaining the record.
e. Retention Requirement – indicates the record’s retention duration
according to NASA Procedural Requirements (NPR) 1441.1, NASA
Records Retention Schedules. Records that meet their retention
requirements will be dispositioned according to NPR 1441.1, which may
include: deletion, destruction, or retirement to a Federal Records Center
(FRC) or approved facility.
1. Original – If the record is an original, this column will contain NPR
1441.1 chapter and item numbers relating to the record’s retention
requirement. The Records Team shall determine and assign the
record’s NPR 1441.1 chapter and item numbers of the retention
requirement.
2. Non-record – If the record is a non-record, the NPR 1441.1 chapter
and item number may not be included in this column. The Records
Team shall establish retention requirements for non-records in

This document is uncontrolled when printed - check the master list at

http://ims.ivv.nasa.gov to verify that this is the correct version before use

12 of 14
 [IVV ##-#-#]
Version: [Basic-ZZ]
[WI name] Effective Date:
Independent [Month DD, YYYY]
Verification &
Validation Program

accordance with NPR 1441.1. If applicable, the DCC shall

determine and assign the record’s NPR 1441.1 chapter and
subsection of the retention requirement.
f. Location – indicates the physical location of the record.}

This document is uncontrolled when printed - check the master list at

http://ims.ivv.nasa.gov to verify that this is the correct version before use

13 of 14
 [IVV ##-#-#]
Version: [Basic-ZZ]
[WI name] Effective Date:
Independent [Month DD, YYYY]
Verification &
Validation Program

{The Version History table contains the version (represented by letters of the alphabet after the initial release, which is
represented as the “Basic” release), a description of the document change, the rationale why the change was made, the
Author who implemented the change, and the effective date of the document.}
VERSION HISTORY
Version Description of Change Rationale for Change Author Effective Date
Basic Initial Release [Author name] [mm/dd/yyyy]

This document is uncontrolled when printed - check the master list at

http://ims.ivv.nasa.gov to verify that this is the correct version before use

14 of 14
 Number 899201
Issue Date 4/12/2016
WORK
Revision & Date 00, 4/12/2016
INSTRUCTION
Page 1 of 3
Issuing Department Quality

PPAP Requirements for Supplied Product

Purpose: The purpose of this document is to define the requirements for first article PPAP submittals of
supplied product.

Definitions:
FAI – First Article Inspection SSPC 4000 – Waiver Deviation Form
PPAP – Production Part Approval Process SSPC 9720 – Process Control Plan (PCP)
SSPC 9719 – Part Submission Warrant (PSW)
SSPC 9721 – Process Flow Diagram (PFD)
SSPC 9718 – Supplier Dimensional Data Sheet

Scope: Products that are manufactured to Super Steel or its customers’ drawings. These are engineered
products and include:
 Laser blanks
 Cut and formed product
 Laser and saw cut tubes, angle or I-beam
 Castings and extrusions
 Machined products (Super Steel supplied weldment or purchased complete)
 Cable Forms
 Tube and pipe assemblies

Procedure:
1. The following PPAP documentation shall be submitted to Super Steel prior to the initial shipment of new or
revised product. A further description of each of these requirements is included in this procedure:
 Part Submission Warrant (PSW)
 First Article Inspection (FAI) Report consisting of 100% dimensional and notes.
 Numbered drawing
 Material certifications (if applicable)
 Process control plan (PCP) or supplier inspection plan
 Process Flow Diagram (PFD)

2. Part Submission Warrant

2.1. The PSW is a summary of the product that is being submitted for PPAP. At a minimum the PSW shall
contain:
2.1.1. Supplier name
2.1.2. Part name, number and revision
2.1.3. List of engineering change documents
2.1.4. Reason for submission
2.1.5. Reference to any deviations from drawings or specifications
2.1.6. Supplier authorized signature

3. First Article Inspection

3.1. The first article inspection is to be a complete inspection which verifies 100% of the physical and
dimensional characteristics of the part, weldment or assembly per the drawing and/or supplied
Engineering or Quality Specifications.
3.2. The required documentation on the dimensional inspection report shall include:
3.2.1. Supplier Name
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 Number 899201
Issue Date 4/12/2016
WORK
Revision & Date 00, 4/12/2016
INSTRUCTION
Page 2 of 3
Issuing Department Quality

PPAP Requirements for Supplied Product

3.2.2. The part number and revision level
3.2.3. The part description
3.2.4. Inspection date
3.2.5. P.O number
3.2.6. Actual dimensions taken and the measured results
3.2.7. Dimension disposition (pass / fail)
3.3. A numbered drawing shall accompany the dimensional inspection report
3.4. Any dimension or characteristic that does not meet the requirements of the drawing or specification will
require formal deviation approval from Super Steel Engineering and Quality Assurance prior to
shipment.

4. Material Certifications
4.1. Material certifications are required for suppliers who provide the following:
4.1.1. Raw material (sheet and plate)
4.1.2. Cut blanks
4.1.3. Cut and formed product
4.1.4. Laser or saw cut tubes, angle or I-beam
4.1.5. Castings or extrusions
4.1.6. As required by Super Steel Quality or Engineering
4.1.7. Machined components and fabrications that are purchased complete by Super Steel
4.2. Additional certifications may be required as requested by Super Steel Engineering or Quality
Assurance.

5. Process Control Plan / Inspection Plan

5.1. The control plan is a summary of process controls and/or inspection points to ensure the
characteristics defined on drawings are being met.
5.2. Any critical characteristic identified on the drawing shall be included in the control plan.
5.3. The control plan shall list the part name, number and revision level.

6. Process Flow Diagram

6.1. The PFD shall be a summary of the manufacturing steps required to process the part to achieve
conformance to the supplied drawings and specifications.
6.2. The PFD shall list the part name, number and revision level.

7. Suppliers’ standard forms may be used if they are compliant to the AIAG format. Forms are available on
the Super Steel website for suppliers use. Visit www.supersteel.com

8. All documentation shall be submitted via email to the following address: PPAP@supersteel.com.
8.1. If product conforms to all drawings and specifications, the supplier is allowed to ship at time of
submittal.
8.2. If there are any items out of tolerance or nonconforming, deviation may be requested. The supplier is
not approved to ship until formal deviation is granted in writing. The supplier may submit formal
deviation request in their own format or form SSPC 4000 is available on the Super Steel website.

9. If a supplier has questions or concerns with any of the documentation requirements they are to contact the
Super Steel Buyer or Quality Manager.

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 Number 899201
Issue Date 4/12/2016
WORK
Revision & Date 00, 4/12/2016
INSTRUCTION
Page 3 of 3
Issuing Department Quality

PPAP Requirements for Supplied Product

Revision & Date Description of Change Requested By Approved By

00, 4/12/2016 Initial Release Rick Stewart Dan Klumpyan

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 Standard Work Instruction

IOC page 1
Instruction Title Climbing Wooden Poles Issue Date 24-Mar-11

Instruction No. 4 CTS SWI 1002 Division CSS-ENG.

This Standard Work Instruction has been developed to Department Power Distribution
Objective achieve safe operations for all personnel, while protecting
property, the environment and producing quality Section/Area Linemen

Table of Contents Total number of Pages 16

Front Control Sheet Page 1

PPE, Permits & Environment Page 2 All printed copies are

Work Element Summary Page 3 uncontrolled unless clearly
Work Balance Sheet Page 4 (a or b)
stamped
Tools and Materials List Page 5
CONTROLLED COPY
Work Element Sheet's Page 6 +

Sign-off and Document Control (master copy requires original signatures)

Effective Team Leader / Senior TL Superintendent Sign off Audit
Functional Approvals
Revision Reason for Change (Name &
Date (Name & Signature) Approvals Frequency
Signature)
0 24-Mar-11 Original Version 1/year

1 30-Jan-12 Added Isolation and Testing 1/year

 Standard Work Instruction

Work Element Summary Page 3

Layout
Instruction No. 4 CTS SWI 1002
Cycle Time
(HH:MM)
Safety Harness Choker Belt
# Work Element Description OPT VA NVA Auto Walk Total

1 Ensure No Power on Overhead Lines

2 Perform Thorough Take 5

3 Inspect PPE

4 Wooden Pole Inspection Before Ascending the Pole

5 Appropriate Safety PPE

6 Test Voltage on Overhead Line

7 Ascending the Wooden Pole

8 Obstacle while Ascending the Wooden Pole

9 Descending the Wooden Pole

10 Obstacle while Descending the Wooden Pole

11

12
Back Biter Lanyard Climbing Belt Gaffs
19

20

21

22

23

24

25

Total
 Standard Work Instruction

Work Element Sheet

Instruction Title Climbing Wooden Poles Issue Date 24-Mar-11 Page 6

Element Name Ensure No Power on Overhead Lines Element # 1 Element Time

Symbols Step# WORK STEP Symbol KEY POINT / SAFETY HIGHLIGHT REASON WHY
Team leader and crew meet to discuss and develop Isolation
Quality Q 1.1 Switching Order (when working on or near possibly energized
lines).
Refer to Single Point Lesson for Developing Isolation Switching Order.

Crew executes Isolation Switching Order: locks potential

Sources are locked, lines tested and grounded, personal locks
HSE 1.2 sources of energization, tests for absence of voltage, applys
applied. Refer to High Voltage Line Testing SWP.
grounds and utilizes personal Isolation Locks.

Knack

Safety Equipment by
Exception

Visuals
 Standard Work Instruction

Work Element Sheet

Instruction Title Climbing Wooden Poles Issue Date 24-Mar-11 Page 7

Element Name Perform Thorough Take 5 Element # 2 Element Time

Symbols Step# WORK STEP Symbol KEY POINT / SAFETY HIGHLIGHT REASON WHY

Quality Q 2.1 Perform thorough Take 5.

Minimum requirement under company policy
prior to commencing any task.
HSE Your personal risk assessment to identify &
implement controls to assist in reducing risks
Knack Ensure Take 5 book available, do not commence as is reasonably possible.
with task until Take 5 completed & any issues
Safety Equipment by
addressed.
Exception
To be able to visually see hazards and
Ensure Take 5 is completed on job site.
inspect area.

Visuals

1.1 1.1 1.1

 Standard Work Instruction

Work Element Sheet

Instruction Title Climbing Wooden Poles Issue Date 24-Mar-11 Page 8

Element Name Inspect PPE Element # 3 Element Time

Symbols Step# WORK STEP Symbol KEY POINT / SAFETY HIGHLIGHT REASON WHY

Quality Q 3.1
Inspection of climbing equipment prior to use (Safety harness,
Visually inspect the safety harness, lanyard, gaffs, climbing belt and
choker belt for any damage. Minimum requirement under company
Certified personnel required as per IOCC safety standards.
back biter lanyard, choker belt, climbing belt, gaffs). policy prior to commencing any task. Fall arrest and fall protection
HSE certified.

Knack

Safety Equipment by
Exception

Visuals
 Standard Work Instruction

Work Element Sheet

Instruction Title Climbing Wooden Poles Issue Date 24-Mar-11 Page 9

Element Name Wooden Pole Inspection Before Ascending the Pole Element # 4 Element Time

Symbols Step# WORK STEP Symbol KEY POINT / SAFETY HIGHLIGHT REASON WHY

Quality Q 4.1 Inspect the wooden pole prior to ascending.

Inspect the wooden pole before climbing . Refer to SPL Wooden Pole
Inspection.
To ensure pole is safe to climb.

Never climb a damaged wooden pole because it may cause injury or

HSE fatality to the climber.
Personal injury may occur.

Knack

Safety Equipment by
Exception

Visuals
 Standard Work Instruction

Work Element Sheet

Instruction Title Climbing Wooden Poles Issue Date 24-Mar-11 Page 10

Element Name Appropriate Safety PPE Element # 5 Element Time

Symbols Step# WORK STEP Symbol KEY POINT / SAFETY HIGHLIGHT REASON WHY
All workers involved in the climb must have fall arrest training.
Quality Q 5.1 Put on required safety PPE. Minimum requirement under company policy prior to commencing any Proper training required to reduce the risk of a fall hazard.
task. Fall arrest and fall protection certified.

HSE Put on gaffs around each safety boot (refer to Picture 5.1a).

Knack Put on safety harness (refer to Picture 5.1b).

Fall arrest equipment to be worn at all times during the climb.
Safety Equipment by Put on climbing belt and connect to safety harness (refer to Picture
Exception 5.1c).

Put on the back biter lanyard (refer to Picture 5.1d).

Visuals
5.1a 5.1b Safety Harness

Gaff Belt

Gaff

5.1c 5.1d
Back Biter Lanyard
Climbing Belt
 Standard Work Instruction

Work Element Sheet

Instruction Title Climbing Wooden Poles Issue Date 24-Mar-11 Page 11

Element Name Test Voltage on Overhead Line Element # 6 Element Time

Symbols Step# WORK STEP Symbol KEY POINT / SAFETY HIGHLIGHT REASON WHY

Quality Q 6.1 Ascending the wooden pole. Each climb requires a grounds person. Use of verbal communication. Grounds person is a necessity to ensure safe work procedures.

Loop one end of the choker belt around the base of the wooden pole
HSE while the other end is attached to the D-ring on the climbing belt (refer
to Picture 6.1a). Proper use of fall arrest equipment required to prevent the risk
Connect the free end of the choker belt to the other D-ring on the of falling.
Knack climbing belt (opposite to the one used in previous step). Secure the
choker belt around the pole and tighten (refer to Picture 6.1b).
Safety Equipment by Begin to climb by placing your hand on the pole at the same height as
Exception your forehead. Step up on the pole using the foot on the same side as
the hand already on the pole. Force the gaff hook on that foot into the
pole (refer to Picture 6.1c). Repeat these motions with the opposite
Proper body motion required to prevent the risk of falling.
side of the body to lift yourself up the pole. With each movement, you
need to keep your choker belt with you and therefore must shift the
belt upward (above waist level). Make sure you are secure before
moving the choker belt (refer to Pictures 6.1d,e&f).

While climbing, you need to keep the choker belt engaged at all times.
If you are moving one leg, you need to keep the other leg embedded
Prevent the risk of falling.
into the pole and both arms holding the choker belt. Your knees
should remain locked throughout the climb.

Visuals 6.1a
6.1b

Choker Belt Pole

Connection
Climbing Belt
Connection (one side)

Safety Belt D-Ring

6.1c 6.1d 6.1e 6.1f

 Standard Work Instruction

Work Element Sheet

Instruction Title Climbing Wooden Poles Issue Date 24-Mar-11 Page 12

Element Name Ascending the Wooden Pole Element # 7 Element Time

Symbols Step# WORK STEP Symbol KEY POINT / SAFETY HIGHLIGHT REASON WHY

Quality Q 7.1 Obstacle while ascending the Wooden Pole

If an obstacle is encountered (Refer to Pic 7.1a) during a upward climb, a
back biter lanyard must be used to assist in climbing past the obstacle.
Must remain tied off at all times. In order to move past obstacle need to
remove choker belt.

Ensure gaff hooks are securely embedded in the pole with knees locked.
HSE Disconnect the back biter clamp from the D-ring on the climbing belt and loop Back biter lanyard is designed to bite back on itself. Regular standard
the back biter lanyard around the wooden pole, above the obstacle, (refer to lanyards are not. It's used to create a tie off above the obstacle
Picture 7.1b) then clamp onto the lanyard in front of the pole (refer to Picture allowing the choker belt to be removed.
Knack 7.1c). Ensure back biter is secure.

Safety Equipment by Remove the choker belt from one D-ring on the belt around the climbers waist
Preparing to put the climbing belt above the obstacle.
Exception and remove the belt from the pole (refer to Picture 7.1d).

Loop the free end of the choker belt around the wooden pole above the
obstacle (refer to Picture 7.1e). Connect to the D-ring on the belt around the
climbers waist and connect the belt around the pole (refer to Picture 7.1f). Creates a tie off point above the obstacle using the choker belt.
Adjust the belt around the pole (refer to Picture 7.1g). Ensure choker belt is
secure.

Remove back biter from around the pole by disconnecting at the connection
Choker belt is positioned above the obstacle. Attach the back biter
point in front of pole (refer to Picture 7.1h) and connect to the D-ring on
lanyard to the D-ring so it's not dangling.
climbing belt.

Visuals Obstacle example Back Biter Lanyard Clamp on the front Connection around pole

7.1a 7.1b 7.1c 7.1d

Disconnect Back Biter Lanyard

Re-Position Choker Belt
7.1e 7.1f 7.1g 7.1h
 Standard Work Instruction

Work Element Sheet

Instruction Title Climbing Wooden Poles Issue Date 24-Mar-11 Page 13

Element Name Obstacle while Ascending the Wooden Pole Element # 8 Element Time

Symbols Step# WORK STEP Symbol KEY POINT / SAFETY HIGHLIGHT REASON WHY

Quality Q 8.1 Stabilize Position at Working Height

Both gaffs are securely embedded into the pole (refer to Picture 8.1)
to ensure stable footing.
Prevent risk of fall.

The choker belt is tightened and secured around the wooden pole If a fall were to occur the choker belt would "choke" around the
HSE (refer to Picture 8.1). wooden pole to prevent a fall.

Knack

Safety Equipment by
Exception

Visuals

8.1

Choker Belt
Choker Belt Connection

Back Biter Lanyard

Gaffs
 Standard Work Instruction

Work Element Sheet

Instruction Title Climbing Wooden Poles Issue Date 24-Mar-11 Page 14

Element Name Descending the Wooden Pole Element # 9 Element Time

Symbols Step# WORK STEP Symbol KEY POINT / SAFETY HIGHLIGHT REASON WHY
Begin to climb down the pole by placing your hand on the pole at the
Quality Q 9.1 Descending the Wooden Pole. same height as your forehead. Step down the pole using the foot on
the same side as the hand already on the pole. Force the gaff hook on
that foot into the pole (refer to Picture 9.1a). Repeat these motions
HSE with the opposite side of the body to lower yourself down the pole. Proper body motion required to prevent the risk of falling.
With each movement, you need to keep your choker belt with you and
therefore must shift the belt downward (to waist level). Make sure you
Knack are secure before moving the Choker Belt (refer to Pictures 9.1b,c&d).

Safety Equipment by While climbing, you need to keep at least three points touching the
Exception pole at any time. If you are moving one leg, you need to keep the Three point contact provides stable contact when climbing the
other leg and both arms holding the pole. Your knees should remain wooden pole.
locked throughout the climb.

Q Hands on choker belt allows stability while ascending or descending

Visuals

9.1a 9.1b 9.1c 9.1d

 Standard Work Instruction

Work Element Sheet

Instruction Title Climbing Wooden Poles Issue Date 24-Mar-11 Page 15

Element Name Obstacle while Descending the Wooden Pole Element # 10 Element Time

Symbols Step# WORK STEP Symbol KEY POINT / SAFETY HIGHLIGHT REASON WHY

Quality Q 10.1 Obstacle while descending the wooden pole.

If an obstacle is encountered (Refer to Pic 10.1a) during a downward climb a
back biter lanyard must be used to assist in climbing past the obstacle.
Must remain tied off at all times. In order to move past obstacle need to
remove choker belt.

Ensure gaff hooks are securely embedded in the pole with knees locked.
HSE Disconnect the back biter clamp from the D-ring on the climbing belt and loop Back biter lanyard is designed to bite back on itself. Regular standard
the back biter lanyard around the wooden pole, above the obstacle, (refer to lanyards are not. It's used to create a tie off above the obstacle
Picture 10.1b) then clamp onto the lanyard in front of the pole (refer to Picture allowing the choker belt to be removed.
Knack 10.1c). Ensure back biter is secure.

Safety Equipment by Remove the choker belt from one D-ring on the belt around the climbers waist
Preparing to put the climbing belt above the obstacle.
Exception and remove the belt from the pole (refer to Picture 10.1d).

Loop the free end of the choker belt around the wooden pole below the
obstacle. Connect to the belt D-ring around the climbers waist and connect
Creates a tie off point above the obstacle using the choker belt.
the belt around the pole. Adjust the belt around the pole (refer to Picture
10.1e). Ensure choker belt is secure.

Remove back biter from around the pole by disconnecting at the connection
Climbing belt is positioned above the obstacle. Attach the back biter
point in front of the pole (refer to Picture 10.1f) and connect to D-ring on the
lanyard to the D-ring so it's not dangling.
climbing belt (refer to Picture 10.1g).

Visuals 10.1 10.1b 10.1c

Obstacle Back Biter

Example Connection
around Pole

Remove Choker Belt Re-Position Choker Belt Disconnect Back Biter Back Biter attached to Climbing Belt

10.1d 10.1e 10.1f 10.1g

 ISO 9001-2008 PROCESS OWNER
PROCEDURE Information Technology Management

PROCEDURE TITLE: DOCUMENT REVISION REVISION Approval:

NUMBER: LEVEL: DATE:
ISO_4-23 Final Draft 01/23/09 Managing Director
Control of Documents

Purpose / Scope:
Purpose: The purpose of this procedure is to define the requirements for document
control to assure that quality-related documents affecting work activities show evidence
of review and approval by authorized personnel prior to issuing new or revised
documentation.

Scope: The quality requirements in this section apply to the control of distribution,
copies, and locations of documents and forms managed by WCRC.

Documents - Refers to policies, procedures, standards and regulations, or work

instructions identified to meet ISO compliance related to our business system.
Documents may be in paper or electronic form.

Forms (Records) – Refers to pre-defined documents used for recording

information or data from production and other transactions related to the support
of our business system. Completed forms may become records.

This procedure does not apply to Federal or State statues, administrative rules or work
instructions and departmental directives which define specific departmental tasks.

Responsibility:
The Information Technology managing staff is responsible for assuring the control of our
business system documentation including establishing document controls for specific
projects when applicable.

All personnel are responsible for adhering to this procedure to assure that controlled
documents are appropriately used, updated, and distributed in accordance to this
procedure.

ISO 9001:2008 Reference: 4.2.3 - Control of Documents

Procedure:

1.0 WCRC employees may initiate requests for a new or revised document.
Requests are forwarded to the Departmental Director.

2.0 To ensure that technical and quality requirements are sufficiently, clearly, and
accurately stated, each request will be reviewed and approved prior to release by
the Departmental Director as appropriate depending upon the content and nature
of the request.

Page 1 of 16
 ISO 9001-2008 PROCESS OWNER
PROCEDURE Information Technology Management

PROCEDURE TITLE: DOCUMENT REVISION REVISION Approval:

NUMBER: LEVEL: DATE:
ISO_4-23 Final Draft 01/23/09 Managing Director
Control of Documents

3.0 A draft document is created for review and approval by the Managing Director,
and/or Departmental Director as appropriate. If this is a revision, a copy is also
given to the originator for review to assure that the content accurately reflects the
intent of the originator’s document.

4.0 If the draft is not approved, the draft is sent back to the requester with an
explanation of the necessary changes to allow approval.

5.0 If the draft is approved as confirmed on the Document Approval Form FM_4-001,
the Information Technology management staff will assign a document control
number (DCN) in accordance with the WCRC Document Numbering system
(Appendix “A”).

6.0 Upon issuance of a document control number, the Information Technology

management staff will add the document into the appropriate WCRC Electronic
Documentation Standards and template format (Appendix “B”). The electronic
document file will be named in accordance with the electronic documentation
standards. Evidence of review and approval is indicated in the APPROVAL field
in the header of the document.

7.0 The Information Technology management staff is responsible for updating the
Master Documents Revision History form FM_4-002 to include new documents
as well as update the revision history. The documents revision history includes
the current document name, number and revision, the number of controlled
copies that exist, and where they are located.

8.0 The Departmental Director will coordinate appropriate security levels required for
network access to the document(s) with Information Technology. The
Information Technology management staff will store the document for electronic
access as necessary including security controls to ensure that only authorized
persons can make changes. All previous versions of the controlled document
(both electronic and hard copy) will be destroyed and replaced by the new
revised master controlled document.

9.0 The Departmental Director will ensure that interested parties are notified of all
approved documents and network location of the master electronic controlled
version. Any required hard copy documents are distributed according to an
established distribution list (see Table 1; Appendix “C”) to ensure availability at
the location where the activity will be performed prior to commencement of work.
The change is communicated by posting a Change Notification form (FM_4-003)
communicating that a change has occurred, the nature of the change, and the
date it is effective.

Page 2 of 16
 ISO 9001-2008 PROCESS OWNER
PROCEDURE Information Technology Management

PROCEDURE TITLE: DOCUMENT REVISION REVISION Approval:

NUMBER: LEVEL: DATE:
ISO_4-23 Final Draft 01/23/09 Managing Director
Control of Documents

10.0 The Information Technology management staff will work with the WCRC Web
Master prior to publication to ensure that the electronic document functions
correctly within the WCRC electronic publication system, including all hyperlinks
to other documents and Web pages. The WCRC Web Master will post any
public interest documentation to the WCRC web site on the specified publication
date upon receipt of the signed Authorization for Publication of Documentation
FM_4-004.

11.0 If archived documents are retained, they should be retained electronically in the
“Archived Document” folder located within WCRC’s \FileStorage and listed on the
Archived Document Form FM_4-005. When paper copies of archived documents
are retained for historic purposes they are stored in the administrative file
cabinets located in Area C-139 or in the administrative vault area.

12.0 Certain documents may be sent to the WCRC from outside sources (e.g.,
townships, subcontractors, etc.). External documents that require control will be
documented on the Master List of External Documentation Form FM_4-006
maintained by the Information Technology management staff.

13.0 The WCRC Information Technology management staff has primary responsibility
for maintaining control of WCRC business system documents in accordance with
this procedure. Table 2 (Appendix “D”) summarizes the responsibilities and
authorities of key participants in this document control procedure. Document
control tracking form FM_4-007 has been provided if desired; however this is not
a procedural requirement.

14.0 References - Listing of documents cited in this procedure

14.0.1 Document Numbering System (Appendix A)
14.0.2 Document Standards (Appendix B)
14.0.3 Table 1 - Hard Copy Distribution List (Appendix C)
14.0.4 Table 2 - Authority of Key Participation (Appendix D)
14.0.5 Procedure Flow Diagram (Appendix E)

15.0 Forms - Listing of forms cited in this procedure

15.0.1 Master Document Revision History Form FM_4-001
15.0.2 Master List of External Documentation Form FM_4-002
15.0.3 Archived Document Form FM_4-003
15.0.4 Document Approval Form FM_4-004
15.0.5 Document Change Notification Form FM_4-005
15.0.6 Authorization for Publication of Documentation FM_4-006
15.0.7 Document Control Tracking Form (not required; for employee’s use
only) FM_4-007

Page 3 of 16
 ISO 9001-2008 PROCESS OWNER
PROCEDURE Information Technology Management

PROCEDURE TITLE: DOCUMENT REVISION REVISION Approval:

NUMBER: LEVEL: DATE:
ISO_4-23 Final Draft 01/23/09 Managing Director
Control of Documents

APPENDIX “A”
Document Numbering System

The WCRC uses the following numbering system to uniquely identify its controlled
documents.

Archived ARC-xxx where xxx is a sequential number starting with 001 for
Archived Board approved policies which have been rescinded or
replaced by another policy other than updates to the original

Benefits BN-xxx where xxx is a sequential number starting with 001 for
employee benefits offered to the organization

Forms/Records FM-XXXxx where XXX is the department abbreviation (see

Table 5 in 4.2.4 Document Control) and xx is a sequential
number starting with 01 for forms relating to each section.

Policies ADM-xxx where xxx is a sequential number starting with 001 for
Administrative Board approved policies

EG-xxx where xxx is a sequential number starting with 001 for

Engineering Board approved policies

FN-xxx where xxx is a sequential number starting with 001 for

Finance Board approved policies

HR-xxx where xxx is a sequential number starting with 001for

Human Resources Board approved policies

OP-xxx where xxx is a sequential number starting with 001 for

Operations Board approved policies

Procedures IO-xxx where xxx is a sequential number starting with 001 for
interoffice procedures

ISO_X-xx where X corresponds to the related ISO 9001:2008

section and xx relates to the sub-section number.

Standards & SR-xxx where xxx is a sequential number starting with 001 for
Regulations state and organizational work mandated procedures

Page 4 of 16
 ISO 9001-2008 PROCESS OWNER
PROCEDURE Information Technology Management

PROCEDURE TITLE: DOCUMENT REVISION REVISION Approval:

NUMBER: LEVEL: DATE:
ISO_4-23 Final Draft 01/23/09 Managing Director
Control of Documents

APPENDIX “B”
WCRC Document Standards

ISO Procedures and Processes, WCRC Policies, Interoffice Procedures, Standards and
Job Descriptions shall include a consistent template (Title Block) as illustrated in the
above page header template and formatted utilizing the header feature, with slight
modification as previously established such as the inclusion of resolution numbers or
WCRC policy numbers. Specific header templates for each of the above are stored
electronically in the File Storage server under the subfolder \POLICY &
PROCEDURES\Policy Template.

Above mentioned procedures, policies, etc will utilize an Arial Font. The Title Block
Application and Title information uses a 10 pt, with resolution, document numbers and
dates at 8 pt. The body of all documents utilizes a block style with a 12 pt font. Policies
and Interoffice Procedures alignment is a full justification, ISO Procedures are left
justified. Top, right, and left margins shall be at 1.0 with bottom margins at 0.75.

All Policies shall begin with “Intent” and may also include additional sections such as
Policy, Acceptable Use, Definitions, and Violations. Interoffice Procedures shall begin
with “Directive” and may also include additional sections such as Information and
Procedures. ISO Procedures shall begin with “Purpose / Scope” and will also include
Responsibility, ISO Reference and Procedure respectably.

Sections names for Policies and Interoffice Procedures should be all capped, bolded
without underline, period or colon. Section names for ISO Procedures are titled, bolded
and utilize a colon. Sections are not “Bulleted”; other items under main sections would
be numbered using a decimal numeric sequence as indicated below:

1.0 <main instruction or procedure steps>

1.1 <sub-steps>
1.2 etc.

Page 5 of 16
 ISO 9001-2008 PROCESS OWNER
PROCEDURE Information Technology Management

PROCEDURE TITLE: DOCUMENT REVISION REVISION Approval:

NUMBER: LEVEL: DATE:
ISO_4-23 Final Draft 01/23/09 Managing Director
Control of Documents

APPENDIX “C”
Hard Copy Distribution List

Information Technology

Permits & Subdivisions

Project Development
Human Resources

Traffic & Safety

Administration

Construction

Engineering

Operations
Finance
Doc
No. Document Name

Table 1 – Hard Copy Distribution List

Page 6 of 16
 ISO 9001-2008 PROCESS OWNER
PROCEDURE Information Technology Management

PROCEDURE TITLE: DOCUMENT REVISION REVISION Approval:

NUMBER: LEVEL: DATE:
ISO_4-23 Final Draft 01/23/09 Managing Director
Control of Documents

APPENDIX “D”
Authority of Key Participation

I.T. / Document Control

Department Director

Pertinent Personnel
Initiating Personnel

Section Supervisor
Managing Director

Human Resource

Web Master
Personnel
Manager
Step Procedure Step
1.0 Employee initiates request P RI
2.0 Departmental Director review and approval P A
3.0 Draft document (or revision) created for review and N RA RI P
approval by Departmental and/or Managing Director
4.0 Not Approved: returned to requester with explanation S N
5.0 Approved: Document Control number (DCN) P
assigned by Information Technology
6.0 Document formatted and named according to A RA S P
approved standards by Information Technology.
7.0 Master Document Revision History updated by P N
Information Technology
8.0 Required security levels coordinated through
Departmental Director and Information Technology. P A N N
Previous version of controlled documents destroyed
and replaced by new
9.0 Change is communicated through Change
Notification form (FM_4-003). Appropriate personnel P N A N
notified of availability
10.0 WCRC Webmaster post public interest documents to P S
website
11.0 Obsolete Documents requiring retention stored
electronically in Networks “File Storage” archive P A
folder
12.0 External Documents: Recorded in Master List of P A
External Documents when control is required
Table 2 – Authority of Key Participants

Legend:
P = Primary responsibility RA = Review and Approve
A = Assist N = Notify
RI = Review to provide Input S = Submit final output to this person

Page 7 of 16
 ISO 9001-2008 PROCESS OWNER
PROCEDURE Information Technology Management

PROCEDURE TITLE: DOCUMENT REVISION REVISION Approval:

NUMBER: LEVEL: DATE:
ISO_4-23 Final Draft 01/23/09 Managing Director
Control of Documents

APPENDIX “E”

Procedure Flow Diagram

 ISO 9001-2008 PROCESS OWNER
PROCEDURE Information Technology Management

PROCEDURE TITLE: DOCUMENT REVISION REVISION Approval:

NUMBER: LEVEL: DATE:
ISO_4-23 Final Draft 01/23/09 Managing Director
Control of Documents

MASTER DOCUMENT REVISION HISTORY

No. of Location
DCN Rvsn
Document Name Cntrld of Master Document
No. Date
Copies
Board Act ion Administration
Board Consent Administration
Correct ive Act ion Report s Administration
Manager’s Board Report Administration
Daily t ime sheet s Engineering Project Files
Daily work sheet s Engineering Project Files
Device Calibrat ion record Engineering
Device maint enance and repair record Engineering
Field Manager Files Engineering
Final Plans Engineering
Inspect ion and t est records Engineering Project Files
Permit -t o-Place records Engineering Project Files
Proj ect Dat a Worksheet Engineering
Proj ect Files (paper copy) Engineering
Proj ect Plans Engineering
Proj ect Punch List s Engineering
Employee perf ormance f iles H. R.
Regulat ory Audit Report s H.R.
MDOT, MIOSHA, EPA, MDEQ
Saf et y Training Records H.R.
Training Records H. R.
Inf ormat ion Technology Syst em I.T. Server Room
Maint enance Records
Int ernal Audit Plans Internal Audit File – ISO
Management
Int ernal Audit Report s Internal Audit File – ISO
Management
Int ernal Audit Result s dat a base Internal Audit File – ISO
Management
Int ernal Audit Schedule Internal Audit File – ISO
Management

Page 9 of 16
 ISO 9001-2008 PROCESS OWNER
PROCEDURE Information Technology Management

PROCEDURE TITLE: DOCUMENT REVISION REVISION Approval:

NUMBER: LEVEL: DATE:
ISO_4-23 Final Draft 01/23/09 Managing Director
Control of Documents

No. of Location
DCN Rvsn
Document Name Cntrld of Master Document
No. Date
Copies
Building Maint enance and Repair records Operations
Change Order records Operations – Project Files
Daily inspect ion report s Operations – Project Files
Daily t ime sheet s Operations – Project Files
Daily work sheet s Operations – Project Files
Facilit ies Maint enance and Repair records Operations – Room 017
((Basement Vault ); File
Cabinet s Area D-112b
Fleet Maint enance and Repair records Operations – St rkpr Of f ice
Elect ronic: Precision DB
Inspect ion and t est records Operations – Project Files
Permit t o Place records Operations – Project Files
Proj ect plans Operat ions
Proj ect Punch List s Operations
Vehicle Maint enance and Repair records Operations

Page 10 of 16
 ISO 9001-2008 PROCESS OWNER
PROCEDURE Information Technology Management

PROCEDURE TITLE: DOCUMENT REVISION REVISION Approval:

NUMBER: LEVEL: DATE:
ISO_4-23 Final Draft 01/23/09 Managing Director
Control of Documents

MASTER LIST OF EXTERNAL DOCUMENTATION

No. of Location
Rvsn
Document Name Cntrld of Master Document
Date
Copies
MDOT LAP Program Applicat ions Engineering
Change Order records Engineering
Daily inspect ion report s Engineering Project Files
MDOT LAP Planning Guide Engineering
Approved LAP Program Applicat ions Engineering

Page 11 of 16
 ISO 9001-2008 PROCESS OWNER
PROCEDURE Information Technology Management

PROCEDURE TITLE: DOCUMENT REVISION REVISION Approval:

NUMBER: LEVEL: DATE:
ISO_4-23 Final Draft 01/23/09 Managing Director
Control of Documents

ARCHIVED DOCUMENT LISTING

Doc. Archived Document Name Date of Physical / Electronic

No. Archival Archived Location
Board Minutes / Agendas
Permits
Vouchers – FIN
Purchase Orders - FIN

Page 12 of 16
 ISO 9001-2008 PROCESS OWNER
PROCEDURE Information Technology Management

PROCEDURE TITLE: DOCUMENT REVISION REVISION Approval:

NUMBER: LEVEL: DATE:
ISO_4-23 Final Draft 01/23/09 Managing Director
Control of Documents

DOCUMENT APPROVAL FORM

DCN: ______________ TITLE: _________________________________

Responsible
Person: <SIGNATURE>
<TYPED NAME, POSITION>

<DATE>

Reviewed By: <SIGNATURE>

<TYPED NAME, POSITION>

<DATE>

APPROVED BY: <SIGNATURE>

<TYPED NAME, POSITION>

<DATE>

EFFECTIVE DATE: <DATE>

Page 13 of 16
 ISO 9001-2008 PROCESS OWNER
PROCEDURE Information Technology Management

PROCEDURE TITLE: DOCUMENT REVISION REVISION Approval:

NUMBER: LEVEL: DATE:
ISO_4-23 Final Draft 01/23/09 Managing Director
Control of Documents

DOCUMENT CHANGE NOTIFICATION FORM

Check one: _______ New Document Title: __________________________

_______ Existing Document Title: _________________________

DCN: _________________________

Responsible Person: ___________________________________________________

Reason for Change:

Responsible Person assigned for this change: ______________________________

Approvals:

_____________________________________ Date: ______________________

<Typed name, position>

_____________________________________ Date: ______________________

<Typed name, position>

Document Control:

DCN assigned/verified (enter number): ___________________

Responsible person notified regarding document control procedure and document

format standards (initials):

_________________ Responsible Person _________________Doc Control Mgr

Page 14 of 16
 ISO 9001-2008 PROCESS OWNER
PROCEDURE Information Technology Management

PROCEDURE TITLE: DOCUMENT REVISION REVISION Approval:

NUMBER: LEVEL: DATE:
ISO_4-23 Final Draft 01/23/09 Managing Director
Control of Documents

DOCUMENT PUBLICATION AUTHORIZATION RECORD

DCN: __________________________

Document Title: _____________________________________________________

Revision Number: ________________

Electronic document file name: _________________________________________

Electronic document file location: ________________________________________

Electronic document file version: ________________________________________

Publication date: __________________

Authorization signature:

Document Control Manager Date

Receipt Acknowledgment:

WCRC Web Master Date

Page 15 of 16
 ISO 9001-2008 PROCESS OWNER
PROCEDURE Information Technology Management

PROCEDURE TITLE: DOCUMENT REVISION REVISION Approval:

NUMBER: LEVEL: DATE:
ISO_4-23 Final Draft 01/23/09 Managing Director
Control of Documents

DOCUMENT CONTROL TRACKING FORM

DCN: ________________ Responsible Person: ____________________________

Document Title: ________________________________________________________

Step Date Initials Description

1.0 _________ _______ _____________________________________________

2.0 _________ _______ _____________________________________________

3.0 _________ _______ _____________________________________________

4.0 _________ _______ _____________________________________________

5.0 _________ _______ _____________________________________________

6.0 _________ _______ _____________________________________________

7.0 _________ _______ _____________________________________________

8.0 _________ _______ _____________________________________________

9.0 _________ _______ _____________________________________________

10.0 _________ _______ _____________________________________________

11.0 _________ _______ _____________________________________________

12.0 _________ _______ _____________________________________________

13.0 _________ _______ _____________________________________________

Page 16 of 16
 An ISO 9001:2000
Certified Company
The Promise of Purity

page 1 of 5

Work Instruction WI01041: Batch Record Instructional

rev 1.1, RD 10/04

Purpose: To provide instruction for Pharmco Products’ procedure for using the new batch
record (form P001, rev. 4.0). An annotated batch record is included with this
work instruction to further describe the information required in its various
sections.

• All manufacturing of final products is completed before the end of the Production
Department shift, not the next day.
• All sign-offs must be with the initials of the person performing the operation or function.
• Sign-offs are to occur in this order: [1] Start of Batch Record, [2] Production operators,
[3] QC, [4] QA.
• All unused spaces must be filled in with “N/A”. Unused sections may be crossed out
with one line and then initialed.

“Start” Section
• The batch record is started by VP-Production, VP-Quality/Sales or other trained personnel
• The start date is the date the document was begun.
• The quantity of chemical to be manufactured is given as: gallons of bulk, cases x bottle size,
drum size, IBC size or any other type of container used.
• The customer’s name and PO number are included if the final product is manufactured
specifically for that customer.

In House Environment
• The production date is the date of manufacture of the final product.

Chemicals
• The names and lot numbers of all chemicals used in the manufacture of the final product are
listed.
• The target net weight is the weight the particular formula calls for. Use form P009 ‘Weight
Variances for Chemicals by Container Type and Volume’ for the appropriate variance when
weighing chemicals. In the case of pure final product, the weight measured is the amount of
gallons per the customer’s PO.
• The container is weighed first, then the scale is tared and the chemical is weighed. Both
weights are written on the batch record.
• The gross weight (container + chemical) is written on the batch record.

Work Instruction WI01041: Batch Record Instructional

 Page 2 of 5

Filling Equipment
• All filling equipment is labeled with ID numbers.
• The ID numbers for filling equipment can also be found on the critical equipment list (form
QA505).
• Some filling stations are not numbered. They are identified by their name on the batch
record.

Batch Mixing
• The method and time mixed (in minutes) are recorded on the batch record.

Containers, Closures, Components

• Use the CCC List (form QA505) for the names of the different bottle types, caps, spouts, etc.
used in packaging final product.
• The control number is written on the cartons or pallets the packaging components are stored
in or on.

QC Sample
• The collection point of the QC sample is written on the batch record, i.e.: batch tank 10,
bottom line of tankwagon, pail, etc.
• Personnel bringing the QC sample to the lab, and receiving the sample for the lab, sign-off on
the batch record.
• QC approval is given and signed-off on the bath record by QC and QA personnel.

Torque Check
• The appropriate torque for the bottle/cap combination being used can be found on the CCC
list (form QA505) and is recorded on the batch record as ‘required torque’.
• The actual torque is recorded on the batch record.

Labels
• See the Label Types list (form QA107) for label type IDs.
• The “No. Issued” is the actual amount of labels printed by the Document Control
Department.
• The actual date the labels were released to production personnel is recorded on the batch
record.
• The amount used and remainder destroyed, as well as the date of use by the Production
Department, is recorded on the batch record.

Material Verification
• The names and lot numbers of the previous and current chemicals used in the line system
(plumbing and/or hoses) are recorded on the batch record.
• If the chemicals are different, QC approval of the ‘line change’ is required.

Work Instruction WI01041: Batch Record Instructional

 Page 3 of 5

Miscellaneous
• This section is used only if necessary.
• The appropriate purpose is checked, completed and signed-off by Production and QA
personnel.

Final Inspection
• The packaged final product is inspected prior to placement in the post-pack area.

Approval of Final Product Prior to Release

• The Production Supervisor, QC and QA personnel approve final product for release to
customer via signature.

Equipment and/or Process Change

• This section is only used when new equipment is used for the first time or if unique
equipment is used specifically for one time.
• This section is also used if a new manufacturing and/or packaging process is used for the first
time, or if unique processes and /or packaging are used once.
 An ISO 9001:2000
Certified Company
The Promise of Purity

Batch Record Work Instruction WI01041, page 4 of 5

Form P001, Rev. 4.0, RD 11/03

*Notes: All production must be completed by end of shift. Cross out & initial; or, write N/A in all unused spaces.

Case Labels Only ____ Private Label ____ Special Label ____ Export ____
Start actual date Started
Customer PO # Quantity
Date: document started By: Initials
Chemical name of Grade: amount of
Name: Final Product USP, HPLC, etc. packaging
Batch No.: assigned by VP-Prod. units or bulk
gallons
Lot No.: assigned by VP-Prod.

Catalog No.: catalog number of Final Product

In House Environment
-PrePack, Manufacturing and Postpack areas are clear and clean Operator: Initials QA Appv: Initials Production actual date
-Temp and Humidity are suitable for manufacturing this chemical
Date: mfg is begun
Chemicals
Raw Material Lot No. Target Net Wt. w/ Contr. Wt. Mat. Wt. Gross Wt. Operator
Variance
name of chemicals lot # of chemicals weight of chemicals weight of actual actual Initials
used in Final Product used in Final Product per formula bottle, weight weight of
(see form P009) drum, etc. of container
and
chemical chemicals
s used in
used in Final
Product
Final
Product

Filling Equipment (enter name and/or ID numbers)

Filling Station: use ID# on Tank(s): use ID# on equipment(see Pump(s): P2, P6, etc. Measuring
equipment(see critical critical equipment list) Device:MSG1,
equipment list, too) or full Filter(s): F1, F12, etc. Hose(s): H2, H312, etc. MSG5, etc.
name of filling station
All equipment used was cleaned; or, Operator: QA Approval:
flushed prior to use Initials Initials
Batch Mixing
Method Time Mixed Operator
pumped air, agitation, etc. total time mixed in minutes, Initials
i.e.: 30, 60, 120 min.
Containers, Closures, Components
Type Control No. No. of Units Operator
Name of CCC See CCC list (form QA505) for current No. of pieces Initials
control numbers (Also written on used of each
cartons or pallets) type of CCC
 Work Instruction WI01041, page 5 of 5
QC sample
Sampled identify where sample was Sampled and brought Operator Initials Rec. for QC QC Initials
from: collected from to QC Lab by: Lab by:
Approved by: QC: QA:
QC Initials QA Initials
Torque Check (10% of total units filled)
Type of Closure Required Torque w/ Variance Actual Torque Operator
see CCC list for names per specs for type of cap & actual torque as Initials
of types bottle (see CCC list) measured
Labels
No. Issued: No. Issued: No. Issued: Issued By: Label Clerk Initials

Audited By: Initials

Type: see label types list Type: Type:
for IDs (form QA107) Date:
Received By: Initials Date: actual date labels were received by Production

No. Used: No. Used: No. Used: Operator: Initials

No. Destroyed: No. Destroyed: No. Destroyed: Date: actual date of label use
Material Verification
Chemical last in system: Chemical to be processed in system:
ALWAYS fill in this section, whether it’s a line change or not
Lot No.: Lot No.:
Operator: Initials QC approval if chemical
change in system: QC Initials if applicable
Miscellaneous (complete if necessary) [check applicable]
Organic Certified Alcohol – Lines cleaned per SOP 7.5.1.F______ Non Conforming Product – Quarantined / NCR filed______
Reworked Product – see notes below______ Operator:
Notes: only use this section if needed
QA Approval:
Final Inspection
1. Label on bottle/box/container has correct lot number and product name 2. Packaging is properly sealed
3. Product passes visual inspection for cleanliness, proper levels 4. Package/carton contains correct number of bottles
5. Package/carton passes visual inspection for package integrity Operator:1st initial, last name

Approval of Final Product Prior to Release (signature)

Production Supervisor: Date:

Quality Control: Date:

Quality Assurance: Date:

*Notes: All production must be completed by end of shift. Cross out & initial; or, write N/A in all unused spaces.
Sign-offs = 1st initial and last name.

Equipment and/or Process Change (complete if necessary)

List new equipment: ______only use this section if needed______________________________________________________

Describe new process: __________________________________________________________________________________

Operator: _________________________________ QA Approval: ________________________________

 Page 1
Office Work Instruction
HQOWI 1410-Y015B
Effective Date: May 12, 2000
Responsible Office: YB/Business Management Division
Subject: APPROVE ESE OFFICE WORK INSTRUCTIONS

OFFICE WORK INSTRUCTION

APPROVE ESE OFFICE WORK

INSTRUCTIONS

(Conforming to ISO 9001 Quality System Requirements)

Original Signed By:

Ghassem R. Asrar
Associate Administrator, Office of Earth Science

CHECK THE MASTER LIST at http://hqiso9000.hq.nasa.gov

TO VERIFY THAT THIS IS THE CORRECT VERSION BEFORE USE
 Earth Science Enterprise Office Work Instruction
Approve ESE Office Work HQOWI 1410-Y015 Revision: B
Instructions
Date: May 12, 2000 Page 2 of 12

DOCUMENT HISTORY LOG

Status
(Baseline/
Revision/ Document Effective
Canceled) Revision Date Description
Baseline 11/30/98
Revision A 5/14/99 Added detail to procedure description.
Changed single QR to (1) signed concurrence sheet and (2) electronic
source file.
Section 7.0: Changed QR disposition from "Destroy 30 days after
expiration" to "Destroy when 2 years old" per NPG 1441.1. Added NPG
1441.1 reference.

Revision B 5/12/00 Ammended title to avoid confusion with ISO Project Office Quality System
Document Manager OWIs. Revised Section 6, Step 5 to describe method
to control access to CYMIS.

CHECK THE MASTER LIST at http://hqiso9000.hq.nasa.gov

TO VERIFY THAT THIS IS THE CORRECT VERSION BEFORE USE
 Earth Science Enterprise Office Work Instruction
Approve ESE Office Work HQOWI 1410-Y015 Revision: B
Instructions
Date: May 12, 2000 Page 3 of 12

PREFACE
The NASA Office Work Instruction (OWI) for Approve ESE Office Work Instructions documents the tasks
and activities in conformance with the International Organization for Standardization’s (ISO) 9001
requirements for quality systems. The OWI supplements the NASA Strategic Plan, the NASA Strategic
Management Handbook, and other higher level NASA directives, which form the basis for how NASA
conducts business.
This OWI is not intended to duplicate or contradict any other NASA policy, procedures or guidelines,
which currently exist. As such, the OWI will reference prevailing documents where a topic is addressed
and existing coverage is deemed adequate. Additional information provided within is intended to
supplement existing documentation regarding Headquarters (HQ) implementation of strategic and
program/project management, as well as HQ conformance with the ISO 9001 Quality Management
System (QMS) requirements.

CHECK THE MASTER LIST at http://hqiso9000.hq.nasa.gov

TO VERIFY THAT THIS IS THE CORRECT VERSION BEFORE USE
 Earth Science Enterprise Office Work Instruction
Approve ESE Office Work HQOWI 1410-Y015 Revision: B
Instructions
Date: May 12, 2000 Page 4 of 12

TABLE OF CONTENTS

PARAGRAPH PAGE

1.0 PURPOSE 5

2.0 SCOPE AND APPLICABILITY 5

3.0 DEFINITIONS 5

4.0 REFERENCES 6

5.0 FLOWCHART 7

6.0 PROCEDURE 8

7.0 QUALITY RECORDS 10

APPENDIX A. ESE CONVENTIONS FOR OWI DOCUMENT HISTORY LOG 11

APPENDIX B. ESE FILE NAMING CONVENTIONS FOR OWI MS WORD FILES 12

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 Earth Science Enterprise Office Work Instruction
Approve ESE Office Work HQOWI 1410-Y015 Revision: B
Instructions
Date: May 12, 2000 Page 5 of 12

1.0 PURPOSE

This OWI documents the NASA Earth Science Enterprise (ESE) procedure for reviewing and approving
Office Work Instructions (OWIs).

2.0 SCOPE AND APPLICABILITY

2.1 Scope. The ESE procedure for approving an OWI includes verifying the accuracy of the OWI,
coordinating it among the ESE divisions, and obtaining the ESE Associate Administrator’s approval by
signature.
2.2 Applicability. This work instruction for Approve ESE Office Work Instructions applies to the NASA
Office of Earth Science (OES, Code Y) offices and divisions. The Associate Administrator for Earth
Science is responsible for maintaining this document. The controlled version of this OWI is available on
the World Wide Web (WWW) via the HQ ISO 9000 Document Library at http://hqiso9000.hq.nasa.gov.
Any printed version of this OWI is uncontrolled (reference: HCP 1400.1, Document and Data Control).
Proposed revisions will be accomplished by following HQOWI 1410-Y015, Approve Quality Documents.

3.0 DEFINITIONS

3.1 Quality Record. Any ESE-accepted product that supports the Quality Management System.
3.2 Signature Authority. The designated management representative with authority to approve ESE
quality documents.
3.3 Document. A statement or form in conventionally written/electronic media, which presents policies,
procedures, work instructions, instructional materials made part, directly or by reference, of the Quality
Management System. Examples include OWIs and training manuals which provide step-by-step or
general instructions stating how to perform specific duties.
3.4 Document Control Board (DCB). A board comprised of a representative of each one of the Earth
Science Enterprise divisions and the enterprise representative to the agency implementation team/ISO
Project Office.
3.5 ESE Document Manager. The person who administers the Document Management System (DMS)
for the Earth Science Enterprise. Responsibilities include reviewing the draft document for format and
conformance to standards, coordinating internal OWI updates and reviews, submitting new and revised
documents to DMS, and serving as the ESE DCB member.
3.6 HQ Document Manager. The person who administers the DMS for Headquarters, serves as the
secretariat for the Document Control Board, and maintains the Master List of Level 1, 2, and 3
documents.
3.7 Limited Applicability. Applies to marking/using superseded or obsolete documents; user must have
documented authority to use previous/obsolete documents or products.
3.8 Maintaining Documentation. Providing storage, distribution, reproduction, document revisions,
replacement of documents with the latest revisions, and disposition of obsolete and/or invalid documents
such as historical, limited applicability, and reference documents for ESE OWIs.
3.9 Office of Primary Responsibility (OPR) Director. The division director of the Enterprise office
responsible for preparing, submitting for review and approval, and maintaining the accuracy and currency
of a given OWI, from baseline release through revisions.

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Instructions
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3.10 OPR Process Owner. The OPR Director or designated representative to whom the OPR Director
delegates responsibilities for maintaining a particular OWI.
3.11 Quality Management System. A management system which defines and documents an
organization’s quality policy, quality objectives, and commitment to quality.

4.0 REFERENCES

The following document contains provisions that, through reference in this OWI or in policy or procedure
documents, constitutes the basis for the documented procedure:
HCP 1400.1 Headquarters Common Process “Document and Data Control”

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 Earth Science Enterprise Office Work Instruction
Approve ESE Office Work HQOWI 1410-Y015 Revision: B
Instructions
Date: May 12, 2000 Page 7 of 12

5.0 FLOWCHART

The following flowchart depicts the procedure described in Section 6. The outputs in boldface type
represent the quality records listed in Section 7.

Start

1
New or Revised Review and Coordinate
OWI Source File(s) Document

2
Prepare Document for
Final Approval

Obtain Final Approvals

4
No Revise/Rework
Final Approvals
Document
Obtained?

Yes
Final
5 OWI Source File(s)
Final OWI
Publish and Distribute Signed Concurrence
(PDF Version)
Sheet

End

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 Earth Science Enterprise Office Work Instruction
Approve ESE Office Work HQOWI 1410-Y015 Revision: B
Instructions
Date: May 12, 2000 Page 8 of 12

6.0 PROCEDURE

Code Y OWIs exist in the form of MS Word files. Each MS Word file contains text and a flow chart. The
flow chart is an embedded object, copied from a source TopDown Flowcharter file. The ESE Document
Manager maintains an electronic library of the MS Word and TopDown source files. This electronic
library resides in the ISO 9000 area of the Code Y Management Information System (CYMIS) Web site1.
CYMIS provides controlled access to the OWI source files.
OWIs are created or revised in accordance with HCP 1400-1, Document and Data Control. For revised
OWIs, the ESE Document Manager may download the MS Word file for the current version from DMS2.
Alternatively, any Code Y employee may download the source files from CYMIS. The OWI is then
submitted for review, coordination, and approval as described below.
The following table describes the flowchart of Section 5.
Actionee Action
OWI Author3 1 Review and Coordinate Document. The OWI author forwards the
electronic source file(s) for a new or updated OWI to the process owner.
OPR Process
The process owner establishes a review team consisting of
Owner
knowledgeable personnel from the OPR and other ESE divisions as
OPR Review Team appropriate. The review team assesses the accuracy of the OWI and
provides any comments to the process owner.
If necessary, the process owner directs the author to make changes and
resubmit. The process owner reviews the resubmitted document to
ensure the changes were made correctly.
When the OWI is ready for final approval, the process owner forwards the
electronic source file(s) for the OWI to the ESE Document Manager. The
process owner also indicates which division directors should sign the
concurrence sheet. At a minimum, the OPR Director shall sign the
concurrence sheet.
ESE Document 2 Prepare Document for Final Approval. The ESE Document Manager
Manager reviews the OWI for format and conformance to standards. HCP 1400.1,
Document and Data Control, Appendix A provides the OWI template, and
OPR Director
Appendix B provides the approved set of flowchart symbols.
Other division
The ESE Document Manager then prints the OWI, prepares a
directors as
concurrence sheet, and obtains the OPR Director’s signature on the
appropriate
concurrence sheet, as well as any other division director signatures as
specified by the OPR Director. The ESE Document Manager then
forwards the printed OWI and concurrence sheet to the ESE Deputy
Associate Administrator (AA).

1
A CYMIS redesign effort is underway. When completed, the name will change to Earth Science
eXtranet (ESX).
2
DMS only allows the user who submitted a document to download the Word version, while any user
may download the (uneditable) PDF version. Also, DMS does not store the TopDown flowcharter file.
3
The process owner may author or update the OWI, or may delegate author and update responsibility to
support staff. This procedure description assumes delegation to an author.

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Instructions
Date: May 12, 2000 Page 9 of 12

ESE Deputy AA 3 Obtain Final Approvals. The Deputy AA signs the concurrence sheet, and
presents the OWI to the AA for final enterprise approval. The AA provides
ESE AA
final approval by signing the concurrence sheet.
OPR Process 4 Revise/Rework Document. If either the Deputy AA or the AA does not
Owner concur, the ESE Document Manager forwards their comments to the
process owner for incorporation into the OWI. The process owner directs
OWI Author
the author to make the changes. The process owner reviews the
resubmitted document to ensure the changes were made correctly.
Based on the extent of the changes and on concurrences previously
obtained, the process owner determines whether or not the OWI needs to
be coordinated through other ESE divisions, or if only final approvals are
needed.
ESE Document 5 Publish and Distribute. Once the document has been signed and
Manager approved, the ESE Document Manager executes the following tasks:
Finalize the OWI. Open the OWI in MS Word and complete the
following steps:

• If the source file contains revision markings, accept all revisions

and set revision tracking off. Update the Table of Contents by
clicking on it and hitting [F9]. Review the OWI and verify
formatting, pagination, and other aspects that might be overlooked
with revision tracking activated.
• Check all headers (for example, both the first and second page
headers, and in the headers of multiple sections). Set the
Effective Date, if any, to the date the AA approved the OWI, and
ensure the Revision field is correct.
• Update the Document History Log by deleting any rows reflecting
internal Code Y revisions, and completing the appropriate
BASELINE or REVISION row. Appendix A of this OWI presents
ESE conventions for use of the Document History Log.
• Save as, for example, Y001Baseline.DOC, or Y001RevA.doc.
Appendix B shows ESE naming conventions for OWI source files.
Submit the OWI to DMS. Using a Web browser, access DMS at
http://hqiso9000.ha.nasa.gov and complete the following steps:

• In DMS, select the menu option "Submit Draft" (or if the OWI was
previously submitted, "Submit Revised Draft") to enter identifying
data for the OWI.
• Deliver the MS Word file YxxxBASELINE.DOC to the HQ
Document Manager by e-mail or diskette. The HQ Document
Manager converts the Word file to Portable Document Format
(PDF), performs a review, and accepts or rejects the PDF version
into DMS in accordance with HCP 1400-1, Document and Data
Control.
Upload the Final OWI Source Files to CYMIS. Access CYMIS and
upload the final OWI source files into the ISO 9000 area. OWI files in
CYMIS are “read only” files. The ESE Document Manager is

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 Earth Science Enterprise Office Work Instruction
Approve ESE Office Work HQOWI 1410-Y015 Revision: B
Instructions
Date: May 12, 2000 Page 10 of 12

responsible for assuring that the current version of all OWIs are
uploaded into CYMIS. Access to CYMIS is controlled by passwords.

7.0 QUALITY RECORDS

MEDIA
RECORD SCHEDULE AND RETENTION /
OWNER LOCATION Electronic or
IDENTIFICATION ITEM NUMBERS* DISPOSITION
Hardcopy
Final OWI Source File(s) ESE Document Kept by ESE Electronic Schedule 1, Item Destroy when 2 years
Manager Document 26, "Internal old.
Manager Management
Files."
Signed Concurrence ESE Document Kept by ESE Hardcopy Schedule 1, Item Destroy when 2 years
Sheet Manager Document 26, "Internal old.
Manager Management
Files."
* Quality Records are retained in accordance with the referenced schedule and item numbers from NPG 1441.1, NASA Records
Retention Schedules.

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 Earth Science Enterprise Office Work Instruction
Approve ESE Office Work HQOWI 1410-Y015 Revision: B
Instructions
Date: May 12, 2000 Page 11 of 12

APPENDIX A. ESE CONVENTIONS FOR OWI DOCUMENT HISTORY LOG

The following tables show example entries for the OWI Document History Log.

OWI authors may use "Draft" and Arabic numerals to track interim (internal ESE / pre-approval) changes:
Status
(Baseline/
Revision/ Document Effective
Canceled) Revision Date Description
Draft 12/21/98 Draft for Code Y review and approval as document’s Baseline
st
Draft 1 12/22/98 Minor edits to 1 page of flow chart.

Draft 2 12/23/98 Added review steps to Activity 6 text.

For the approved baseline OWI, the ESE Document Manager deletes any rows representing interim
changes, and completes a row to designate BASELINE and the effective date:
Status
Baseline/
Revision/ Document Effective
Canceled) Revision Date Description
Baseline 12/30/98

For subsequent updates, OWI authors may use "Draft" and Arabic numerals to track interim changes:
Status
(Baseline/
Revision/ Document Effective
Canceled) Revision Date Description
Baseline 12/30/98
Draft 1 01/15/99 Added change control procedures.

Draft 2 01/18/99 Incorporated YB comments.

For the approved revision, the ESE Document Manager designates the revision letter, summarizes the
changes incorporated into the approved revision, and deletes any rows representing interim changes.
Status
Baseline/
Revision/ Document Effective
Canceled) Revision Date Description
Baseline 12/30/98
Revision A 01/20/99 Added change control procedures.

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Approve ESE Office Work HQOWI 1410-Y015 Revision: B
Instructions
Date: May 12, 2000 Page 12 of 12

APPENDIX B. ESE FILE NAMING CONVENTIONS FOR OWI MS WORD FILES

The following table shows an example progression of ESE OWI file names. The “Yxxx” represents the
OWI number, for example, a HQOWI 1410-Y015 source file name would begin with “Y015.”

Example File Name Comments

Yxxx.DOC Initial file name.
YxxxRev1.DOC First interim revision to the initial OWI, pre-approval.
YxxxRev2.DOC Second interim revision to the initial OWI, pre-approval.
YxxxBaseline.DOC Final, approved baseline version / source file for DMS submission.
YxxxBaselineR1.DOC First interim revision to the baseline OWI, pre-approval.
YxxxBaselineR2.DOC Second interim revision to the baseline OWI, pre-approval.
YxxxBaselineR3.DOC Third interim revision to the baseline OWI, pre-approval.
YxxxRevA.DOC Approved revision / source file for DMS submission.
YxxxRevAR1.DOC First interim revision to Revision A.
YxxxRevAR2.DOC Second interim revision to Revision A.
YxxxRevB.DOC Approved revision / source file for DMS submission.

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 Michigan Department of Natural Resources
Forest Certification Work Instruction
DRAFT FINAL

Date of Draft Document: Effective Date: 6-01-16

Revision Number: 5
Supersedes Version Dated: 6-23-15

Work Instruction Title: 1.2 Management Review Process for Continual Improvement in the Management of
Forest Resources

Work Area Group: 1 – Plan, Monitor and Review

Purpose: A systematic process for gathering information regarding improvement in forest management
practices, reporting that information to management, and formal management review.

Work Instruction:
1. Internal audit teams will be formed and will conduct regular audits on DNR Forest Management Units (FMUs).
The audits will include field implementation of State and District level programs.
a. Three to four FMUs per year will normally be audited. One desk audit on a theme to be chosen by the
Forest Certification Team (FCT) shall be conducted for all FMUs each year. The number of audits may
vary depending on budgetary and staffing constraints.
b. Supplemental internal audits can be requested through the chain-of-command.
c. The Management Review Team will designate which FMUs and may identify particular areas of needed
focus for state forest related programs to be internally audited each year.
d. Internal audits will be conducted by a DNR lead auditor and an audit team. One person shall be the lead
auditor for all internal audits during any year. Auditors may be trained through either formal training or as
under-instruction audit observers.

2. Annual Management Review.

The Management Review Team will annually evaluate audit results for state forest operations, evaluate
effectiveness of work instructions, evaluate non-conformances, determine changes and improvements necessary
to continually improve conformance, and provide input for a Management Review Report. The review will be
based on the following:
a. Internal Audits: Internal audits must record, evaluate, and report non-conformances with forest
certification standards and related work instructions at all levels of the DNR.
1) The Forest Certification Coordinator (FRD) will oversee the internal audit process.
2) Monitoring requirements cited in the forest certification standards and work instructions will be
incorporated into the internal audit process.
3) DNR District Supervisors will monitor implementation of internal audit corrective action plans, and
report pending or continuing non-conformance at the annual management review.
b. Annual Forest Certification Surveillance Audits by external SFI and FSC auditors
c. Field Management Review
1) Schedule the management review to follow annual forest certification audits.
2) The management review will consist of a statewide review of audit results. Audits will evaluate field
operations and DNR programs.
3) Conduct an annual management review meeting with the Management Review Team. The meeting
will be hosted and chaired by the Forest Certification Coordinator.
4) The Forest Certification Coordinator will prepare a draft report addressing conformance with the forest
certification standards and recommendations for improvement. The draft report will be submitted to
Management Review Team and DNR division chiefs for review by division management teams. The
Forest Certification Coordinator will incorporate division management team review comments and
submit a final Management Review Report to the Resource Bureau Management Team (RBMT) for
their review and approval.

1.2 Management Review Process 4

 5) The Management Review Report will include a report of management actions immediately taken to
address audit results, will cite non-conformance issues, and report other significant findings.

3. Implementing Improvements:
a. Whenever possible, immediate changes will be made to remedy identified non-conformances.
b. The Forest Certification Team (FCT) will be responsible for:
1) Reviewing and providing recommendations for revisions to Forest Certification Work Instructions to
the Management Review Team;
2) Developing recommendations for addressing internal and external audit findings to the Management
Review Team; and
3) Supporting the Management Review Team by identifying other opportunities and actions to improve
sustainable management of forest resources and conformity with certification standards.
4) Providing input to the themes or issues for focus of the internal audits.
c. An Executive Committee of the FCT is responsible for making higher level decisions for issues such as
the review and implementation of FSC and SFI Forest Management Standards, which do not require the
attention of the entire FCT.
d. The RBMT will identify changes and improvements necessary at all DNR levels to continually improve
conformance with work instructions via a written annual communication to all employees.
e. Division Chiefs will ensure changes and improvements approved by the RBMT are implemented.

Scope: (All State Forest Land and Affected Divisions): State Forest Land Other:
DNR – FRD DNR – Wildlife DNR – Fish DNR – Law DNR – PRD

Responsibility and Role: (Staff who will implement or supervise this instruction)
Job Title/Division Role
Resource Bureau Management Team Approve the annual Management Review Report
Management Review Team Conduct an annual management review; identify changes and
improvements necessary to improve forest management. Designate
which FMUs or state forest related programs will be audited each year.
Internal Auditors Conduct annual internal audits and recommend improvements to
internal audit process.
Field/Basin Coordinators / FRD, WD, Implement changes and improvements into field operations.
PRD, FD
Division Chief / FRD, WD, PRD, FD Review draft compliance reports, provide recommendations for
incorporation into final report. Implement improvements recommended
at state and regional levels via written communications with employees.
Forest Certification Team Coordinate ongoing management review implementation. Recommend
actions necessary to improve sustainable forest management.
Forest Certification Coordinator / FRD Oversee and support internal audit process and auditor training.
Conduct annual management review. Prepare draft and final
management review reports.
District Supervisors/ FRD, WD, PRD, Monitor implementation of internal and external audit corrective action
FD, LED plans, and report pending or continuing non-conformance at the annual
management review

Training/Skills: (Those required to accomplish work instruction)

Item Brief Description of Skill or Course Exists/ New
Internal Auditor Training Train select DNR staff in forest certification audit procedures to meet E N
forest certification standards

1.2 Management Review Process 5

References:
• FSC-US Forest Management Standard (v1.0), July 8, 2010
• Requirements for the SFI 2010-2014 Program, January 2010

Monitoring:
• Annual Management Review Report
• Annual Surveillance Audit Reports

Records:
• Internal Audit Reports
• Annual Management Review Report
• Annual Surveillance Audit Reports

1.2 Management Review Process 6

 Corporate Safety - Template
Isolation Instruction
Section 1 – Work activity details
This form must be completed in accordance with the requirements of the WHS Energy Tag and Lockout Procedure (PRO-00014).
Isolation instructions must be developed or reviewed by an authorised isolator for the site where the isolation is being performed. Work Order No.
Where required, the authorised isolator must also hold the appropriate qualification for the type of isolation being performed.

Location of work activity:

Description of work activity:
Work activity details

Date of isolation:

Name: Date:
Operations Y N/A
Signature:

Name: Date:
Isolation instruction
Electrical Y N/A
prepared or reviewed by
Signature:

Name: Date:
Mechanical Y N/A
Signature:

Documentation saved at Insert file path / TRIM Number / Q-Pulse Number

Section 2 – Isolation procedure

Isolation Codes
Low Voltage Isolation
LVI HVI High Voltage Isolation OWI Operations Work Instruction DCR De-contactor Removed AD Air Disconnected
(<1000V)
Tag Only (isolation point Spool Removed (Blank
VLO Valve Locked Open VLC Valve Locked Closed TO SI Spade Inserted SR
cannot be secured with a lock) Fitted)

Note: All HV Isolations require a High Voltage Access Permit (FRM-00439) and a High Voltage Switching Form (FRM-00438).
Devices not capable of being locked should, as far as reasonably practicable, be secured with a shroud, valve cover, chain, pin or other suitable means, or by the removal of the handle
or operating mechanism. As a minimum, an isolation tag must be affixed to any isolation point not able to be secured with a red isolation lock.

Doc no. TEM-00077 Version date: 21/03/2016 Trim ID:

Doc owner: J. Paige Doc approver: Manager, WHS Rev no. 1 Page 1 of 4
The controlled version of this document is registered. All other versions are uncontrolled
 Corporate Safety - Template
Isolation Instruction
Step Isolation Point Number / Description Isolation Point Location Code Isolator name Initial

1 Access Officer / Duty Operator contacted before commencing isolation.

2

10

Section 3 – Test for dead / prove for dead procedure

Step Test Point Description Test Point Location Isolator name Initial

I confirm that all identified energy sources have been isolated, all residual energy has been dissipated, all isolation points have been locked or otherwise
secured to prevent re-energisation, and the isolations have been tested and proven to be effective.
I have demonstrated the effectiveness of the isolation to all workers who are working under the control of the isolation.

Name: Date:
Isolation Officer
Signature: Time:

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 Corporate Safety - Template
Isolation Instruction
Section 4 – De-isolation procedure
Step Isolation Point Number / Description Isolation Point Location Isolator Name Initial

1 Access Officer / Duty Operator contacted before commencing de-isolation.

10
5

Section 5 – Inch and test procedure

Equipment to be Tested: Type of Test: Reason for Test:

Step Isolation Point Number / Description Date / Time Re-energiser Name Initial Re-isolator Name Initial

Section 6 – Reinstatement
I confirm that all isolation equipment has been removed from isolation points, all isolated energy sources have been reinstated and the plant is available for normal operations.

Name: Date:
Isolation Officer
Signature: Time:
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 Corporate Safety - Template
Isolation Instruction
Notes and Drawings

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 Standard Operating Procedures
(SOP)
for
Warehouse & Inventory Management
in
UNHCR

Version 1.0, last update: 18 Dec 2013

Prepared by UNHCR Division of Emergency, Security and Supply (DESS) – Supply
Management and Logistics Service (SMLS)

2013 UNITED NATIONS HIGH COMMISSIONER FOR REFUGEES

This SOP has been prepared by the Office of the United Nations High Commissioner for
Refugees for use by their staff and the staff of implementing partners (hereafter referred as
Partners) and Commercial Companies in the field. Reproduction is authorized, except for
commercial purposes, provided that the source is acknowledged.

Suggestions for corrections or improvements can be sent to:

DESS – SMLS, UNHCR, Budapest
HQSF00@unhcr.org

SOP – Warehouse & Inventory Management in UNHCR

Version 1.0, last update: 18 Dec 2013 Page 2 of 38
Table of Contents

SECTION 1: INTRODUCTION ..................................................................................................................... 4

SECTION 2: DEFINITIONS AND SCOPE ................................................................................................... 5
SECTION 3: TARGET AUDIENCE & DOCUMENT REFERENCES ........................................................ 6
SECTION 4: DOCUMENTS .......................................................................................................................... 7
SECTION 5: SHARED RESPONSIBILITIES OF THE WAREHOUSE AND THE UNHCR OFFICE..... 9
5.1 DAILY TASKS ................................................................................................................................................ 9
5.2 MONTHLY TASKS ......................................................................................................................................... 9
5.3 QUARTERLY TASKS ................................................................................................................................... 10
5.4 YEARLY TASKS ........................................................................................................................................... 10
5.5 HANDOVER OF RESPONSIBILITIES .......................................................................................................... 11
5.6 WAREHOUSE – MAIN INFORMATION SHEET.......................................................................................... 11
SECTION 6: RESPONSIBILITIES OF THE UNHCR OFFICE .................................................................12
6.1 KEY ROLES & RESPONSIBILITIES............................................................................................................. 12
6.2 RESPONSIBILITIES OF THE INVENTORY FOCAL POINT ........................................................................ 12
6.3 PROCESSES FOR RECEIVING AND RELEASING INVENTORY ............................................................... 14
6.4 RECTIFYING ERRORS ................................................................................................................................. 14
6.5 RETURN OF GOODS .................................................................................................................................... 15
6.6 RECORDING OF TRANSACTIONS IN MSRP .............................................................................................. 16
6.7 DOCUMENT MANAGEMENT ..................................................................................................................... 16
6.8 INSURANCE ................................................................................................................................................. 16
SECTION 7: RESPONSIBILITIES OF THE WAREHOUSE .....................................................................17
7.1 KEY ROLES & RESPONSIBILITIES............................................................................................................. 17
7.2 RESPONSIBILITIES OF THE WAREHOUSE MANAGER ........................................................................... 18
7.3 LAYOUT & STORAGE PLAN....................................................................................................................... 19
7.4 SAFETY AND SECURITY OF STOCK ......................................................................................................... 20
7.5 STACKING .................................................................................................................................................... 22
7.6 WAREHOUSE SUPPLIES & EQUIPMENT ................................................................................................... 23
7.7 RECEIVING CONSIGNMENTS .................................................................................................................... 24
7.8 RETURN OF GOODS .................................................................................................................................... 27
7.9 RELEASE OF GOODS................................................................................................................................... 28
7.10 DOCUMENT MANAGEMENT & FILING................................................................................................... 29
7.11 MAINTAINING THE PREMISES ................................................................................................................ 30
SECTION 8: PROCESS OVERVIEW .........................................................................................................31
SECTION 9: LIST OF ABBREVIATIONS...................................................................................................32
SECTION 10: FORMS...................................................................................................................................33
WAYBILL ........................................................................................................................................................... 33
GOODS RECEIVING NOTE ............................................................................................................................... 34
STOCK CARD ..................................................................................................................................................... 35
BIN/STACK CARD ............................................................................................................................................. 36
INCOMING SHIPMENTS ................................................................................................................................... 37
OUTGOING SHIPMENTS ................................................................................................................................... 38

SOP – Warehouse & Inventory Management in UNHCR

Table of Contents
Version 1.0, last update: 18 Dec 2013 Page 3 of 38
 Section 1: Introduction

Introduction UNHCR’s inventories represent a significant investment and following the

implementation of IPSAS1 their monetary value is disclosed in UNHCR’s
financial statements.

It is, therefore, the duty and responsibility of the UNHCR Supply

Management function and the Warehouse Manager (regardless if they are
UNHCR staff, Partners or commercial companies) to closely ensure adequate
and safe storing conditions, efficient warehouse operations and complete and
accurate recording of all inventory movements.

Objective The objectives of warehouse and inventory management are to:

 Ensure satisfactory receipt of goods;
 Provide the ability to rapidly deliver goods requested;
 Keep accurate account of the inventory movements and balance;
 Maintain complete and accurate records of the inventory situation (physical,
reserved, buffer, on hand, distribution, contingency, temporary and in transit
inventories);
 Maintain adequate storage conditions, to ensure that the inventory is in
usable or serviceable condition when needed;
 Implement appropriated measures to guarantee the safety and security of the
goods.
 Ensure the inventory is maintained according to the Layout & Storage plan;
and items are conveniently staked.

Key principles Effective warehouse and inventory management includes proper planning,
recording, controlling and monitoring of the inventory. While the planning of
transactions (objectives, needs, priorities, budget, procurement, etc.) is
performed at the UNHCR operational level the execution involves the
warehouse. Effective coordination and communication between the UNHCR
offices and the warehouses are, therefore, essential.

Ineffective inventory management could result inter alia in incorrect

quantities released, incorrect data recorded, poor decisions, excessive
inventory levels, inefficient use of funds, damage and losses.

1
International Public Sector Accounting Standards (IPSAS) are a set of accounting standards issued by the IPSAS
Board for use by public sector entities around the world in the preparation of financial statements
SOP – Warehouse & Inventory Management in UNHCR
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 Section 2: Definitions and Scope

UNHCR UNHCR inventories are all tangible items owned that are intended to be
Inventory distributed to persons of concern. Inventories also include consumables,
materials, and supplies consumed in the delivery of operations, when these
items are of material value. Examples of inventory are tents, blankets and
kitchen sets, etc.

UNHCR A UNHCR warehouse is defined as a planned space managed by either a

Warehouse Partner commercial entity or directly by UNHCR, where UNHCR owned
inventories are stored and recorded.

Scope of the The scope of this SOP covers the responsibilities for the related processes at
SOP the UNHCR Offices holding inventories and at the level of the warehouse
manager who might be UNHCR staff or staff of a Partner or a commercial
entity.

Any tangible or intangible items under the custody of Partners, defined as

“Goods and Property” in the Project Partnership Agreement, are out of the
scope of this SOP even if these items are used to implement UNHCR
projects. Such Goods and Property include:
 UNHCR Goods and Property, i.e. items provided in-kind by UNHCR to the
Partner;
 Project Goods and Property; i.e. items acquired by the Partner with UNHCR
funds provided pursuant to the Partner Agreement.

The management of these items will be covered by specific Guidelines to be

developed based on this SOP

This SOP covers the processes for warehouse and inventory management up
to the point where UNHCR inventory items are released from the UNHCR
warehouse for distribution. There might be further obligations requested by
UNHCR (for example reporting requirements, as detailed in the Project
Partnership Agreement) but these obligations are not a part of the scope of
this SOP.

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Section 2: Definitions and Scope
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 Section 3: Target Audience & Document
References

Target This SOP is addressed to:

audience
 Representatives;
 UNHCR staff responsible for the supply function in field operations;
 UNHCR staff who are custodians of inventory (Programme);
 Warehouse managers and staff, regardless if warehouse is managed directly
by UNHCR, by a Partner or a commercial company;
 Staff in Supply Management and Logistics Service (SMLS).

References This document is based on the rules and regulations in Chapter 8 and should
be read in conjunction with the following documents:

 AGREEMENT - Project Partnership (IOM/076-FOM/077/2013)

 INSTRUCTIONS - Quarterly inventory reconciliation
 INSTRUCTIONS - Yearly inventory physical verification
(e.g. IOM/71/FOM/72/2013)
 HANDLING GUIDE - Insurance coverage and claim
 INVENTORY MANAGEMENT POLICY. (IOM/99FOM/100/2013)

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 Section 4: Documents

Waybill A Waybill (see Section 10) is used as the warehouse issuing document,
certifying the transfer/release of goods. It is the base document for financial
transactions, such as the payment of the supplier/forwarder and the recording
of the accounting entries. It is the responsibility of the Warehouse Manager to
ensure that the Waybill is properly filled in, signed and filed.

The Waybill can be also referred to as the carrier document, listing the load,
weight, size, final destination, etc. of the goods carried. As such, it is used as
the delivery document to be presented to the receiving warehouse.

Goods The Goods Receiving Note (GRN) (see Section 10) is a standard UNHCR
Receiving Note document to confirm receipt of goods. It is the base document for financial
(GRN) transactions, such as the payment of the supplier/forwarder and the recording
of the accounting entries.

Bin/Stack Bin/Stack Cards (see Section 10) are standard UNHCR documents that are
Card2 fitted to an item bin/stack in the warehouse. The card displays the beginning
balance, movements in and out and the current balance of an item at any
given time. One bin/stack should only contain one type of item from one
unique Purchase Order (PO) number. The bin/stack cards facilitate picking
and physical counts.

The Bin/Stack Cards must be established or updated as a soon as an item is

moved in or out for a specific bin/stack. The warehouse staff effecting the
movement must note the approved Material Stock Request (MSR) number
and sign after having updated the card.

Stock Card The Stock Card (see Section 10) is a standard UNHCR document which
consolidates the information of multiple bin/stack cards relating to the same
item and PO in case it is stored in different bins/stacks of the warehouse. It
should be continuously updated by the warehouse and maintained in the
warehouse area.

Stock Card vs. In smaller warehouses, the Stock Cards provide the same information as the
Bin/Stack Card Bin/Stack Card. In larger warehouses the Stock Card information will
consolidate the information of multiple Bin/Stack cards and show the total
inventory holding of an item/PO which is stored in different bins/stacks.

2
Warehouses equipped with professional inventory management system software (able to detail the location and
quantity of each item & lot ID) can be exempted from maintaining bin cards.

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Incoming The Incoming Shipment Report (see Section 10) is a standard UNHCR
Shipment document summarising all (weekly) incoming shipments to a warehouse by
Report item, Waybill/consignment and PO number.
The report is used by the warehouse to control incoming inventory
movements, and by the UNHCR office to verify that MSRP3 has been
updated accordingly.

Outgoing The Outgoing Shipment Report (see Section 10) is a standard UNHCR
Shipment document summarising all (weekly) outgoing shipments from a warehouse by
Report Waybill/consignment and PO number.
The report is used by the warehouse to control outgoing inventory
movements, and by the UNHCR office to verify that MSRP has been updated
accordingly.

Stock Report The Stock Report is a non-standard UNHCR document used to report the
inventory position/holding for all inventory items by PO, at warehouse level.
The reporting frequency will be determined based on the inventory turnover
rate and/or the fluctuation in demand but is normally weekly. It is the
responsibility of the local UNHCR office to define the format of the report,
and the reporting frequency.
The report is used by the warehouse and the UNHCR office to report the
inventory holdings at warehouse and/or at country level to stock owners and
other stakeholders. The reports provide timely information on inventory
levels by warehouse and item which is important for operational, financial
and procurement planning. It is also used as a back-up source of information
in case of connectivity problems with MSRP.

Layout & The Layout & Storage Plan is a non-standard UNHCR document showing by
Storage Plan lot ID/PO where items are currently stored and where arriving items can be
stored. Thus, it facilitates the picking process and warehouse management
(e.g. physical verification, consolidation, warehouse space planning, etc.). It
is the responsibility of the UNHCR Office to define the format to be used and
to ensure proper implementation and updates.
The plan should be regularly updated so that information on free space and
storage locations of items is available.

3
MSRP, Management System Renewal Project: UNHCR Enterprise Resource Planning system used for controlling
a wider selection of functions within the organisation.

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 Section 5: Shared Responsibilities
of the Warehouse and the UNHCR office

5.1 Daily Tasks

Exchange of It is the responsibility of the most Senior Officer Responsible for Supply in an
Information operation and the Warehouse Manager to ensure an exchange of information
according to the obligations detailed in this SOP.

Inventory It is the responsibility of the Warehouse Manager to ensure that the UNHCR
management & office receives the information on the transactions effected for each day:
MSRP update copies of GRNs, Waybills, incoming and outgoing shipment reports and
quality inspection reports.

Based on the documentation received from the Warehouse it is the

responsibility of the UNHCR Inventory Focal Point to update MSRP daily.

The UNHCR Inventory Focal point and the Warehouse Manager must ensure
an effective flow of information to enable monitoring and control of the
activities planned. Both parties are responsible to ensure that inventory
records are timely and accurately updated. Any issues noted should be
communicated openly and immediately between the Warehouse Manager und
the UNHCR Office or vice versa and jointly addressed.

Note: For further information please see responsibilities of the inventory focal point
detailed in Section 6.2 and responsibilities of the Warehouse Manager detailed in
Section 7.2.

5.2 Monthly Tasks

Monthly The Warehouse Manager and the UNHCR office jointly need to perform the
inventory Monthly Inventory Reconciliation to ensure that Stock Cards and MSRP
reconciliation quantities match. Before this exercise it is very important to update the MSRP
system with all inventory transactions completed.

In case discrepancies are identified the cause must be determined and the
records corrected, if necessary. This process may include ensuring that all
transactions are logged in MSRP, auditing physical warehouse files against
MSRP transactions and reports, recounts of bin/stacks etc.

After the verification, a report must be sent to SMLS at Headquarters with

full documentation and explanations of the discrepancies, if any.

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Disposal of When an approved Disposal Request (GS45, UNHCR form) is received from
expired or the UNHCR office the expired or damaged inventory items can be disposed
damaged stock of environmentally friendly and in line with local regulations.

The UNHCR office will adjust the inventory records in MSRP and the
warehouse will adjust the quantities on the on the stock and stack/bin cards.
The approved GS45 form needs to be printed and filed in the PO file.

5.3 Quarterly Tasks

Quarterly The UNHCR officer in charge for inventories in coordination with the
Inventory Warehouse Manager must conduct a full Physical Inventory Verification
Verification quarterly.

Any discrepancy between the physical inventory as per count sheets and the
MSRP stock records must be investigated and explained by the UNHCR
office and the Warehouse Manager.

The UNHCR office must send the full documentation of the stock count
including the reconciliation reports with full explanation for all discrepancies
to SMLS.

If there is a high inventory turnover in the operation, the implementation of

more frequent inventory verifications is recommended.

5.4 Yearly Tasks

Yearly The Yearly Physical Verification of Inventories is jointly performed by

Inventory UNHCR staff (Supply and Programme) and the Warehouse Manager in
Verifications accordance with instructions issued (usually IOM/FOM).

As a part of this exercise, a full reconciliation between inventory quantities

established by physical counts and MSRP records needs to be completed.

Any discrepancy between the physical inventory as per count sheets and the
MSRP stock records must be investigated and explained by the UNHCR
office and the Warehouse Manager.

The UNHCR office must send the full documentation of the stock count
including the reconciliation reports with full explanation for all discrepancies
to SMLS.

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5.5 Handover of Responsibilities
Inventory count Any change of the Warehouse Manager and/or the UNHCR Officer
before responsible for inventory management requires that a complete physical
handover inventory verification exercise is conducted.

The responsible UNHCR Officer (outgoing/incoming) and the Warehouse

Manager (outgoing/incoming) must conduct this as a joint exercise. In case an
external warehouse manager is changing the Program Officer in charge
should be involved as well. The new UNHCR Officer/Warehouse Manager in
charge must sign the complete and updated inventory records for which they
are taking over the responsibility.

Copies of the hand-over documentation should be stored both in the

warehouse verification files and with the Supply function in the UNHCR
office.

5.6 Warehouse – Main Information Sheet

Warehouse The Main Information Sheet of the warehouse should include details about
information the following:
 Address of the warehouse, and its GPS coordinates;
 General description of the area, access roads and the surface of roads and
truck manoeuvring area outside the warehouse;
 Description of the building(s), including the type, size and condition of the
building(s), storage capacity size of the area designated for UNHCR
inventory storage;
 Insurance arrangements for the building(s);
 In case of a rented warehouse, the details of the legal owner of the building,
the notice period for cancellation of rent and the monthly rental fee;
 Description of access control and security arrangements, system for control
of key(s) and the location of spare keys;
 If the warehouse operation is outsourced, the name of the IP/commercial
company operator, including the contact detail of responsible person;
 Contact details of Warehouse Manager, the UNHCR inventory focal point
and the back-up persons (both for the Warehouse and the UNHCR Office).

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 Section 6: Responsibilities of the UNHCR Office

6.1 Key roles & Responsibilities

Overall At UNHCR, the most senior officer responsible for supply in an operation is
Responsibility & overall responsible for warehouse and inventory management. S/he must
Staffing ensure that the function is properly implemented and adequately staffed and
structure managed. This includes the daily update of MSRP with all inventory
movements and providing timely reports to stakeholders.
Each operation holding inventory must have the following MSRP roles
assigned to adequately trained staff:
 Inventory Focal Point / (Supply function);
 PO/inter-unit Material Stock Request (MSR) receiver / (Supply function);
 Material Stock Request (MSR) preparer / (Supply function);
 MSR approver / (Program function);
 MSR Pick & Ship function / (Supply function);
 Back-up for each function mentioned above.
A file detailing the persons assigned to each function must be maintained and
included in the office’s Delegation of Authority Plan (DOAP). The officer
responsible for the Supply function shall ensure that only competent staff is
assigned to perform these tasks (e.g. provided training/support/oversight).
It is the responsibility of the Supply function, in cooperation with
Programme, to ensure that each warehouse (regardless if managed by
UNHCR or external staff) has one designated Warehouse Manager with the
overall responsibility for managing the warehouse and its operations.

6.2 Responsibilities of the Inventory Focal Point

Information to To enable the warehouse to operate effectively and efficiently, the UNHCR
be provided to office as a minimum needs to inform the warehouse of:
the Warehouse
 Sourcing plan: Will assist the Warehouse Manager in calculating the storage
space needs for future periods.
 Incoming shipments: Pipeline information providing item specifications,
quantities and PO/MSR numbers. It allows the Warehouse Manager to
verify the documentation/specifications of the items prior to arrival and to
arrange for proper receipt/inspection and storage space.
 Distribution plans: Informed by sourcing plans and incoming pipeline
information. It allows the Warehouse Manager to establish an estimated
schedule for inventory movements, enabling work force and space planning.
 Approved MSRs: Are the only valid documents authorising the Warehouse
Manager to release inventory to a named organisation/entity or their
representative (i.e. truck driver showing appropriate documentation).

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Daily tasks  Update, based on documentation received from the warehouse, MSRP with
PO/inter-unit MSR receipts (Waybills and Goods Receiving Notes/GRNs),
and the Pick & Ship details on outgoing MSRs. MSRP should only be
updated upon receipt of the above mentioned documentation.
 Initiate, based on information received from Programme or the warehouse,
relevant actions related to:
- Release Request (MSR) review;
- MSR modifications;
- Inventory adjustment preparation, in case of returned inventory.
 Prepare MSRs for release of inventory from the warehouse.
 Run MSRP reports, with a copy to the warehouse, to verify if the activities
executed the previous day were as planned:
1. HIN_USRQRY_STOCK report (stock report);
2. HIN_USRQRY_SUMM OF ISSUE (releases the previous day);
3. HIN_USRQRY_SUMM OF RECEIPTS (receipts the previous day).
 Plan warehouse incoming and outgoing flows, and run MSRP reports, with
a copy to the warehouse:
4. HIN_USRQRY_PENDING PIPELINE (Receiving Pipeline);
5. HIN_USRQRY_PENDING IU PIPELINE (Pending InterUnit
Receipt).
 Review the current inventory level against planned releases and flag the
need for replenishment to the Supply Unit if the inventory levels are not
adequate to meet known future demand.
 Reconcile the five MSRP reports listed above with the information and
documentation received from the warehouse. Flag any outstanding (non-
received) shipments, investigate the causes and clear them.
 Update the MSR file.

Weekly &  Share the (weekly) Stock Reports with relevant stakeholders in the office as
Monthly tasks per the office instructions/procedures.
 Ensure that issues identified in the Exception reports sent by SMLS are
timely addressed, rectified and reported back to SMLS. Exception reports
include:
- MSR Processed Not Approved;
- MSR Picked Not Shipped;
- MSR Not Picked and Shipped;
- Receiving Pipeline;
- Pending Inter-Unit Receipt;
- Obsolescence Report.
 Perform at least monthly inspection visits to the warehouse and more
frequently in operations with high inventory turnover.

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Section 6: Responsibilities of the UNHCR Office
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6.3 Processes for Receiving and Releasing Inventory

Initiating The UNHCR office shall initiate and approve the receiving of consignments
processes at or releasing of inventory from a warehouse.

 Receipt of inventory at a UNHCR warehouse requires valid shipping

documents verifying the following consignment details:

- UNHCR Warehouses can only receive inventories that are procured

for and owned by UNHCR and any consignment delivered should
have a UNHCR PO number reference (this is also applicable for
donations (DONIK4 POs).
- In order to properly receive the items in the warehouse the responsible
officer in the UNHCR office must ensure that all relevant information
is provided to the warehouse, preferably well in advance of the
delivery.

 The warehouse is not allowed to dispatch any inventory without receiving a

completed and approved MSR from the UNHCR office. For external MSRs,
a valid Chart Field combination must be entered before it can be approved.

Note: For further information please see UNHCR’s Supply Manual, Chapter 8, Part
4: Warehouse Management; Section 4: Releasing and Returning stock

6.4 Rectifying Errors

Reviewing of Supply staff has to review the Release Request and if inconsistencies are
MSRs noted the following applies.

If…
The quantity asked for in the
Release Request is greater than
the available quantity.
The customer has requested
goods which are currently not in
the pipeline or the warehouse.
Additional items are expected to
arrive later than the MSR
distribution dates.
Then…
Resolve with the UNHCR office and amend
the Release Request. Prepare the MSR
according to the revised details.
Check with Sourcing staff. Discuss with the
customer (prior to creating the MSR) and
issue a modified MSR or cancel the Release
Request.
Consult with the customer and agree a
revised distribution schedule. Create MSR
with modified schedule.

4
DONIK = donations in kind

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Section 6: Responsibilities of the UNHCR Office
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Modification of Supply staff may need to modify or cancel the MSR, if it has not been
MSRs shipped and/or if it was changed, as follows.

If… Then...
A customer sends a modification The MSR should be modified as per the
to a Release Request for which a updated Release Request. Inform the
MSR has already been created. warehouse accordingly.
Change the MSR to reflect the increased
Additional goods are needed.
quantity. Inform the warehouse to reserve.
Change the MSR to reflect the reduced
If the quantities of goods is
quantity. Inform the warehouse to ‘un-
reduced.
reserve’.
MSR is no longer needed due to
Cancel the MSR and ‘un-reserve’ the surplus.
a modification or a change to the
Inform the warehouse accordingly.
Release Request.

6.5 Return of Goods

Introduction Items ordered and delivered might have to be returned to the vendor or the
dispatching warehouse due to:
 Defect or damages;
 Duplicate orders or overdeliveries;
 Delayed delivery (in case items are no longer required).
Note: For further information please see UNHCR’s Supply Manual, Chapter 8, Part
4: Warehouse Management; Section 4: Releasing and Returning stock.

Process for If goods are returned or rejected for quality reasons the vendor has to replace
returning to them or issue a credit note.
vendor
Note: For further information please see UNHCR’s Supply Manual, Chapter 8, Part
4: Warehouse Management; Section 4: Releasing and Returning stock.

Returning Return of inventory items dispatched from a warehouse should be an

dispatched exception and avoided by carefully planning the distribution quantities.
inventory
If a dispatch, or part of it, is nevertheless returned to the issuing warehouse,
the items are to be recorded back to MSRP. This cannot be done at the
country level, therefore, the UNHCR office needs to inform SMLS at
Headquarters about the details of the adjustment required.
Note: For further information please see UNHCR’s Supply Manual, Chapter 8, Part
4: Warehouse Management; Section 4: Releasing and Returning stock.

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6.6 Recording of Transactions in MSRP

Recording of The UNHCR office must ensure that the MSRP Inventory module is updated
transactions daily with all inventory transactions, i.e. PO/inter-unit MSR receipts and
MSR Pick & Ship (dispatch).

Inventory transaction may only be recorded in MSRP upon receipt of

documentation from the warehouse providing proof of the physical
movement, such as Waybills and GRNs.

6.7 Document Management

Document The UNHCR office shall establish a filing system for hardcopy documents
management related to warehouse transactions and inventory holdings, and retain them for
five years. The following documents need to be filed:

 Contracts/POs;
 Goods Receiving Notes (GRNs);
 Waybills and Delivery Notes;
 Inspection & Weekly reports;
 Bin/Stack Cards & Stock Cards;
 Inventory counting sheets;
 Loss/Damage forms;
 Import/export documents.

6.8 Insurance

Obligation & The UNHCR staff responsible for the warehouse management must arrange
references adequate insurance for inventories stored, preferably through the global
insurance policy offered by SMLS, or, if this is not feasible, through a local
insurance company. Regarding further details on the global insurance policy
managed by SMLS please refer to the Insurance Coverage and Claim
Handling Guide.

Note: For further information please see UNHCR’s Supply Manual, Chapter 8, Part
Warehouse Management; Section 4-2-8

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 Section 7: Responsibilities of the Warehouse

7.1 Key Roles & Responsibilities

Responsibilities All UNHCR warehouses5 need to have competent personnel and adequate
& Staffing equipment and material to manage and control the warehouse and the
structure inventories. In addition, the organisational structure needs to be defined
detailing the authority, responsibility and accountability of each role in the
warehouse.

It is the responsibility of the Warehouse Manager to ensure that the following

key roles and responsibilities are assigned6:

Roles
Warehouse Manager /
Supervisor / Storekeeper
Controller / Tally clerk(s)
Record-keepers
Security
Responsibilities
Oversee the warehouse operations. Control storage,
movement and receipt/issue of inventory.
Match physical quantities against receipt/release
documents and ensure that inventory records
(Bin/Stack & Stock Cards) match physical inventory.
Update and track inventory files and shipping
documents, ensure proper filing routines.
Ensure 24 hour protection of warehouse premises and
items stored.

All warehouse staff should recognise their responsibility for the caretaking of
the inventories during receipt, storage and dispatch, including the handling
and filing of documents. It is equally important that all warehouse functions
including load masters, loaders, tally clerks, cleaners, casual workers, etc.
have clear job descriptions detailing the procedures to be followed. Their job
descriptions should include:

 Clearly defined responsibilities;

 Defined tasks to be performed ;
 Planned working hours and shifts;
 Defined standards for good job performance;
 Documents to be used and document flows;
 Usage of tools and equipment.
All staff should be trained to perform their functions, and regular staff
meetings be held, specifically on safety and quality assurance matters.

5
A UNHCR warehouse is defined as a planned space managed by either a Partner, commercial entity or directly by
UNHCR, where UNHCR owned goods are stored, and recognized in the UNHCR financial statement (as defined in
Section 1 of present SOP).
6
In larger warehouses it is recommended to separate the roles while in smaller warehouses one person might have to
assume multiple roles.

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Section 7: Responsibilities of the Warehouse
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7.2 Responsibilities of the Warehouse Manager

Information to The Warehouse Manager must ensure that the UNHCR office receives the
be provided to following information in timely manner:
the UNHCR
office  Daily: Incoming/Outgoing Shipment reports; Copies of GRNs, Waybills &
Quality Inspection reports;
 Weekly (or as otherwise instructed): Stock reports (detailing in/out
movements and balances);
 Monthly: Copies of Stock Cards (also those where the quantity has reached
zero during the reporting period);
 Quarterly: Physical Inventory Verification reports.

Daily tasks It is the responsibility of the Warehouse Manager to plan and implement the
daily activities based on information of in/out movements, control activities,
etc. received from the UNHCR office.

 Verify all inventories and check if they are owned by UNHCR. In case of
non-UNHCR inventory discovered notify the UNHCR office immediately;
 Control the storage conditions (general condition and cleanness, etc.);
 Control that the stacking of items is appropriate and safe;
 Check the quality of the inventory, if the bottom layer is elevated from the
floor and if items are damaged;
 Verify that all bins/stacks have Bin/Stack Cards;
 Verify that Bin/Stack Cards & Stock Cards are timely updated;
 Check that the Layout & Storage plan is updated and matching the physical
placement of inventory in the storage area;
 Check the completeness of documents, handling and filing routines, in the
storage area and in the warehouse office (receipt, signatures, updating, etc.);
 Ensure the correctness of documents, such as Incoming/Outgoing Shipment
reports, Waybills, GRNs, Inspection reports, etc. and ensure they are
finalised and delivered to the UNHCR office as instructed;
 In case of inventory discrepancies investigate and notify the UNHCR office
as soon as possible (this includes discrepancies between warehouse records
and the reports from the UNHCR office);
 Verify that personnel report at the start of their shift, verify absences, train
newly recruited personnel in their tasks, plan for and task personnel for the
activities to take place;
 Inspect the general condition of the warehouse premises;
 Ensure cleanliness of the building and premises, and ensure that waste
disposal routines are environmental friendly.
 Security and safety checks

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7.3 Layout & Storage Plan

Objectives & One of the main objectives of warehouse management is to ensure that
References inventories stored for a shorter or longer periods of time are in the best
possible condition when dispatched for use by the beneficiaries. The Layout
& Storage plan is a tool to manage space utilisation in the warehouse.

A clear segregation between inventory items owned by UNHCR and other

goods must be maintained in case the warehouse is shared with other
organizations, or when the warehouse operator stores goods for other clients
in the same locality.

Layout & All warehouses should maintain a Layout and Storage Plan based on a grid
Storage plan layout, showing where the different items are stored, and update it regularly.
The storage areas should be marked by chalk/paint on the floor and include
area, row and aisle identification codes (e.g.: grid Area 2/Row A/Aisle 1).

As a minimum of five areas should be designated:

1. Office area;
2. Goods receiving area;
3. Goods storage area(s) (can include outdoor space);
4. Damaged/expired goods area;
5. Staging/loading area for items picked and ready for release.

Further areas can be required for larger warehouses such as:

 Sealed/locked area, for attractive and/or high value items;
 Spare parts storage area;
 Temperature controlled/cold chain storage area;
 Dangerous goods area (pesticides, fuel, etc.).
When developing the Layout & Storage plan, the following must be ensured:
 Separate food and non-food item storage areas;
 Store items on pallets (food always, Core Relief Items (CRI’s) preferably);
 Allow at least one meter space around stacks and between stacks, walls,
pillars, beams or other obstructions, for ventilation and manoeuvring;
 Store different consignments (lot IDs/PO numbers) of the same item in
separate stacks;
 Use the FIFO7 (first in, first out) principle, unless special circumstances
such as emergencies require to deviate;
 Record the location of stock in the Layout & Storage plan, and the Stock
Card, and include the following details:
- Storage area code (e.g.: grid: Area 1/Row A/Aisle 2);
- Commodity code or description of the item;
- Lot ID/PO number of the item.

7
First in, first out. Turnover of stock procedure requiring first receipts to be issued/used first (not applied as
evaluation method)

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7.4 Safety and Security of Stock

Safety and Goods should be protected from the risks of fire, loss, breakage, damage and
Security of theft. A security risk assessment and facilities assessment should be
Stock undertaken. The warehouse shall prepare an infrastructure plan covering:
 Security lighting, evacuation plan (escape exits) and assembly points
clearly identified and marked;
 Appropriated fencing and other security measures as alarms; perimeter
walls/fences towards adjoining buildings/areas. This may include security
guards/ response plan / support from Host Government Security Forces;
 No smoking policy;
 Firefighting equipment and fire safety plan;
 Limited and controlled entry/exit to the warehouse/storage area;
 Storage requirements for hazardous goods (especially fuel);
 Special storage and security conditions for high value items:
 Incident response plan.

Hazardous Hazardous, flammable or explosive materials need to be stored away from

Goods inhabited areas and surrounded by metal or masonry barriers. In addition, the
following applies:
 Keep hazardous goods away from other products, especially foodstuffs;
 Be aware of the different hazard classes and which hazardous/dangerous
goods that cannot be stored together;
 All hazardous/dangerous goods must be appropriately marked with
markings/stickers on the goods/packing;
 All staff must be informed about handling, preventive and mitigating
actions, place accident cards on the stack and in the warehouse office;
 Provide protective clothing such as goggles and gloves when necessary:
 Proximity to hazardous substance manufacturers should be avoided.
Note: Paint, fertilisers, pesticides, disinfectants and water treatment
chemicals are examples of materials which are potentially hazardous.

Fire Fire is a major safety and security hazard in a warehouse. Some items (e.g.
petrol) may catch fire spontaneously as a result of natural heating.
 Take special precautions with hazardous, inflammable or explosive materials;
 Ensure regular inspection by firefighting authorities;
 Provide fire extinguishers, regularly maintained (available and tested);
 Post and circulate fire prevention and extinction instructions;
 Organise regular fire drills;
 Place sand buckets and shovels near main exits;
 Prohibit smoking in the warehouse area;
 Nominate and train fire wardens;
 Regularly control the status of the electrical systems;
 Maintain list of relevant emergency contact numbers.

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Flood and Take precautions to prevent water damage, e.g. by elevating the bottom layer
water damage of stacks from the floor. Repair and replace roofs during the dry season.

Access control  Restrict access to the storage area to authorised personnel only.
 Arrange for security services and establish inspection routines.
 Establish strict controls of access to keys.
 Establish vehicle and personnel checking and control routines at gates.

Pest control Insects and rodents attack foodstuffs and paper products, as well as textiles. It
is estimated that insects and rodents damage as much as 10% of stored cereals
on average worldwide, with as much as 30% damaged in subtropical regions,
especially when foodstuffs are stored over long periods.

To reduce potential losses, follow the below guidelines:

Topic Guidelines
Storage Never store susceptible foodstuffs for longer than four
period months.
Infestation  Separate and treat infected goods when detected.
 Inspect all potentially affected stocks every two weeks,
and take immediate remedial action (as spraying, dusting
or fumigating with pesticides). If part of a consignment
needs to be fumigated, the entire warehouse must be
fumigated.
Note: Seek expert advice on chemicals to use and dangers
related to humans.
Disease  Control regularly for rats, mice, cockroaches and birds
(they carry parasites that can spread diseases).
Pest control  Use preventative and curative methods to kill insects at
all stages of their development.
 Take care not to damage commodities, nor endanger
humans working with or consuming the goods.
Fumigation  Spray during bagging or when loading goods.
(prevention)  Mark consignment with: date of fumigation, chemicals
used and expected duration of the protection.
Fumigation  Fumigate in a closed, preferably airtight space.
(treatment)  Fumigate when the insects are most active, usually just
before nightfall, close warehouse for at least 24 hours
afterwards.
Note: Seek expert advice on chemicals to use, usage/
handling, quarantine periods before consumption/use and
dangers related to humans.
Chemicals Keep all pest control chemicals in a separate locked store.

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Perishable Special attention should be paid to perishable goods, and appropriate systems
goods control and monitoring routines should be in place to manage perishable
consumables.
The warehouse management should develop a system notifying about expiry
dates, and inform UNHCR well in advance (at least 60 days prior to expiry).

7.5 Stacking

Introduction Appropriate and careful stacking is essential to ensure the stability of stacks,
maximise the use of space, facilitate stocktaking and prevent damage or loss
to goods being stored.

Stacking Follow the below general stacking principles and guidelines:

principles Topic Guidelines
Stability  Never store goods directly on the warehouse floor,
elevate to avoid moisture.
 Never store goods directly against walls, pipes, or
supports as stacks place stress on the structures, will
hamper access and could expose goods to moisture.
 ‘Bond’ stacks of rectangular bags or boxes by orienting
every other layer in different directions, to prevent the
stack from falling over.
Stacking  Keep different items, packages and consignments in
order different stacks.
 Ensure that perishable goods can be rotated, if necessary.
 Ensure that all stacks, including older stacks placed in the
rear areas, are accessible so that the FIFO principle can
be applied.
Light and  Limit stack sizes to a maximum of 6 by 6 meters to
ventilation prevent excessive floor load and pressure damage to
packaging or contents inside the stack.
 The maximum height of stacks depends on the type of
goods and their packing, ensure safe storage and handling
for warehouse workers.
Damaged  Stack damaged goods separately, repair or repack (if
goods possible) and issue first if they are usable.
 Do not mix different types of damaged goods together.
Open areas  Separate foodstuffs from other supplies to avoid
contamination.
 Store fuels, lubricants and other hazardous substances in
a separate building or a protected area.
Rotation  Rotate or turn goods over periodically.
Bottles  Stack packages containing cans or bottles upright.
& Cans

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Stacking As a general principle, issue goods in their smallest possible units, to simplify
different units later distribution.

Repackaging: If goods are issued in a form different from their distributing

needs, or different customers need different packaging unit sizes, some
repackaging may be required.

Follow the below guidelines stacking different packaging units and goods:

Items Guidelines
Bags  Make sure the floor is levelled and strong.
&  Use dunnage (such as pallets, wooden planks, etc.) to elevate
Tents the bottom layer of bags from the floor, to for allow air
circulation and prevention against moisture.
 Check the stability of the stack while stacking, and in particular
when reaching a height of five layers.
 Ensure that the lower layer packs can sustain the weight.
 Plan aisle space (1 metre) between stacks, and between the
stacks and the walls.
 Use either ‘criss-cross’ stacking (orienting every other layer of
bags in different directions) or the block method (bags oriented
both length-wise and width-wise in one layer, and a reversed
pattern in the next layer).
 Do not exceed the maximum safety height of 6 metres when
stacking bags.

Elevation of Dunnage or pallets should always be used to elevate the bottom layer of
bottom layer goods from the floor and to allow for air circulation. Pallets should be clean,
level and free of projecting nails or splinters. Swipe and clean the floor prior
to placing the dunnage/pallet, as spilled grains would for example be
attractive for rodents and insects.

If wooden pallets are not available Supply staff can arrange with suppliers to
deliver goods palletised, to arrange for pallets from a logistics service
provider or to use loose planks, thick woven mats or plastic sheeting.

7.6 Warehouse Supplies & Equipment

Supplies & Ensure that the following forms are always available in sufficient quantities:
Forms  Stock Cards;
 Bin Cards;
 Numbered Waybills (D015);
 Numbered Goods Receiving Notes (GRNs);
 Forms, ledgers and other stationary.

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Basic For the warehouse to function properly, the following basic equipment must
warehouse be made available:
equipment  First aid kits (and medical plan) in case a person is injured;
 Telephone or radio communications link;
 Internet/fax connection (if possible, internet connection should be arranged
to facilitate exchange of information with the UNHCR office);
 Computer & multifunction printer (copier, printers, scanner, fax);
 Tools for opening cases, such as hammers, crowbars, steel cutters etc.;
 Spare sacks, needles, twine and small containers or cartons to repack
supplies when packaging has been damaged;
 Scales for weighing commodities, suitable size sieves, and two wheeled
hand and/or jack trolleys for moving goods;
 Brooms, dust pans, brushes and rubbish bins;
 First aid kit, flashlights, fire extinguishers and other firefighting equipment,
both inside and outside the storage building;
 Power cables or extension leads and compressed air unions;
 Provision of stand-by generators if the electric supply is not stable.

Specialised The potential need for power generators, forklifts and conveyors to handle
equipment large quantities of supplies or heavy items should be determined with the help
of expert advice.

7.7 Receiving Consignments

Important UNHCR Warehouses should only store inventories owned by UNHCR, and
remark all consignments should have an UNHCR PO number reference (this is also
applicable for donations (DONIK POs)). UNHCR should be clearly stated as
the consignee on the Waybill (Bill of Lading, Air Waybill, Delivery Note
from manufacturer, CMR8 etc.) or other official cargo documents.

The responsible officer in the UNHCR office must ensure that all relevant
delivery information is provided to the warehouse well before the actual
delivery (as detailed in Section 5 of this SOP).

Objectives The Warehouse Manager is responsible for the physical receipt of goods,
confirming that the quantity and quality of the goods received is according to
the specifications. In addition, s/he needs to verify if the shipping documents
received are in order and inform the UNHCR office after completion of
receipt. An effective receiving process ensures that goods are properly
inspected and received, stacked away and stored, that inventory records are
timely updated and the required documentation sent to the UNHCR office for
update of MSRP.

8
CMR, Convention of Contract for the International Carriage of Goods by Road

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Section 7: Responsibilities of the Warehouse
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 Within the goods receiving area

First visual Firstly, execute a visual inspection of the truck(s). Check if the goods are
inspection & visibly in accordance with the shipping documents (waybills, container seal
checking of number, container number, date recorded, etc.).
shipping
documents Inspect the goods for obvious visible damages or loss (e.g. bad quality canvas
on the truck, holes in the container, destroyed outer packing, etc.).

Offloading & Goods should be carefully offloaded and handled to minimize damage
inspecting for following these general handling guidelines, if possible:
damage or loss
 Avoid outside offloading during rain;
 Use forklifts for large or heavy items;
 Use trolleys for lighter ones;
 Do not drag, drop or throw items.

Follow the below steps when receiving/inspecting the consignment:

Step Action
1 If there is visible damage or non-conformity with shipping
documents, immediately take photos using a digital camera or a
mobile phone, inform the responsible UNHCR officer, stop
offloading and reject the consignment. Visible damage or non-
conformity can include:
 Water stains on packing;
 Crushed boxes;
 Date of expiry passed on packaging labels;
 Goods are obviously not what was indicated on the shipping
document;
 Lacking PO number and/or goods not marked for UNHCR.
2 If there is any doubt unpack goods samples for further inspection.
3 If there is no obvious visible damage remove packaging and spot
check some items in the presence of the carrier to ensure that the
goods conform to specifications.
Performing simple quality control tests (in particular for locally
procured items). Weight scale and measuring meter must as a
minimum be available in the warehouse (weight is often used as an
inspection parameter for sealed boxes).
4 If goods are damaged, short-landed or not of the expected quality
note the details on shipping document and fill in the Loss/Damage
form (with photos if possible). Inform and send the documents to
the UNHCR office on the same day.

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Confirming Confirmation of receipt is a necessary step to verify that the supplier of the
receipt goods and transport service supplier have fulfilled their obligations and is the
basis to release the payment to the supplier(s).

In the warehouse, a GRN should be issued as the proof of delivery for the
particular shipment/consignment (Note: one GRN per truck). Obtain the
signature of the transporter on the Waybill and the GRN and date all
documents.

In the event of lost or damaged goods follow the instructions provided by the
UNHCR office. The warehouse has to confirm the receipt and a prepare a
Loss/Damage form in order for the UNHCR office to initiate necessary
complaint actions (Protest Letter and Claim Initiation) against the supplier
and/or transporter.

Assigning goods to a storage location (‘put away’)

Store the goods Once the warehouse manager has accepted all or parts of a consignment, store
the goods as follows:

If the consignment is Then…

for…
 Store the goods in the same place as the previous
shipment.
An existing PO  Update the Bin/Stack and Stock Cards.
 File the shipping documents and the GRN in the
existing PO file.
 Store the goods in an appropriate location,
according to the Layout & Storage plan. Update
the plan. Note: Only one item from one PO per
bin/stack.
A new PO  Create Bin/Stack and Stock Cards. Ensure that the
card is physically attached to the bin/stack.
 Create a new PO file and file the shipping
documents and the GRN in it.

Updating Stock records

Updating At the end of each working day, the Warehouse Manager needs to ensure that:
inventory  The GRNs, Bin/Stack and Stock Cards, PO files and the Layout & Storage
records plan have been properly updated;
 The Incoming/Outgoing Shipment report is updated;
 Necessary documents (GRNs, Shipping documents, etc.) are collected and
sent to the UNHCR office.

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Section 7: Responsibilities of the Warehouse
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7.8 Return of Goods

Returning Items that have been inspected may need to be returned either to the vendor or
items/inventory the dispatching warehouse because they were discovered to be:
 Defective or damaged;
 Duplicate or shipped in excess of PO quantity;
 The wrong items;
 Not delivered on time and no longer required.

Rules for The process of returning goods to the vendor shall be managed by the
return to responsible officer in the UNHCR office providing clear instructions to the
vendor Warehouse Manager.

Returning Return of dispatched inventory from an UNHCR controlled warehouse should

dispatched be an exception. If a dispatch, or part of it, is nevertheless returned to the
inventory issuing warehouse the warehouse should immediately contact the UNHCR
office to receive instructions on how to handle the returns in different
situations, for example:

If…
The same goods can or will be
re-dispatched to the same
location.
The goods are to be dispatched
to a different location.
After dispatch, some or all the
goods in a shipment are
returned to a warehouse and
added to existing stock.
Goods returned are in ‘good
order’.
Goods are damaged.
Then…
 Keep them overnight on the truck (if it
can be secured).
 Do not adjust documentation.
Adjust the appropriate documents in the
warehouse.
 Use a GRN, to register the shipment as
an “incoming” shipment under the same
PO that it was shipped out with.
 Note why the goods were returned on
the Waybill.
Return to their original storage location
in the warehouse.
Place them in the damaged goods section
of the warehouse and take action to repair
or dispose of them.

When receiving the approval from the UNHCR office, the regular processes
for receiving consignments (including the first visual inspection, the
offloading & inspecting for damage or loss, etc.) must be followed.

These goods must be clearly marked and stored separately as the returned
goods cannot be dispatched again before the inventory adjustment process has
been confirmed by the UNHCR office.

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7.9 Release of Goods

Important It is not allowed to issue inventory from an UNHCR warehouse managed by a

remark Partner without a duly approved Material Stock Request (MSR9) sent from
the UNHCR office to the warehouse.

In order to execute the release the UNHCR officer in charge of inventory

must ensure that all relevant information and documentation is received by
the warehouse in due time before the physical release (as detailed in Section 5
of this SOP).

Objectives for Goods are approved/authorized for release from the warehouse for the
releasing goods following purposes:

 Distribution externally to UNHCR (External release);

 Transfer to another UNHCR warehouse (InterUnit transfer);
 Internal UNHCR consumption (Internal issue);
 Disposal following the appropriate authorization (a process completely
managed and controlled by the UNHCR office).

Following the release of inventory, the warehouse inventory records and

stock as well as stack/bin cards must be updated in a timely manner, all
relevant information/ documentation must be filed and documents need to be
sent to the UNHCR office for update of MSRP.

Reserving stock When receiving an approved MSR from the UNHCR office the Warehouse
Manager should ‘reserve’ the inventory as specified in the MSR (PO
number(s) of items to be picked are stated in the MSR) to ensure that it will
not be accidently released with another MSR.

Picking stock The warehouse staffs needs to ‘pick’ the goods from the storage area based on
the MSR, and place them in the assigned staging area.

For larger shipments, the warehouse needs to prepare a loading plan and
schedule, taking into account the physical limitations of the warehouse and
the warehouse area, number of loading gates, country limitations on weight
and volume of trucks, etc.

As soon as the goods are moved from the storage area to the staging area, the
Bin/Stack and Stock Cards must be updated.

9
The UNHCR ERP system created MSR shall be used whenever possible but if a field location is not connected, the
D017 form is to be used and the ERP system Inventory Module updated as soon as possible by the UNHCR office.

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Staging area Goods picked must be properly stacked in the staging area, ensuring a clear
separation between the different MSRs.

Items requiring packing must be packed and a packing list needs to be

prepared.

Ensure that all relevant MSR information is displayed on each stack in the
staging area to avoid possible mistakes during the loading process.

Prepare For any issue of inventory from a UNHCR warehouse a Waybill must be
Waybills issued, countersigned by the receiver upon delivery of the goods and the
original signed Waybill must be returned to the warehouse.

Inspecting It is highly recommended that the controller/tally clerks or security guards

outgoing count during loading to ensure that the vehicle is loaded as planned and in
shipment accordance with the Waybill.

Direct release If goods are taken directly from the UNHCR warehouse by the consignee s/he
or her/his representative must sign the Waybill when taking over the custody
of the goods. The Waybill will act as proof of delivery.

The responsibility of UNHCR Supply function and the warehouse ends when
the Waybill is duly signed by the consignee and the original returned to the
warehouse.

Updating stock At the end of each working day, the Warehouse Manager needs to ensure that:
records
 Waybills, PO files, Bin/Stack and Stock Cards and the Layout & Storage
plan have been properly updated;
 The Incoming/Outgoing Shipment Report is completed for the movements
of the day.

7.10 Document Management & Filing

Document It is the responsibility of the Warehouse Manager to establish an internal

management system ensuring that relevant documents are properly issued, filled in and
filed.

The two main documents providing proof of transactions based on which

payments are released and MSRP records are updated are the GRN and the
Waybill.

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Document It is recommended that the warehouse maintains two different files, both of
management which must be retained for five years:
Continued
1. The PO file containing all related transaction documents such as:
- GRNs;
- All shipping documents received with the consignment(s) (e.g.
Delivery Notes, Waybills, Packaging lists, Customs document);
- Inspection documents prepared by the warehouse, such as Receipt
report, Quality Inspection report, copy of Inventory Verification
report in case of discrepancies, etc.;
- Stock and Bin/Stack Cards;
- Approved MSRs and issuing Waybills;
- Lost/Damage forms, if any.

2. The Inventory Verification files containing all documents related to

physical verifications, including Monthly Reconciliations and
quarterly/annual Physical Stock Counts.

7.11 Maintaining the Premises

Maintaining & To maintain the premises, a cleaning and garbage disposal plan needs to be
cleaning developed for the warehouse.

The plan should include the tasks, and timing of those, for the warehouse staff
and cleaning personnel. Further, the plan needs to detail how waste is to be
handled, and the dedicated areas for the different types of waste or surplus
packing material.

The plan needs to ensure:

 Daily: That dirt, rubbish and smaller quantities of spillage are removed
from the storage areas and the floor is swept.

 Weekly: That appropriate disposal of all types of waste, including oil, toxic
and hazardous waste, and surplus packing material is taking place.

 Periodically: That the entire warehouse is cleaned from top to bottom and
from the furthest point towards the main exit including: walls, stacks,
floors, wall/floor joints and corners, roof beams, top of walls, doors,
frames and door channels. Smaller damages to the warehouse building
should be fixed as a part of the periodical check of the premises

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 Section 8: Process Overview

Receiving consignments
UNHCR Warehouse UNHCR
ST
Daily

Section 8: Process Overview

1 inspection
GRN &
PO/IU MSR approved Checking documents Incoming
(by program) Shipping Offloading & inspecting Shipment Report

Version 1.0, last update: 18 Dec 2013

Documents Good Receiving Note (GRN) PO/IU MSR receipt
(PO/MSR/Waybi
PO – Purchase Order, ll) Loss/Damage Form (by Supply function)
(including for Storing/’Put away’
donations) … the same day as the
IU – Inter Unit MSR items were received
Goods Updating
MSR – Material Stock Immediately
Receiving stock
Request Goods delivery

SOP – Warehouse & Inventory Management in UNHCR

Note report
records Loss or damage

Warehouse can only receive goods that

are owned by UNHRC, and identified
with a UNHCR PO number

Releasing goods
UNHCR Warehouse UNHCR

Picking physical inventory

Move to Staging Area
IU/EXT MSR approved Information Issue Waybill
(by Program/Supply function) sharing MSR Pick & Ship
Release the inventory
Daily (by Supply function)
IU- inter unit Waybill &
EXT - external Outgoing … the same day as the
Shipment
MSR – material stock request Approved items were released
MSR Update
Waybill stock
records

Page 31 of 38
Warehouse can only release goods
after receiving an approved MSR from
the UNHCR office
 Section 9: List of Abbreviations

List of
DESS Division of Emergency, Security and Supply
abbreviations
CMR Convention of Contract for the International Carriage of
Goods by Road
CRI Core Relief Item
DOAP Delegation of Authority Plan
DONIK Donations in kind
FIFO First in, first out. Turnover of stock procedure requiring first
receipts to be issued/used first. UNHCR does not use FIFO
as an evaluation method
GRN Goods Receiving Note
IPSAS International Public Sector Accounting Standards (IPSAS)
are a set of accounting standards issued by the IPSAS Board
for use by public sector entities around the world in the
preparation of financial statements
LOT ID Lot identification number assigned to a particular quantity or
lot of material from a single manufacturer
MSR Material Stock Request (MSR)
MSRP Management System Renewal Project; UNHCR Enterprise
Resource Planning system used for controlling a wider
selection of functions within the organisation.
PO Purchase Order
SMLS Supply Management and Logistics Service (SMLS)
SOP Standard Operating Procedures

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Section 9: List of Abbreviations
Version 1.0, last update: 18 Dec 2013 Page 32 of 38
 Section 10: Forms

Waybill

WAYBILL
Supply Management and Logistics Service

DISTRIBUTION - UNHCR OFFICE (white)

- DRIVER (blue)
- RECEIVING WAREHOUSE (pink)
WAYBILL NUMBER
- ISSUING WAREHOUSE (yellow)

UNHCR office: Date:

Issuing warehouse: Transporter:

Consignee Registration plate No

Vehicle arriving at
Delivery address consignee address: Date / Time

Packing unit No. of units

PO number Item description Reject reason(s) / Remarks
(PU) loaded

Loading supervisor /
Store keeper (Signature of loading supervisor) Consignee (Signature of consignee)

Loading started Date / Time Unloading started Date / Time

Loading finished Date / Time Unloading finished Date / Time

Driver's name
(Driver's signature)
NOTE: The consignee must check the quantity delivered and note any loss or damage. Any losses or damage must be noted on this form. The consignee must sign
all three copies of this form. If this document is cancelled, please mark appropriately.

FORM CODE : D015

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Goods Receiving Note

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Stock Card

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Bin/Stack Card

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 Incoming Shipments

Warehouse Date Page of

Section 10: Forms

Packing Number Number
Receipt Pieces
Good receiving note Sender details PO or Donor No Item Description Unit of PUs of pieces Remarks
Date per PU
(PU) received received

Version 1.0, last update: 18 Dec 2013

Incoming Shipments

SOP – Warehouse & Inventory Management in UNHCR

Page 37 of 38
 Outgoing Shipments

Section 10: Forms

Warehouse Date Page of

Packing Number Number

Issuing Pieces
MSR No Waybill No Consignee Location PO or Donor No Item Description Unit of PUs of pieces Remarks
Date per PU
(PU) issued issued

Version 1.0, last update: 18 Dec 2013

Outgoing Shipments

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 WORK INSTRUCTIONS
PRIPPP
TEMPLATE FOR AVIAN INFLUENZA DIAGNOSIS

ii
Work Instruction for avian influenz a diagnosis in the Pacif ic
S P C L R D - AH P / P R IP P P
V e r s io n 2 6 N o v 0 9
Table of Contents

Page

Abbreviations 1

Introduction 2

Pre-diagnostic procedures

WI 1.0 Minimum protective clothing for avian influenza surveillance team 4

WI 2.0 Basic hygiene practices for avian influenza surveillance team 5

WI 3.1 Wearing of personal protective equipment (using cover alls) 6

WI 3.2 Wearing of personal protective equipment (using back-tying gown) 7

WI 4.1 Removing of personal protective equipment (using cover alls) 8

WI 4.2 Removing of personal protective equipment (using back-tying gown) 9

WI 5.0 Proper attire inside the avian influenza laboratory 10

WI 6.0 Post-mortem examination for avian influenza diagnosis 11

Collection of tissue specimen for avian influenza diagnosis (for virus

WI 7.1 12
isolation)

Collection of tissue specimen for avian influenza diagnosis (for polymerase

WI 7.2 13
chain reaction)

WI 8.0 Collection of blood specimen for avian influenza diagnosis 15

Proper handling of serum specimen for avian influenza diagnosis (using

WI 9.1 17
blood collection tubes)

Proper handling of serum specimen for avian influenza diagnosis (using

WI 9.2 19
syringes)

Collection of cloacal swabs for avian influenza diagnosis (for virus

WI 10.1 21
isolation)

Collection of cloacal swabs for avian influenza diagnosis (for polymerase

WI 10.2 23
chain reaction)

WI 11.0 Collection of tracheal swabs for avian influenza diagnosis 24

WI 12.0 Use and maintenance of biosafety cabinet 26

WI 13.0 Handling spills inside the laboratory 27

WI 14.0 Packaging of whole animal (poultry) using double bag method 28

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 Page

WI 15.0 Shipping specimen to overseas laboratory 29

WI 16.0 Packaging of specimen for transport to overseas laboratory 30

WI 17.0 Proper documentation for shipping specimen overseas 31

Reagent preparation procedures

WI 18.0 Preparation of Alsever’s solution (anticoagulant) 32

WI 19.0 Preparation of virus transport medium (VTM) for avian influenza testing 33

WI 20.0 Preparation of 0.5% gelatin in minimum essential medium (MEM) 35

Preparation of agar gel for avian influenza agar gel immunodiffusion

WI 21.0 36
(AGID) testing

WI 22.0 Phosphate buffered saline (PBS) preparation 38

Laboratory diagnostic procedures

WI 23.0 Screening test for avian influenza using Anigen® AI rapid test kit 39

WI 24.0 Using IDEXX® avian influenza A ELISA antibody test kit 41

Agar gel immunodiffusion (AGID) / Agar gel precipitation test (AGPT)

WI 25.0 43
procedure for detection of serum antibody against avian influenza

Preparation of chicken RBC for hemagglutination hemagglutination-

WI 26.0 45
inhibition (HA-HI) test

WI 27.0 Adsorption of test serum with standardized chicken RBS for HA-HI test 46

WI 28.0 Treatment of test serum with receptor destroying enzyme (RDE) 47

WI 29.0 Opening a glass ampoule of avian influenza A viral antigen 48

WI 30.0 Hemagglutination test (titration of viral antigen) 49

Back titration of viral antigen dilution for hemagglutination-inhibition (HI)

WI 31.0 51
test

WI 32.0 Hemagglutination-inhibition (HI) test for avian influenza 53

WI 33.0 Immunofluorescence (IF) antibody detection test for avian influenza 56

Laboratory forms

Form 1.a Avian influenza sample identification worksheet 59

Form 1.b Sample identification worksheet 60

Form 1.c Sample identification worksheet 61

Form 2.a HA-HI worksheet 62

Form 2.b HA-HI worksheet 63

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Form 3 ELISA worksheet 64

Form 4.a AGID worksheet 65

Form 4.b AGID worksheet 66

Form 5 IFA worksheet 67

Form 6 Rapid test kit worksheet 68

Form 7 Laboratory supplies inventory worksheet 69

Form 8 Laboratory equipments inventory worksheet 70

Annexes

Annex 1 References 72

Annex 2 Terminology 73

Annex 3 Hand washing poster 74

Annex 4 Animal health post-mortem kit checklist 75

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Abbreviations

AGID agar gel immunodiffusion

AGPT agar gel precipitation test
Animal Health and Production team of the Secretariat of the Pacific
AH&P
Community, Land Resources Division
ELISA enzyme link immunosorbent assay
HA hemagglutination
HA-HI test hemagglutination hemagglutination-inhibition test
HI hemagglutination-inhibition
IF immunofluorescence
IFA immunofluorescence assay
LRD Land Resources Division
PCR polymerase chain reaction
PPE personal protective equipment
RBC red blood cells
RDE receptor destroying enzyme
RTK rapid test kit
SPC Secretariat of the Pacific Community
SPF specific pathogen free
VTM virus transport medium
WI work instruction

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Work Instruction for avian influenz a diagnosis in the Pacif ic
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Introduction

The Pacific Regional Influenza Preparedness Project (PRIPPP) has been designed to build the
capacity of Pacific Island Countries and Territories (PICTs) to deal with the potential threat of avian
influenza, pandemic influenza and other emerging diseases. PRIPPP is a four year project with
duration from 1st July 2006 to 30 June 2010. One of the key findings of the PRIPP project is that
animal health (AH) laboratory capacity in the region are in need of much support to develop
proficiency in handling and detecting infectious animal diseases.

These work instruction templates for diagnosing avian influenza were developed by the Animal
Health and Production team of the Secretariat of the Pacific Community, Land Resources Division.
These templates are in line with specific objectives of the Pacific Regional Influenza Pandemic
Preparedness Project (PRIPPP), which include preparing countries for responding to emerging
infectious diseases such as avian influenza. This document serves as baseline information and a
format for Pacific Island countries and territories (PICTs) in developing their own laboratory standard
operating procedures. It is designed for use in selecting diagnostic procedures that are appropriate
for the available in-country resources.

How to use this document. Revisions are to be made by laboratory staff and/or Pacific Animal
Health Laboratory Network (PAHLNet) country focal people. Adaptation of this document will require
changing the agency logo, name and addresses. Pages have spaces provided for signatures of
initiator (the person who will revise the work instructions), reviewer (the person who will review the
work instructions), and approver (head of the agency or division). The revision number and dates are
also to be changed accordingly.

All procedures are compiled from diagnostic manuals developed by the World Health Organization
(WHO), the Food and Agriculture Organization (FAO) and the World Organisation for Animal Health
(OIE) and other references. Protocols found in this document can be changed according to
recommendations of reference and referral laboratories identified by the country. Templates for
laboratory forms are also included for monitoring individual performances and recording
results. While the procedures outlined are specific for avian influenza, country versions can include
work instructions for diagnosis of other animal diseases.

Standard operating procedures, guidelines, manual of procedures and work instructions are
important documents that guide employees and staff in performing actual duties in the workplace. For
the purpose of this document, each term is defined and differentiated in the Terminology section in
Annex 1.

It is assumed that individuals using this document are knowledgeable in basic laboratory skills, have
undergone basic laboratory training, and have carefully read other references and standard operating
procedures.

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Work instructions

3
Work Instruction for avian influenz a diagnosis in the Pacif ic
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 Insert name of laboratory here
Insert agency logo
here
AVIAN INFLUENZA DIAGNOSIS
Document Type: Work Instructions Page 1 of 1
Insert name and
Title: Minimum protective clothing for avian influenza
address of ministry
surveillance team
here
Document No.: WI 1.0 Revision 1 Insert date

PURPOSE
 Minimize direct skin contact with animals and inhalation of particles during specimen
collection.
 Eliminate risk of spreading any form of animal disease from one site (e.g. farm, town
or area) to another.

PROCEDURE

1. It is strongly recommended for members of any avian influenza surveillance team to

have been previously immunized with human seasonal influenza vaccine (containing
H1, H3 and B virus).

2. Each member of the avian influenza surveillance team, particularly those who will be
assigned to restraining animals and collecting specimens, should wear the following
minimum protective clothing:
□ Scrub shirt or coveralls
□ Scrub pants, or any long pants or coveralls
□ Pair of examination gloves
□ Face mask
□ Rubber boots

Prepared by: Name, laboratory staff Date prepared: Insert date here
Reviewed with: Name, laboratory manager Date reviewed: Insert date here
Authorized for use by: Name, Chief veterinarian/Director for animal health

4
Work Instruction for avian influenz a diagnosis in the Pacif ic
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 Insert name of laboratory here
Insert agency logo
here
AVIAN INFLUENZA DIAGNOSIS
Document Type: Work Instructions Page 1 of 1
Insert name and
Title: Basic hygienic practices for avian influenza surveillance
address of Ministry
team
here
Document No.: WI 2.0 Revision 1 Insert date

PURPOSE
 Prevent ingestion of potentially infectious materials after specimen collection.
 Minimize the risk of spreading any form of animal disease from one location to
another.

PROCEDURE
1. The blood collector and the assistant must remove and properly dispose of their
examination gloves and/or facial masks before transferring from one area to another.
If necessary, change gloves before transferring to the next household within the
area.
2. After removing the examination gloves, properly wash hands up to the elbows with
soap and water using the proper hand washing procedure (see hand washing poster
in Annex 3)
3. Disinfect hands with 70% alcohol.
4. The surveillance team should disinfect all footwear before leaving the area. This can
be done by spraying disinfectant on all surfaces of the footwear or stepping in a
portable footbath.
5. Place disposable needles, syringes and cotton applicator sticks in a biohazard
container or an empty plastic bottle. Tightly seal the container before disposing it.
6. All disposable materials (syringes, needles, cotton, applicator sticks, examination
gloves, facial masks) used by the surveillance team should be placed in a biohazard
bag. This biohazard bag must be processed in an incinerator or autoclaved and
buried on a secured dumping site.

Prepared by: Name, laboratory staff Date prepared: Insert date here
Reviewed with: Name, laboratory manager Date reviewed: Insert date here
Authorized for use by: Name, Chief veterinarian/Director for animal health

5
Work Instruction for avian influenz a diagnosis in the Pacif ic
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 Insert name of laboratory here
Insert agency logo
here
AVIAN INFLUENZA DIAGNOSIS
Document Type: Work Instructions Page 1 of 1
Insert name and
Title: Wearing personal protective equipment — PPE (using
address of Ministry
coveralls)
here
Document No.: WI 3.1 Revision 1 Insert date

PURPOSE

 Protect laboratory staff or field personnel from possible exposure to contaminants

when handling potentially infected specimens.

MATERIALS
□ Coveralls
□ Shoe cover
□ Face mask
□ Goggles
□ Head cap
□ Disposable gloves (2 pairs)
□ Rubber or cotton gloves

PROCEDURE

It is recommended that PPE materials be worn using the following order:

1. Gloves — inner latex pair
2. Coveralls. Extend the wrist cuffs of the coveralls over the wrists of the latex gloves.
3. Rubber boots.
4. Mask.
5. Goggles or face shields.
6. Hood of coveralls, or hair cover. Ensure that hair strands are well-covered.
7. Plastic apron.
8. Gloves — second latex pair. Extend wrist cuff of gloves over the wrist cuff of
coveralls.
9. Gloves — cotton or rubber if using any.

Prepared by: Name, laboratory staff Date prepared: Insert date here
Reviewed with: Name, laboratory manager Date reviewed: Insert date here
Authorized for use by: Name, Chief veterinarian/Director for animal health

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Work Instruction for avian influenz a diagnosis in the Pacif ic
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 Insert name of laboratory here
Insert agency logo
here
AVIAN INFLUENZA DIAGNOSIS
Document Type: Work Instructions Page 1 of 1
Insert name and
Title: Wearing of personnel protective equipment (using back-
address of Ministry
tying lab gown)
here
Document No.: WI 3.2 Revision 1 Insert date

PURPOSE

 Protect laboratory staff or field personnel from possible exposure to contaminants

when handling potentially infected specimens.

MATERIALS
□ Duct tape (optional)
□ Back-tying lab gown (long sleeved)
□ Shoe cover
□ Face mask
□ Goggles
□ Head cap
□ Disposable examination gloves
□ Rubber or cotton gloves

PROCEDURE
1. Ensure that individuals are wearing comfortable inner working garments such as
scrub suits and appropriate laboratory footwear (WI 5.0).
2. Gloves — inner latex pair.
3. Back-tying gown. Extend the wrist cuffs of the gown over the wrists cuffs of the latex
gloves.
4. Cover laboratory footwear with shoe cover. Seal off the leg area using tape if
necessary.
5. Face mask.
6. Goggles or face shields.
7. Head cap.
8. Plastic apron if necessary.
9. Gloves – second latex pair. Extend wrist cuffs of the gloves over the wrist cuffs of the
gown. Seal off the wrist using tape if necessary.
10. Gloves — cotton or rubber if using any.

Prepared by: Name, laboratory staff Date prepared: Insert date here
Reviewed with: Name, laboratory manager Date reviewed: Insert date here
Authorized for use by: Name, Chief veterinarian/Director for animal health

7
Work Instruction for avian influenz a diagnosis in the Pacif ic
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 Insert name of laboratory here
Insert agency logo
here
AVIAN INFLUENZA DIAGNOSIS
Document Type: Work Instructions Page 1 of 1
Insert name and
Title: Removing of personnel protective equipment — PPE
address of Ministry
(using coveralls)
here
Document No.: WI 4.1 Revision 1 Insert date

PURPOSE
 Properly remove and disinfect possibly infected clothing to minimize the risk of
contact with viruses present in the materials.
 Prevent spread of infection due to infected clothing.

MATERIALS
□ Biohazard disposal bag

PROCEDURE
Remove PPE in the following order and dispose immediately in biohazard bags or
containers:
1. Rubber or cotton gloves (if using any)
2. Scrub and disinfect boots
3. Remove rubber boots
4. Gloves — second latex pair
5. Coveralls
6. Goggles or face shield
7. Mask
8. Gloves — inner pair
9. Perform hand hygiene (see Annex 3)
10. Shower

Prepared by: Name, laboratory staff Date prepared: Insert date here
Reviewed with: Name, laboratory manager Date reviewed: Insert date here
Authorized for use by: Name, Chief veterinarian/Director for animal health

8
Work Instruction for avian influenz a diagnosis in the Pacif ic
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 Insert name of laboratory here
Insert agency logo
here
AVIAN INFLUENZA DIAGNOSIS
Document Type: Work Instructions Page 1 of 1
Insert name and
Title: Removing of personnel protective equipment — PPE
address of Ministry
(using back-tying gown)
here
Document No.: WI 4.2 Revision 1 Insert date

PURPOSE
 Properly remove and disinfect possibly infected clothing to minimize the risk of
contact with viruses present in the materials.
 Prevent the spread of infection due to infected clothing.

MATERIALS
□ Biohazard disposal bag

PROCEDURE

Remove PPE in the following order and dispose immediately in biohazard bags or
containers:
1. Remove the cotton or rubber gloves.
2. Remove the second gloves.
3. Remove goggles, head cap and mask.
4. Remove cover-all, rolling down inside-out.
5. Remove shoe cover.
6. Remove first gloves.
7. Take a shower and change clothing (if possible) prior to boarding any vehicle to
leave the laboratory.

Prepared by: Name, laboratory staff Date prepared: Insert date here
Reviewed with: Name, laboratory manager Date reviewed: Insert date here
Authorized for use by: Name, Chief veterinarian/Director for animal health

9
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 Insert name of laboratory here
Insert agency logo
here
AVIAN INFLUENZA DIAGNOSIS
Document Type: Work Instructions Page 1 of 1
Insert name and
Title:
address of Ministry Proper attire inside the avian influenza laboratory
here
Document No.: WI 5.0 Revision 1 Insert date

PURPOSE
 Prevent introduction of infectious substances into the laboratory.
 Prevent spread of infectious substances from the laboratory to the outside
environment.

PROCEDURE
1. Laboratory staff, personnel and visitors are required to change their street clothes
and footwear before entering the primary door to the laboratory.
2. Laboratory staff should wear and change laboratory gowns allocated for each room
of the main laboratory.
3. All laboratory gowns and suits must be placed inside an autoclavable biohazard
plastic bag when transporting to another location for autoclaving. If this is not
applicable, laboratory gowns and suits should be disinfected by soaking in detergent
or disinfectant before taking outside the laboratory.
4. Laboratory gowns and other protective suits should not be worn outside the
laboratory.

Prepared by: Name, laboratory staff Date prepared: Insert date here
Reviewed with: Name, laboratory manager Date reviewed: Insert date here
Authorized for use by: Name, Chief veterinarian/Director for animal health

10
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 Insert name of laboratory here
Insert agency logo
here
AVIAN INFLUENZA DIAGNOSIS
Document Type: Work instruction Page 1 of 1
Insert name and
Title:
address of Ministry Post-mortem examination for avian influenza diagnosis
here
Document No.: WI 6.0 Revision 1 Insert date

PURPOSE

 Gross identification of lesions for avian influenza diagnosis in freshly dead birds (less
than 24 hours).

MATERIALS
□ Class 2 biosafety cabinet (BSC) □ Sprayer with disinfectant
□ Biohazard disposal bag □ Incinerator or autoclave (dirty)
□ Basin or pail with water
□ Post-mortem kit (complete list in Annex 4)

PROCEDURE
For live animals, perform neck dislocation directly before performing the post-mortem
procedure.
1. Disinfect Class II BSC.
2. Allow BSC blower to run for five minutes.
3. Wear complete personal protective equipment (WI 3.1 or WI 3.2).
4. Remove bird carcass from biosafety bag.
5. Wet the ventral surface of the bird with clean running water or by dipping it in a
bucket of water.
6. Place carcass in a non-absorbent pan or tray.
7. Place inside a Class II BSC.
8. Pluck feathers as necessary to further minimize risk of cross-contamination.
9. Open the abdomen using necropsy scissors, taking care to avoid incising any
internal organs.
10. Cut along the ribs until the keel and breast can be lifted up towards the birds head.
11. Expose the thoracic cavity.
12. Observe and note any abnormality in the internal organs and collect tissue
specimens for avian influenza diagnosis (WI 7.1 and WI 7.2).
13. After examination and sample collection, spray disinfectant over the carcass.
14. Place carcass in an autoclavable biohazard plastic bag using double-bag method
(WI 14.0).
15. Remove from the laboratory room for autoclaving or incineration.
16. Disinfect all necropsy instruments, pans and BSC.

Prepared by: Name, laboratory staff Date prepared: Insert date here
Reviewed with: Name, laboratory manager Date reviewed: Insert date here
Authorized for use by: Name, Chief veterinarian/Director for animal health

11
Work Instruction for avian influenz a diagnosis in the Pacif ic
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 Insert name of laboratory here
Insert agency logo
here
AVIAN INFLUENZA DIAGNOSIS
Document Type: Work instruction Page 1 of 1
Insert name and
Title: Collection of tissue specimen for avian influenza
address of Ministry
diagnosis (for virus isolation)
here
Document No.: WI 7.1 Revision 1 Insert date

PURPOSE
 Collect tissue specimens for avian influenza diagnosis.

MATERIALS
□ Post-mortem kit (Annex 4) □ Class 2 biosafety cabinet (BSC)
□ Sterile scissors □ Sterile specimen containers
□ Virus transport medium (WI 19.0)
□ 100% ethanol or non-toxic ribonucleic acid (RNA) preservative

PROCEDURE
Birds suspected of being infected with non-toxic RNA preservative should be killed by
cervical dislocation (neck wringing) only.
1. Aseptically open carcass (follow steps 1–12 of WI 6.0).
2. Using sterile scissors, collect at least 1 cm3 of tissue from trachea, lungs, spleen, air
sacs, kidney, brain, liver and heart and any obviously abnormal tissues.
3. Place specimens in containers using the following steps:
a) Without virus transport medium (VTM): Place tissue specimens in sterile
containers (without transport medium) either pooled or in separate containers.
b) With VTM: Using sterile scissors (not those used during the post-mortem
examination), cut tissues into finely minced pieces and put into transport medium
as 10–20% (weight/volume) suspension.
c) Place specimens from the digestive tract separately in individual containers with
or without VTM following instructions a) and b), respectively.
4. Label all specimens.
5. Disinfect instruments and BSC after use.
6. Record all collected specimens on the Sample Identification Worksheet (Form 1.a or
Form 1.b).
7. Specimens should be processed in the laboratory. Allow at least 1–2 hours of
incubation at room temperature (22–25oC) for specimens in VTM.
8. Specimens may be stored at 4 oC for up to 4 days and at -70oC for prolonged
storage.
9. Ideally, specimens should be transported to an overseas laboratory using a -70oC (or
below) cold chain procedure.
10. In the absence of cold chain procedures, properly package specimen with ice packs
(WI 16.0).

Prepared by: Name, laboratory staff Date prepared: Insert date here
Reviewed with: Name, laboratory manager Date reviewed: Insert date here
Authorized for use by: Name, Chief veterinarian/Director for animal health

12
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 Insert name of laboratory here
Insert agency logo
here
AVIAN INFLUENZA DIAGNOSIS
Document Type: Work instruction Page 1 of 2
Insert name and
Title: Collection of tissue specimen for avian influenza
address of Ministry
diagnosis (for polymerase chain reaction)
here
Document No.: WI 7.2 Revision 1 Insert date

PURPOSE
 Collect tissue specimen for avian influenza diagnosis through polymerase chain
reaction (PCR).

MATERIALS
□ Post-mortem kit (Annex 4) □ Class 2 biosafety cabinet (BSC)
□ Sterile scissors □ Sterile specimen containers
□ Virus transport medium (WI 19.0)
□ 0.9% normal saline or RNAlater® RNA stabilization reagent

PROCEDURE
Birds suspected of infection with highly pathogenic avian influenza (HPAI) should be
killed by cervical dislocation (neck wringing) only.
1. Aseptically open carcass (follow steps 1–12 of WI 6.0).
2. Using sterile scissors, collect at least 1 cm3 of tissue from trachea, lungs, spleen, air
sacs, kidney, brain, liver and heart and any obviously abnormal tissues.
3. Cut tissues into slices of around less than 0.5 cm thick.
4. In the absence of a cold chain procedure or -70oC freezer, preserve specimens in
containers with either of the following preservatives:
a) 0.9% normal saline.
b) RNAlater® RNA stabilization reagent. Place approximately 10 µl of reagent
per 1 mg of tissue and 500 µl reagent per 0.5 cm3 tissue.
5. Label all specimens.
6. Disinfect instruments and BSC after use.
7. Record all collected specimens on the Sample Identification Worksheet (Form 1.a or
Form 1.b).
8. Best results are obtained if specimens are processed in the laboratory immediately
after collection.
9. Specimens may be stored or transported to overseas laboratories at room
o
temperature (22–25ooC) for certain periods depending on the preservative used:
 0.9% normal saline – 24 hours
 RNAlater® RNA stabilization reagent – 7 days

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Work Instruction for avian influenz a diagnosis in the Pacif ic
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 Insert name of laboratory here
Insert agency logo
here
AVIAN INFLUENZA DIAGNOSIS
Document Type: Work instruction Page 2 of 2
Insert name and
Title: Collection of tissue specimen for avian influenza
address of Ministry
diagnosis (for polymerase chain reaction)
here
Document No.: WI 7.2 Revision 1 Insert date

10. For prolonged periods:

 0.9% normal saline – store in 4oC (refrigeration) for 3–4 days or -70oC for longer
storage.
 RNAlater® RNA stabilization reagent – store in 4oC for 4 weeks; -20oC to
-80oC for longer storage.

Prepared by: Name, laboratory staff Date prepared: Insert date here
Reviewed with: Name, laboratory manager Date reviewed: Insert date here
Authorized for use by: Name, Chief veterinarian/Director for animal health

14
Work Instruction for avian influenz a diagnosis in the Pacif ic
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 Insert name of laboratory here
Insert agency logo
here
AVIAN INFLUENZA DIAGNOSIS
Document Type: Work Instructions Page 1 of 2
Insert name and
Title: Collection of blood specimen for avian influenza
address of Ministry
diagnosis
here
Document No.: WI 8.0 Revision 1 Insert date

PURPOSE
 Minimize animal stress during blood collection.
 Efficiently collect avian blood specimen from the wing vein.
 Obtain good quality serum for avian influenza laboratory testing.

MATERIALS
□ Disposable syringes (3 ml)
□ Sterile cotton applicators (with plastic handle)
□ Needle, G25 (for chicken under age 4 weeks); G23 (for older chickens)
□ Needle, 1.5 inch
□ 70% alcohol
□ Cotton
□ Avian Influenza Sample Identification Worksheet (Form 1.a)
□ Masking tape
□ Clip board
□ Scissors
□ Disinfectant
□ Sprayer (for disinfectant)
□ Marking pens or any means of labeling

PROCEDURE
Live birds
1. Restrain animal with the help of an assistant. The assistant holds the bird in a
sideways position, immobilizing the feet, neck area and one wing.
2. Holding a clean disposable syringe on one hand, the blood collector uses his/her
other hand to pull the other wing towards his body.
3. Gently pluck away small feathers on the underside of the wing at the collection site.
4. Disinfect the area using a cotton swab and 70% alcohol solution
5. Insert the needle under the white tendon of the pronator muscle, found just below
the area where the wing vein splits into two blood vessels.
6. An amount of blood can be observed to enter the tip of the syringe if the needle is
properly inserted inside the wing vein. Collect 2–5 ml of blood by gentle suction.
7. Withdraw the needle and apply gentle pressure to the vein for a few seconds to stop
further bleeding.
8. Unscrew uncapped needle from the syringe directly inside the sharp disposal
container. Take the necessary precautions to prevent needle prick injury.
9. Separate serum from the blood clot by transferring the collected blood into a tube
(WI 9.1) or by letting the blood stand in the syringe (WI 9.2).

15
Work Instruction for avian influenz a diagnosis in the Pacif ic
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 Insert name of laboratory here
Insert agency logo
here
AVIAN INFLUENZA DIAGNOSIS
Document Type: Work Instructions Page 2 of 2
Insert name and
Title: Collection of blood specimen for avian influenza
address of Ministry
diagnosis
here
Document No.: WI 8.0 Revision 1 Insert date

10. In the Avian Influenza Sample Identification Worksheet (Form 1.a), record blood
sample and cloacal swab label in the appropriate boxes. A serum sample without a
corresponding cloacal swab and surveillance form cannot be processed for
laboratory testing.

Dead birds
Immediately after the bird is dead, perform cardiac bleed to collect blood using the
following steps:
1. Select a needle size in proportion to the size of the bird (e.g. duck, 1.5 inch
needle).
2. Aim needle just below the keel (breast bone).
3. Withdraw blood with minimal negative pressure.
4. Unscrew uncapped needle from the syringe directly inside the sharp disposal
container. Take the necessary precautions to prevent needle prick injury.
5. Separate serum from the blood clot by transferring the collected blood into a tube
(WI 9.1) or by letting the blood stand in the syringe (WI 9.2)
6. In the Avian Influenza Sample Identification Worksheet (Form 1.a), record blood
sample and cloacal swab label in the appropriate boxes. A serum sample without
a corresponding cloacal swab and surveillance form cannot be processed for
laboratory testing.
7. Treat blood sample as described in work instructions for handling serum specimens
(WI 9.1 or WI 9.2).

Prepared by: Name, laboratory staff Date prepared: Insert date here
Reviewed with: Name, laboratory manager Date reviewed: Insert date here
Authorized for use by: Name, Chief veterinarian/Director for animal health

16
Work Instruction for avian influenz a diagnosis in the Pacif ic
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 Insert name of laboratory here
Insert agency logo
here
AVIAN INFLUENZA DIAGNOSIS
Document Type: Work Instructions Page 1 of 2
Insert name and
Title: Proper handling of serum specimen for avian influenza
address of Ministry
diagnosis (using blood collection tubes)
here
Document No.: WI 9.1 Revision 1 Insert date

PURPOSE
 Collect good quality serum from blood specimens.
 Effectively handle and store serum samples.

MATERIALS
□ 5–10 ml tubes □ Biohazard bag
□ Permanent marker □ Basin with detergent or disinfectant
□ Tube stand □ Resealable plastic bag
□ Working table □ Disposable transfer pipettes
□ 70% alcohol or any disinfectant
□ Sterilized 1–2 ml screw-cap or snaplock microtubes

PROCEDURE
Collected blood specimens should be brought to the laboratory immediately for processing.
Ideally, serum separation is done inside the laboratory.

1. Immediately after collection, transfer collected blood into 5 ml or 10 ml tubes.

2. Label the tubes and place them in the upright position in a stable container.
3. Alternatively, stabilize tubes in an upside down position (rubber cork side down).
This will conveniently hold clot in the rubber cover and will allow easy separation of
serum and clot.
4. Immediately transport blood specimens to the laboratory.
5. Let blood sample stand in room temperature (22–25oC) for 1–2 hours or until the
blood clots (maximum of 12 hours). Putting the blood sample in a cold
environment will hinder the separation of serum. Exposure to direct heat or
hot location will cause hemolysis.
6. Centrifuge the blood tubes at about 2,500 rpm for 10–15 minutes.
7. Prepare the working table by cleaning and disinfecting the surface with 70% alcohol
or any kind of disinfectant.
8. Spread a clean piece of disposable kitchen towel or any absorbent paper on top of
the working table. This will absorb any spills from the separation process.
9. Prepare a plastic bag (preferably of biohazard quality) and a basin with disinfectant.
10. Place enough sterilized microtubes on a clean surface or in a container.
11. Wear minimum personal protective equipment (WI 1.0) before starting to separate
the serum.
12. Aspirate the serum from the blood clot using a disposable transfer pipette. Be
careful not to disturb the blood clot or hemolysed blood. At least 0.5 ml of
serum is necessary for laboratory testing.

17
Work Instruction for avian influenz a diagnosis in the Pacif ic
S P C L R D - AH P / P R IP P P
V e r s io n 2 6 N o v 0 9
 Insert name of laboratory here
Insert agency logo
here
AVIAN INFLUENZA DIAGNOSIS
Document Type: Work Instructions Page 2 of 2
Insert name and
Title: Proper handling of serum specimen for avian influenza
address of Ministry
diagnosis (using blood collection tubes)
here
Document No.: WI 9.1 Revision 1 Insert date

13. Dispense serum to a clean microtube.

14. Securely cover the microtubes. Press cover until a clicking sound is heard.
15. Label the microtubes.
16. Place serum tubes in a sealable plastic bag.
17. Properly label the plastic bag with the farm owner’s name, location, number of serum
samples and the date of collection.
18. If serum samples will be transported immediately to the laboratory, place them in a
cooler with an ice pack. For longer storage, keep in freezer (at -20oC).
19. Dispose of blood clots and all used materials in a biohazard bag for autoclaving or
incineration and burial at a secure dumping site.
20. Place glass tubes in basin with detergent or disinfectant.
21. Soak for at least 30 minutes; wash and autoclave.

Prepared by: Name, laboratory staff Date prepared: Insert date here
Reviewed with: Name, laboratory manager Date reviewed: Insert date here
Authorized for use by: Name, Chief veterinarian/Director for animal health

18
Work Instruction for avian influenz a diagnosis in the Pacif ic
S P C L R D - AH P / P R IP P P
V e r s io n 2 6 N o v 0 9
 Insert name of laboratory here
Insert agency logo
here
AVIAN INFLUENZA DIAGNOSIS
Document Type: Work Instructions Page 1of 2
Insert name and
Title: Proper handling of serum specimen for avian influenza
address of Ministry
diagnosis (using syringes)
here
Document No.: WI 9.2 Revision 1 Insert date

PURPOSE
 Collect good quality serum from blood specimens in syringes.
 Effectively handle and store serum samples.

MATERIALS
□ 5–10 ml tubes □ Biohazard bag
□ Permanent marker □ Basin with detergent or disinfectant
□ Tube stand □ Resealable plastic bag
□ Working table □ Disposable transfer pipettes
□ 70% alcohol or any disinfectant □ Sharps (needles, blades, syringes)
disposal container
□ Parafilm® sealing tape
□ Sterilized 1–2 ml screw-cap or snaplock microtubes

PROCEDURE
Collected blood samples should be transported to the laboratory immediately for
processing. Ideally, separation of serum is done inside the laboratory.

1. Immediately after collection, unscrew uncapped needle from the syringe directly
inside the sharp disposal bin. Take the necessary precautions to prevent needle
prick injury.
2. Cover syringe opening with sealing tape. Alternatively, attach a new, well-capped
needle to the syringe.
3. Leave around 15 mm of air space between the blood and the tip of the syringe, to
give space for the separation of the serum.
4. Immediately label the syringes and place in a stable container with the well-covered
opening pointing upwards. If a new needle is re-attached, take the necessary
precautions to prevent needle prick injury.
5. Immediately bring blood specimen to the laboratory.
6. Let blood sample stand at room temperature for 1–2 hours or until the blood clots
(maximum of 12 hours). Putting the blood sample in a cold environment will
hinder the separation of the serum. Exposure to direct heat or a hot location
will cause hemolysis.
7. Prepare the working table by cleaning and disinfecting the surface with 70% alcohol
or any kind of disinfectant.
8. Spread a clean piece of disposable kitchen towel or any absorbent paper on top of
the working table. This will absorb any spills from the separation process.
9. Prepare a plastic bag (preferably of biohazard quality) and a sharps disposal
container or an empty plastic bottle for the disposal of needles and syringes.
10. Place enough sterilized microtubes on a clean surface or in a container.

19
Work Instruction for avian influenz a diagnosis in the Pacif ic
S P C L R D - AH P / P R IP P P
V e r s io n 2 6 N o v 0 9
 Insert name of laboratory here
Insert agency logo
here
AVIAN INFLUENZA DIAGNOSIS
Document Type: Work Instructions Page 2 of 2
Insert name and
Title: Proper handling of serum specimen for avian influenza
address of Ministry
diagnosis (using syringes)
here
Document No.: WI 9.2 Revision 1 Insert date

11. Wear minimum protective clothing before starting to separate the serum from the
collecting syringes.
12. Remove the covering tape or capped needle from the syringe and dispose in a sharp
container bin or empty plastic bottle.
13. Let the tip of syringe touch the rim of the microtubes.
14. Gently press the plunger to allow the serum to flow out of the syringe careful not to
disturb the blood clot or hemolysed blood. At least 0.5 ml of serum is needed for the
laboratory test.
15. Securely cover the microtubes. Press the cover until a clicking sound is heard.
16. Label the microtubes.
17. Place serum in a sealable plastic bag.
18. Properly label the plastic bag with the farm owner’s name, location, number of serum
samples and the date of collection.
19. If serum samples will be used immediately for laboratory testing, place them at 4oC
(refrigeration temperature) or in a cooler with an ice pack. For longer storage, keep
in freezer.
20. Dispose of all used materials in a biohazard bag for autoclaving or incineration and
burial at a secured dumping site.

Prepared by: Name, laboratory staff Date prepared: Insert date here
Reviewed with: Name, laboratory manager Date reviewed: Insert date here
Authorized for use by: Name, Chief veterinarian/Director for animal health

20
Work Instruction for avian influenz a diagnosis in the Pacif ic
S P C L R D - AH P / P R IP P P
V e r s io n 2 6 N o v 0 9
 Insert name of laboratory here
Insert agency logo
here
AVIAN INFLUENZA DIAGNOSIS
Document Type: Work Instructions Page 1 of 2
Insert name and
Title: Collection of cloacal swabs for avian influenza diagnosis
address of Ministry
(for virus isolation)
here
Document No.: WI 10.1 Revision 1 Insert date

PURPOSE
 Minimize animal stress during swab collection.
 Collect cloacal swab from healthy and sick birds for virus isolation.
 Effectively handle and store cloacal swab samples.

MATERIALS
□ Virus transport media – VTM (WI 19.0)
□ Sterile cotton applicators (rayon, dacron or any plastic-handled swab)
□ Masking tape
□ Clip board
□ Marking pens or any means of labeling
□ Cooler with ice packs

PROCEDURE
1. Store VTM in cooler with ice packs at all times.
2. Insert sterile cotton applicator stick in the vent of the bird.
3. Gently rotate the stick, swabbing against the mucosal wall.
4. Make it deep enough to get at least 1 g of fecal sample.
5. Dip the collected cloacal swab in VTM. Cloacal swab specimen can be pooled for up
to five samples per 3 ml (of VTM), provided samples are from the same species and
the same area.
6. Cut the plastic handle of the applicator stick to a length long enough to allow the
screw cap to close properly.
7. Leave the cotton with the cut handle of the applicator stick inside the VTM tube.
8. If several samples are to be pooled in one tube, dip the collected cloacal swab in the
VTM for at least 30 seconds.
9. Press cotton on the sides of the tube and properly dispose in a biohazard bag or in
an empty plastic bottle. Do not leave any cotton applicators inside the tube when
pooling samples.
10. Label the tubes.
11. Place in sealable plastic bag with farm owner’s name, location and date of collection.
12. Fill up the applicable boxes in the Avian Influenza Sample Identification Worksheet
(Form 1.a or Form 1.b). Make sure it is aligned with the corresponding blood sample
label.

21
Work Instruction for avian influenz a diagnosis in the Pacif ic
S P C L R D - AH P / P R IP P P
V e r s io n 2 6 N o v 0 9
 Insert name of laboratory here
Insert agency logo
here
AVIAN INFLUENZA DIAGNOSIS
Document Type: Work Instructions Page 1 of 2
Insert name and
Title: Collection of cloacal swabs for avian influenza diagnosis
address of Ministry
(for virus isolation)
here
Document No.: WI 10.1 Revision 1 Insert date

13. Immediately return transport media with cloacal swab inside the cooler.
14. Bring the transport media to the laboratory with the corresponding blood/serum
sample and completed Sample Identification Worksheet.
15. If samples are not to be processed immediately for diagnosis, samples may be
stored accordingly:
 at 4oC for up to 4 days.
 for prolonged storage keep at -70oC.

Prepared by: Name, laboratory staff Date prepared: Insert date here
Reviewed with: Name, laboratory manager Date reviewed: Insert date here
Authorized for use by: Name, Chief veterinarian/Director for animal health
22
Work Instruction for avian influenz a diagnosis in the Pacif ic
S P C L R D - AH P / P R IP P P
V e r s io n 2 6 N o v 0 9
 Insert name of laboratory here
Insert agency logo
here
AVIAN INFLUENZA DIAGNOSIS
Document Type: Work Instructions Page 1 of 2
Insert name and
Title: Collection of cloacal swabs for avian influenza diagnosis
address of Ministry
(for polymerase chain reaction)
here
Document No.: WI 10.2 Revision 1 Insert date

PURPOSE
 Minimize animal stress during swab collection.
 Collect cloacal swab from healthy and sick birds for polymerase chain reaction
testing.
 Effectively handle and store cloacal swab samples.

MATERIALS
□ Commercially available non-toxic ribonucleic acid (RNA) preservative
(RNAlater®) or guanidine buffer (Invitrogen®)
□ 2 ml snaplock or screw-cap microtube
□ Sterile cotton applicators (rayon, dacron or any plastic handled swab)
□ Masking tape
□ Clip board
□ Marking pens or any means of labeling
□ Cooler with ice packs

PROCEDURE
1. Place around 1.2 ml of RNA preservative or guanidine buffer in a microtube.
2. Insert sterile cotton applicator stick in the vent of the bird.
3. Gently rotate the stick, swabbing against the mucosal wall.
4. Make it deep enough to get at least 1 g of fecal sample.
5. Dip and agitate the collected cloacal swab in the preservative/buffer for 30 seconds.
6. Squeeze out the liquid by pressing the cotton swab at the sides of the tube.
7. Place one sample per tube.
8. Label the tubes.
9. Place in a sealable plastic bag with farm owner’s name, location and date of
collection.
10. Swabs can be transported to overseas laboratory or stored at room temperature for
2 weeks.
11. Fill in the applicable boxes in the Avian Influenza Sample Identification Worksheet
(Form 1.a or Form 1.b). Make sure it is assigned with the corresponding blood
sample label.

Prepared by: Name, laboratory staff Date prepared: Insert date here
Reviewed with: Name, laboratory manager Date reviewed: Insert date here
Authorized for use by: Name, Chief veterinarian/Director for animal health

23
Work Instruction for avian influenz a diagnosis in the Pacif ic
S P C L R D - AH P / P R IP P P
V e r s io n 2 6 N o v 0 9
 Insert name of laboratory here
Insert agency logo
here
AVIAN INFLUENZA DIAGNOSIS
Document Type: Work Instructions Page 1 of 2
Insert name and
Title: Collection of tracheal swab for avian influenza diagnosis
address of Ministry
(for virus isolation)
here
Document No.: WI 11.0 Revision 1 Insert date

PURPOSE
 Minimize animal stress during swab collection.
 Collect tracheal swab from live and dead birds for virus isolation.
 Effectively handle and store tracheal swab samples.

MATERIALS
□ Transport media
□ Sterile cotton applicators (rayon, dacron or any plastic handled swab)
□ Avian Influenza Sample Identification Worksheet
□ Masking tape
□ Clip board
□ Marking pens or any means of labeling
□ Cooler with ice packs

PROCEDURE
Live birds
1. The procedure requires close contact with possibly infected birds and requires
proper protective clothing.
2. The assistant holds the bird against his chest with the wings folded.
3. The individual taking the specimen pries open the beak with his/her free hand.
4. Holding the swab in the same fashion as holding a pencil, insert the swab into the
trachea.
5. Gently swab the wall.
6. Withdraw the swab with a gentle rotation and place in a virus transport medium
(VTM).
7. Dip the collected swab in VTM. Cloacal swab specimen can be pooled for up to five
samples per 3 ml of VTM provided the specimens are from the same species and
the same area.
8. Cut the plastic handle of the applicator stick to a length long enough to allow the
screw cap to close properly.
9. Leave the cotton with the cut handle of the applicator stick inside the VTM tube.
10. If several tracheal swabs are to be pooled in one tube, dip the collected swabs in
the VTM for at least 30 seconds.
11. Press cotton on the sides of the tube and properly dispose in a biohazard bag or in
an empty plastic bottle. Do not leave any cotton applicators inside the tube when
pooling specimens.
12. Label the tubes.

24
Work Instruction for avian influenz a diagnosis in the Pacif ic
S P C L R D - AH P / P R IP P P
V e r s io n 2 6 N o v 0 9
 Insert name of laboratory here
Insert agency logo
here
AVIAN INFLUENZA DIAGNOSIS
Document Type: Work Instructions Page 2 of 2
Insert name and
Title:
address of Ministry Collection of tracheal swab for avian influenza diagnosis
here
Document No.: WI 11.0 Revision 1 Insert date

13. Place in sealable plastic bag with farm owner’s name, location and date of
collection.
14. Fill in the applicable boxes in the Avian Influenza Sample Identification Worksheet
(Form 1.a or Form 1.b). Make sure it is assigned a corresponding blood/serum
label.
15. Immediately return the transport media with swab inside the cooler. If swabs are
not to be processed immediately for diagnosis, VTM may be stored accordingly:
 at 4oC (refrigeration temperature) for up to 4 days.
 for prolonged storage keep at -70oC (ultra low temperature freezer).
16. Bring transport media to the laboratory with the corresponding blood/serum
specimen and completed Sample Identification Worksheet.

Dead birds
1. During post-mortem examination (WI 6.0), remove lungs and trachea from carcass.
2. Hold the trachea in a gloved hand.
3. Insert the swab into its maximal length inside the trachea.
4. Vigorously swab the wall and place in a VTM.
5. Follow step # 7 above onwards.

Prepared by: Name, laboratory staff Date prepared: Insert date here
Reviewed with: Name, laboratory manager Date reviewed: Insert date here
Authorized for use by: Name, Chief veterinarian/Director for animal health

25
Work Instruction for avian influenz a diagnosis in the Pacif ic
S P C L R D - AH P / P R IP P P
V e r s io n 2 6 N o v 0 9
 Insert name of laboratory here
Insert agency logo
here
AVIAN INFLUENZA DIAGNOSIS
Document Type: Work Instructions Page 1 of 1
Insert name and
Title:
address of Ministry Use and maintenance of biosafety cabinet
here
Document No.: WI 12.0 Revision 1 Insert date

PURPOSE
 Use a biosafety cabinet (BSC) for safe handling of virus specimens.
 Maximize longevity and function of a BSC.

PROCEDURE
1. BSC certification must be performed
□ Before initial BSC use
□ After moving the BSC
□ After high efficiency particulate air (HEPA) filter replacement
□ At least annually
□ After internal BSC repairs
2. When cleaning the BSC, use a disinfectant that is appropriate for the infectious
agent being handled in the laboratory. Good general disinfectants include
iodophores, bleach and quaternary ammonium compounds.
3. Containers and equipment should be surface decontaminated and removed from the
BSC when work is completed.
4. Schedule uninterrupted work time. Place a sign on the door that says work in the
BSC is being conducted.
5. Place the necessary materials in the BSC before beginning work.
6. Move arms in and out of the BSC slowly, perpendicular to the BSC’s face opening.
7. Other activity — such as opening and closing doors, or individuals walking past the
BSC — can cause air curtain disruption.
8. All materials should be placed as far back in the BSC as practical (e.g. 4–6 inches
back from front grille).
9. Work should flow from the clean to the contaminated area across the work surface.
10. A final surface decontamination of all BSC work surfaces should be performed at the
end of the day. This should include the BSC's sides and back, and the interior of the
glass.

Prepared by: Name, laboratory staff Date prepared: Insert date here
Reviewed with: Name, laboratory manager Date reviewed: Insert date here
Authorized for use by: Name, Chief veterinarian/Director for animal health
26
Work Instruction for avian influenz a diagnosis in the Pacif ic
S P C L R D - AH P / P R IP P P
V e r s io n 2 6 N o v 0 9
 Insert name of laboratory here
Insert agency logo
here
AVIAN INFLUENZA DIAGNOSIS
Document Type: Work Instructions Page 1 of 1
Insert name and
Title:
address of Ministry Handling spills inside the laboratory
here
Document No.: WI 13.0 Revision 1 Insert date

PURPOSE
 Minimize hazards and exposure of laboratory staff and immediate environment to
any laboratory spills.

MATERIAL
□ Disposable absorbent material
□ Disinfectant
□ Biohazard disposal bag

PROCEDURE
1. Carefully cover the spill with absorbent material (spill pads, etc.).
2. Gently pour 1:10 solution of 5.25% sodium hypochlorite or other appropriate
disinfectant over the absorbent material.
3. Let sit for at least 20–30 minutes depending on the recommended contact time for
the disinfectant.
4. For large spills in the biosafety cabinet involving liquids going down the front or back
grille(s):
o Ensure petcock is closed
o Pour disinfectant onto work surface and through grille(s)
o Absorb disinfectant on work deck and place in biohazard waste
o Empty drain pan into collection vessel containing disinfectant
5. Record activity in laboratory log book.

Prepared by: Name, laboratory staff Date prepared: Insert date here
Reviewed with: Name, laboratory manager Date reviewed: Insert date here
Authorized for use by: Name, Chief veterinarian/Director for animal health

27
Work Instruction for avian influenz a diagnosis in the Pacif ic
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V e r s io n 2 6 N o v 0 9
 Insert name of laboratory here
Insert agency logo
here
AVIAN INFLUENZA DIAGNOSIS
Document Type: Work Instruction Page 1 of 1
Insert name and
Title: Packaging of whole animal (poultry) using double bag
address of Ministry
method
here
Document No.: WI 14.0 Revision 1 Insert date

PURPOSE
 Minimize the spread of infectious disease during the transport of possibly infected
dead birds to the local laboratory.

MATERIALS
□ Personal protective equipment (PPE)
□ Plastic bag (ideally of biohazard quality)
□ Sealing tape
□ Cooler with ice packs

PROCEDURE
1. Wear appropriate PPE.
2. Invert a plastic bag around your gloved hand.
3. Surround the animal with the bag so that you do not directly touch the animal.
4. Seal the bag tightly with sealing tape or by tying a knot.
5. Insert sealed bag inside another plastic bag.
6. Seal the second bag tightly with sealing tape or by tying a knot.
7. Place in a cooler with an ice pack.
8. Record in the sample collection Sample Identification Worksheet (Form 1.a or 1.b).
9. Immediately bring to the laboratory.
10. Store in refrigeration temperature (22–25oC) and examine as soon as possible.

Prepared by: Name, laboratory staff Date prepared: Insert date here
Reviewed with: Name, laboratory manager Date reviewed: Insert date here
Authorized for use by: Name, Chief veterinarian/Director for animal health

28
Work Instruction for avian influenz a diagnosis in the Pacif ic
S P C L R D - AH P / P R IP P P
V e r s io n 2 6 N o v 0 9
 Insert name of laboratory here
Insert agency logo
here
AVIAN INFLUENZA DIAGNOSIS
Document Type: Work Instruction Page 1 of 1
Insert name and
Title:
address of Ministry Shipping specimen to overseas laboratories
here
Document No.: WI 15.0 Revision 1 Insert date

PURPOSE
 Transport suitable animal (biological) specimen classified as UN 3373 to overseas
laboratory for disease diagnosis.

MATERIALS
□ Packaging materials
□ Shipping documents

PROCEDURE
1. Inform receiving laboratory of the shipment. Provide an advanced list of specimens
and other necessary information.
2. Inform the courier service provider about the shipment.
3. Prepare all necessary documentations (shipping protocol template).
4. Package the specimen (WI 32.0) about an hour before the scheduled pick up by
courier. Attach all necessary documents in the packaging of the specimen (WI 16.0).
5. Forward the packaged specimen with necessary documentations to courier service
provider.
6. Update receiving laboratory of the status of shipping, final list of specimen and
expected arrival date.
7. Record activity in laboratory log book.
8. Follow up results from receiving laboratory.
9. Record results in laboratory log book.

Prepared by: Name, laboratory staff Date prepared: Insert date here
Reviewed with: Name, laboratory manager Date reviewed: Insert date here
Authorized for use by: Name, Chief veterinarian/Director for animal health

29
Work Instruction for avian influenz a diagnosis in the Pacif ic
S P C L R D - AH P / P R IP P P
V e r s io n 2 6 N o v 0 9
 Insert name of laboratory here
Insert agency logo
here
AVIAN INFLUENZA DIAGNOSIS
Document Type: Work Instruction Page 1 of 1
Insert name and
Title: Packaging of specimen for transport to overseas
address of Ministry
laboratory
here
Document No.: WI 16.0 Revision 1 Insert date

PURPOSE
 Properly package suitable serum, swab and tissue (biological) specimen classified
as UN 3373 for transport to overseas animal health laboratories.

MATERIALS
□ Personal protective equipment (PPE)
□ Bio boxes including:
o Primary receptacle
o Secondary receptacle
o Outer packaging
o Ice packs (if necessary)
□ Absorbent and cushioning material
□ Shipping documents (shipping protocol template)

PROCEDURE
1. Wear appropriate PPE before handling the specimen.
2. Ensure that all primary receptacles containing the specimen are well labeled
including specimen identifications.
3. Secure cap of receptacle using sealing tape or Parafilm® tape.
4. Wrap primary receptacle in absorbent material enough to absorb entire contents in
case of leaks.
5. Place primary receptacle in secondary receptacle.
6. Ensure that total volume of specimen does not exceed the capacity of the
containers.
7. Attach itemized list of contents in the secondary receptacle (shipping protocol
template).
8. Cushion the secondary receptacle and place in outer packaging.
9. Securely arrange ice packs (if necessary) around the secondary receptacle.
10. Ensure that the total content of the outer packaging does not exceed 4 L or 4 kg.
11. Place required markings and labels appropriately (shipping protocol template).
12. Attach two sets of documentation including list of contents, import permits and other
documents as required (shipping protocol template).

Prepared by: Name, laboratory staff Date prepared: Insert date here
Reviewed with: Name, laboratory manager Date reviewed: Insert date here
Authorized for use by: Name, Chief veterinarian/Director for animal health

30
Work Instruction for avian influenz a diagnosis in the Pacif ic
S P C L R D - AH P / P R IP P P
V e r s io n 2 6 N o v 0 9
 Insert name of laboratory here
Insert agency logo
here
AVIAN INFLUENZA DIAGNOSIS
Document Type: Work Instruction Page 1 of 1
Insert name and
Title:
address of Ministry Proper documentation for shipping specimen overseas
here
Document No.: WI 17.0 Revision 1 Insert date

PURPOSE
 Provide complete documentation for the efficient transport of animal (biological)
specimen to overseas laboratory for disease diagnosis.

MATERIALS
□ Packaging list
□ Import and export permit
□ Import and export declaration (if required)

PROCEDURE
1. Read the Pathogen Safety Data Sheet (PSDS) for avian influenza
(www.inspection.gc.ca/english/sci/bio/anima/disemala/avflue.shtml)
2. Before packaging the specimen (an hour before expected transport), ensure that all
documents are ready.
3. Ensure that the primary receptacle is labeled appropriately.
4. The document required in the secondary receptacle is as follows:
□ Specimen list (shipping protocol template)
5. Ensure that two sets of the following documents are attached in the outer packaging:
□ Specimen list (shipping protocol template)
□ Import permit (to be provided by receiving laboratory)
□ Airway bill (to be provided by freight service provider)
6. Provide the following documents to the courier service provider:
□ Completed sender’s information sheet (to be provided by courier)
□ Specimen list
□ Import permit

Prepared by: Name, laboratory staff Date prepared: Insert date here
Reviewed with: Name, laboratory manager Date reviewed: Insert date here
Authorized for use by: Name, Chief veterinarian/Director for animal health

31
Work Instruction for avian influenz a diagnosis in the Pacif ic
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V e r s io n 2 6 N o v 0 9
 Insert name of laboratory here
Insert agency logo
here
AVIAN INFLUENZA DIAGNOSIS
Document Type: Work Instruction Page 1 of 1
Insert name and
Title:
address of Ministry Preparation of Alsever’s solution (anticoagulant)
here
Document No.: WI 18.0 Revision 1 Insert date

REAGENTS

Reagent Quantity Specifications

Citric acid (C6H5O7) 0.55 g
Glucose (C4H12O6) 20.50 g
Sodium chloride (NaCl) 4.20 g
Sodium citrate (Na3C6H5O7) 8.0 g
Distilled water 1L
Sodium hydroxide (NaOH) 1N
Hydrogen chloride (HCl) 1N

MATERIALS
□ Analytical balance □ Graduated cylinder
□ Weighing boats □ pH meter
□ Measuring spoons □ Autoclave
□ Erlenmeyer flasks □ Dispensing bottles
□ Marking pen or any means of
labeling

PROCEDURE
1. Measure out a volume of distilled water that is a little less than the desired final
volume.
2. Dissolve all reagents in the measured distilled water.
3. Measure pH. Desired pH is 6.1 + 0.1.
4. Adjust pH if needed. If pH is below 6.0 add 1N of NaOH; if above 6.2 adjust with 1N
HCl.
5. Add distilled water to make up 1 L solution.
6. Dispense in small volumes.
7. Autoclave for 15 minutes at 121 oC.
8. Allow to cool.
9. Label bottles including date and lab staff initials.
10. Record activity in laboratory log book.

Prepared by: Name, laboratory staff Date prepared: Insert date here
Reviewed with: Name, laboratory manager Date reviewed: Insert date here
Authorized for use by: Name, Chief veterinarian/Director for animal health

32
Work Instruction for avian influenz a diagnosis in the Pacif ic
S P C L R D - AH P / P R IP P P
V e r s io n 2 6 N o v 0 9
 Insert name of laboratory here
Insert agency logo
here
AVIAN INFLUENZA DIAGNOSIS
Document Type: Work Instruction Page 1 of 2
Insert name and
Title: Preparation of virus transport medium (VTM) for avian
address of Ministry
influenza testing
here
Document No.: WI 19.0 Revision 1 Insert date

REAGENTS
Reagent Quantity Specifications
Penicillin powder for injection 1 M IU
Streptomycin powder for injection 1g
Fungizone 10 ml 250 µl/ml
Sodium bicarbonate (NaHCO3) 7 ml (max)
0.5% gelatin-MEM (WI 20.0) 500 ml
Sterile distilled water 5.5 ml

MATERIALS
□ Sterile screw-cap tubes (5 ml capacity)
□ Sterile screw-cap tubes (2 ml capacity)
□ Tube stand (for 5-ml tubes)
□ Glass pipette (at least 10 ml capacity)
□ Rubber bulb aspirator or electronic multistep pipettor
□ Syringe or micropipettor (1,000 µl capacity) with sterile tips

PROCEDURE
1. Prepare aseptically in a biosafety cabinet.
2. Using a sterile syringe or micropipettor, dissolve 1 million IU of penicillin injectable
powder in 2 ml sterile distilled water.
3. Using a sterile syringe or micropipettor, dissolve 1 g of streptomycin injectable
powder in 3.5 ml sterile distilled water to make up 4 ml.
4. Aliquot streptomycin solution in 1.0 ml volumes using 2 ml tubes.
5. Store unused streptomycin solutions in freezer.
6. Mix 1 M IU of penicillin solution, 1 ml of streptomycin solution and 10 ml of
Fungizone 250 µl/ml in 0.5% gelatin-MEM (WI 20.0) to make up 500 ml solution.
7. Measure pH. Desired pH is 7.2–7.4.
8. If pH is below the desired amount, adjust by slowly adding drops of 7% NaHCO 3.
9. Dispense in 3.0 ml volumes using 5 ml tubes.
10. Store in clean freezer (at -20oC). Alternatively, VTM can be stored at room
temperature (22–25oC) or refrigeration temperature (4 oC) for 1–2 days only.

33
Work Instruction for avian influenz a diagnosis in the Pacif ic
S P C L R D - AH P / P R IP P P
V e r s io n 2 6 N o v 0 9
 Insert name of laboratory here
Insert agency logo
here
AVIAN INFLUENZA DIAGNOSIS
Document Type: Work Instruction Page 2 of 2
Insert name and
Title: Preparation of virus transport medium (VTM) for avian
address of Ministry
influenza testing
here
Document No.: WI 19.0 Revision 1 Insert date

11. Test for contamination by placing 1–2 tubes of aliquots at room temperature (22–
25oC) or at 37oC for 24 hours. A yellowish change in color and turbidity indicates
contamination.

*Note: When frozen, transport medium is yellow in color. When thawed out, medium should
have the original pink color, discard if yellow and turbid.

Prepared by: Name, laboratory staff Date prepared: Insert date here
Reviewed with: Name, laboratory manager Date reviewed: Insert date here
Authorized for use by: Name, Chief veterinarian/Director for animal health
34
Work Instruction for avian influenz a diagnosis in the Pacif ic
S P C L R D - AH P / P R IP P P
V e r s io n 2 6 N o v 0 9
 Insert agency logo
Insert name of laboratory here
here
AVIAN INFLUENZA DIAGNOSIS
Document Type: Work Instruction Page 1 of 1
Insert name and
Title: Preparation of 0.5% gelatin in minimum essential
address of Ministry
medium (MEM)
here
Document No.: WI 20.0 Revision 1 Insert date

REAGENTS

Reagent Quantity Specifications

Minimum essential medium powder (MEM) 9.39 g
Nutrient gelatin 0.5 g
Distilled water 1L

MATERIALS
□ Autoclave
□ Erlenmeyer flask (50–2,000 ml capacity)
□ Hot plate with magnetic stirrer
□ Microwave (optional)
□ Analytical balance
□ Weighing boats
□ Measuring spoons
□ Reagent bottle (500 ml capacity)
□ Refrigerator

PROCEDURE
1. Measure out a volume of distilled water that is less than the desired final volume.
2. Dissolve 9.39 g of MEM powder in distilled water by stirring.
3. Place some of this solution in a smaller beaker/flask and stir 0.5 g of nutrient gelatin.
4. Heat in microwave oven or on a hot plate for 20 seconds or until solution turns clear
yellow. Avoid boiling.
5. Add distilled water to make a final volume of 1 L.
6. Dispense in 500 ml volumes.
7. Autoclave for 15 minutes at 121oC.
8. Label bottle, including date and lab staff initials.
9. Cool and store at 4oC.
10. Record activity in laboratory log book.

Prepared by: Name, laboratory staff Date prepared: Insert date here
Reviewed with: Name, laboratory manager Date reviewed: Insert date here
Authorized for use by: Name, Chief veterinarian/Director for animal health

35
Work Instruction for avian influenz a diagnosis in the Pacif ic
S P C L R D - AH P / P R IP P P
V e r s io n 2 6 N o v 0 9
 Insert name of laboratory here
Insert agency logo
here
AVIAN INFLUENZA DIAGNOSIS
Document Type: Work Instruction Page 1 of 2
Insert name and
Title: Preparation of agar gel for avian influenza agar gel
address of Ministry
immunodiffusion (AGID) testing
here
Document No.: WI 21.0 Revision 1 Insert date

REAGENTS

Reagent Quantity Specifications

Agarose 9g Type II medium grade (Sigma Chemical Co.
Cat # A-6877 or equivalent)
Sodium chloride (NaCl) 80 g
Phosphate buffered saline 1L 0.01 M, pH 7.2–7.4
(PBS)

MATERIALS
□ Analytical balance
□ Weighing boats
□ Laboratory spatula or laboratory spoons
□ Autoclave (clean)
□ Hot plate / stirrer
□ Top loading balance (capable of measuring 0.1 g differences)
□ Glass pipette (for loading agar gel to glass slides)
□ Glass slides or Petri dish (100 x 15 mm or 60 x 15 mm)
□ Erlenmeyer flasks 1.5–2 L
□ Graduated cylinders
□ Dispensing bottles (for storing excess agar gel)
□ Gel punch

PROCEDURE
Gel plates
1. Mix the three reagents together in an Erlenmeyer flask.
2. Dissolve the mixture by heating on a hot plate using a magnetic spin bar.
3. Heat until mixture becomes homogenous, swirling once in a while to prevent boiling.
4. Autoclave at 121oC for 15 minutes.
5. Allow the agar to cool to room temperature (approximately 25 oC) for 10–15 minutes
before dispensing into plates.
6. Dispense 15–17 ml of melted agar to 100 x 15 mm Petri plates or 5–6 ml to a 60 x
15 mm plate using a 25 ml pipette. The agar’s thickness should be approximately 2–
3 mm.

36
Work Instruction for avian influenz a diagnosis in the Pacif ic
S P C L R D - AH P / P R IP P P
V e r s io n 2 6 N o v 0 9
 Insert name of laboratory here
Insert agency logo
here
AVIAN INFLUENZA DIAGNOSIS
Document Type: Work Instruction Page 2 of 2
Insert name and
Title:
address of Ministry Preparation of agar gel for avian influenza AGID testing
here
Document No.: WI 21.0 Revision 1 Insert date

7. Allow plates to cool in a relatively dust-free environment with lids off to permit the
escape of water vapor. The lids should be let off for at least 15 minutes but not
longer than 30 minutes, as electrolytic concentration of the agar may change
due to evaporation and adversely affect formation of precipitin lines.
8. Using a gel punch template, cut the agar after it has hardened. Up to seven template
patterns can be cut in a 100 x 15 mm plate and two patterns for a 60 x 15 mm plate.
9. Remove the agar plugs.
10. Record activity in laboratory log book.

Gel slides
1. Follow steps 1–4 in preparing gel plates.
2. Place a 75 mm x 25 mm glass slide in a clean flat surface and a relatively dust-free
environment.
3. Aspirate at least 5 ml of liquid agar using a glass pipette.
4. Dispense around 5 ml of liquid agar, covering the entire surface of the glass slide.
5. Allow the agar to solidify.
6. Create two sets of wells per agar slide.
7. Record the activity in laboratory log book.

Additional notes:
 Agar plates and slides should be used within 24 hours after they are poured.
 Agar can be dispensed into small quantities (daily working volumes) before
autoclaving. Store in airtight containers at 4 oC for several weeks. Gels are melted in
a water bath and dispensed into plates as needed.

Prepared by: Name, laboratory staff Date prepared: Insert date here
Reviewed with: Name, laboratory manager Date reviewed: Insert date here
Authorized for use by: Name, Chief veterinarian/Director for animal health

37
Work Instruction for avian influenz a diagnosis in the Pacif ic
S P C L R D - AH P / P R IP P P
V e r s io n 2 6 N o v 0 9
 Insert name of laboratory here
Insert agency logo
here
AVIAN INFLUENZA DIAGNOSIS
Document Type: Work Instruction Page 1 of 1
Insert name and
Title:
address of Ministry Phosphate buffered saline (PBS) preparation
here
Document No.: WI 22.0 Revision 1 Insert date

REAGENTS

Reagent Quantity Specifications

Sodium chloride (NaCl) 8.0 g
Potassium chloride (KCl) 0.2 g
Disodium hydrogen phosphate (Na 2HPO4)* 1.15 g anhydrous
Potassium dihydrogen phosphate (KH2PO4) 0.2 g
Distilled water, to make 1L
*same as sodium phosphate, dibasic (anhydrous) or disodium hydrogen orthophosphate (anhydrous)

MATERIALS
□ Analytical balance
□ Weighing boats
□ Measuring spoons
□ Erlenmeyer flask
□ Autoclave
□ Reagent bottles
□ Magnetic stirrer or stirring rod
□ pH meter

PROCEDURE
1. Measure out an amount of distilled water that is less than the required volume.
2. Add reagents in the above order, dissolving each thoroughly before adding the next.
3. Add distilled water to make the final volume.
4. Check the pH and adjust accordingly to pH 7.2–7.4 by using HCl (to lower the pH) or
saturated NaCl (to increase pH).
5. Autoclave at 121oC for 20 minutes.
6. Allow to cool to room temperature.
7. Label bottle with date and lab staff initials.
8. Store at 4oC.
9. Record activity in laboratory log book.

Prepared by: Name, laboratory staff Date prepared: Insert date here
Reviewed with: Name, laboratory manager Date reviewed: Insert date here
Authorized for use by: Name, Chief veterinarian/Director for animal health

38
Work Instruction for avian influenz a diagnosis in the Pacif ic
S P C L R D - AH P / P R IP P P
V e r s io n 2 6 N o v 0 9
 Insert name of laboratory here
Insert agency logo
here
AVIAN INFLUENZA DIAGNOSIS
Document Type: Work Instructions Page 1 of 2
Insert name and ®
Title: Screening test for avian influenza using Anigen avian
address of Ministry
inlfuenza rapid test kit
here
Document No.: WI 23.0 Revision 1 Insert date

PURPOSE
 Initial screening test for avian influenza.

MATERIALS

□ Anigen avian influenza A rapid test kit

□ 70% alcohol or any disinfectant
□ Biohazard disposal bag
□ Disposable kitchen towel or absorbent paper

PROCEDURE
1. Collect trachea or cloacal swab (WI 10.0 and WI 11.0) specimen using sterile
applicator stick provided in the kit.
2. Dip applicator stick (with swab) to the assay diluent provided in the kit, stirring for
about 60 seconds.
3. Prepare the laboratory working table. If to be performed in the field, select a flat
surface in an area with a minimal amount of people.
4. Prepare the working table by cleaning and disinfecting the surface with 70% alcohol
or any kind of disinfectant.
5. Spread a clean piece of disposable kitchen towel or any absorbent paper on top of
the working table. This will absorb any spills from the separation process.
6. Prepare a plastic bag (preferably of biohazard quality) for disposal of used materials.
7. On top of the absorbent paper, place the specimen (in assay diluent) and needed
rapid test kit (RTK) materials.
8. Label RTK test plates. Place back on top of absorbent mat.
9. Aspirate enough specimens, using the disposable plastic dropper included in the kit.
10. Place five drops of specimen at the sample hole of the RTK test plate.
11. Allow the test plate to stand for 20–30 minutes.

39
Work Instruction for avian influenz a diagnosis in the Pacif ic
S P C L R D - AH P / P R IP P P
V e r s io n 2 6 N o v 0 9
 Insert name of laboratory here
Insert agency logo
here
AVIAN INFLUENZA DIAGNOSIS
Document Type: Work Instructions Page 1 of 2
Insert name and ®
Title: Screening test for avian influenza using Anigen avian
address of Ministry
influenza rapid test kit
here
Document No.: WI 23.0 Revision 1 Insert date

12. Read and interpret results as follows:

C - line T - line Result Action

Yes No Negative Report

Yes Yes Positive Report & confirm

No No Invalid Repeat test

No Yes Invalid Repeat test

13. Record results in Rapid Test Kit Worksheet (Form 6).

Prepared by: Name, laboratory staff Date prepared: Insert date here
Reviewed with: Name, laboratory manager Date reviewed: Insert date here
Authorized for use by: Name, Chief veterinarian/Director for animal health

40
Work Instruction for avian influenz a diagnosis in the Pacif ic
S P C L R D - AH P / P R IP P P
V e r s io n 2 6 N o v 0 9
 Insert name of laboratory here
Insert agency logo
here
AVIAN INFLUENZA DIAGNOSIS
Document Type: Work Instruction Page 1 of 2
Insert name and ®
Title: Using IDEXX ELISA avian influenza virus antibody test
address of Ministry
kit Flockchek MultiS-Screen Ab
here
Document No.: WI 24.0 Revision 1 Insert date

PURPOSE
 Measure the relative level of avian influenza type A antibody in serum samples from
a chicken, turkey, duck, ostrich, goose, horse or pig.

MATERIALS
□ IDEXX ELISA avian influenza virus antibody test kit
□ ELISA Worksheet
□ ELISA reader, 650 nm filter
□ ELISA washer (optional)
□ Single-channel micropipettor with corresponding tips (1–20 µl capacity)
□ Multi-channel micropipettor with corresponding tips (20–300 µl capacity)
□ Reagent reservoir
□ Paper towel
□ 96 well microtiter plates
□ Distilled water

PROCEDURE
1. Allow reagents and ELISA plate(s) to come to room temperature.
2. Dilute wash concentrate 1:10 with Milli-Q water before use (e.g. 30 ml of concentrate
plus 270 ml water is sufficient for one plate).
3. Arrange test sera on racks and record specimen identification positions on the
ELISA Worksheet (Form 3).
4. Label a blank microtiter plate as plate 1.
5. Prepare 1:10 dilution of test serum and sample diluents in using plate 1 by mixing 15
µl of test serum with 135 µl of sample diluents.
6. Change tips between each serum specimen.
7. When all test sera are diluted in the plates, mix by gently tapping on the sides of the
plate.
8. In the IDEXX ELISA test plate, dispense 100 µl of undiluted negative control into
wells A1 and B1.
9. Dispense 100 µl of undiluted positive control into wells of C1 and D1.
10. Dispense 100 µl of serum samples from plate 1 (diluted 1:10) into corresponding
wells of the IDEXX ELISA test plate from E1 to H12.
11. Incubate for 60 minutes at room temperature (18–25oC).

41
Work Instruction for avian influenz a diagnosis in the Pacif ic
S P C L R D - AH P / P R IP P P
V e r s io n 2 6 N o v 0 9
 Insert name of laboratory here
Insert agency logo
here
AVIAN INFLUENZA DIAGNOSIS
Document Type: Work Instruction Page 2 of 2
Insert name and ®
Title: Using IDEXX ELISA Avian Influenza virus antibody test
address of Ministry
kit Flockchek MultiS-Screen Ab
here
Document No.: WI 24.0 Revision 1 Insert date

12. At the end of the incubation period, aspirate the contents of the plate in a pan with
disposable absorbent paper.
13. Tap the test plates in a dry disposable absorbent paper to remove remaining
droplets.
14. Wash each well with 300 µl of diluted wash solution five times manually or using an
automated plate washer.
15. Dispense 100 µl of anti-AI horseradish peroxidase conjugate into all wells.
16. Incubate for 30 minutes at room temperature (18–25oC).
17. Repeat wash cycle (steps 12–14).
18. Dispense 100 µl of tetramethylbenzidine (TMB) substrate solution into all wells.
19. Incubate for 15 minutes at room temperature (18–25oC)..
20. Add 100 µl of stop solution into all wells.
21. Immediately measure absorbance at 650 nm.
22. Print and record results in ELISA Worksheet (Form 3).

Prepared by: Name, laboratory staff Date prepared: Insert date here
Reviewed with: Name, laboratory manager Date reviewed: Insert date here
Authorized for use by: Name, Chief veterinarian/Director for animal health

42
Work Instruction for avian influenz a diagnosis in the Pacif ic
S P C L R D - AH P / P R IP P P
V e r s io n 2 6 N o v 0 9
 Insert agency logo
Insert name of laboratory here
here
AVIAN INFLUENZA DIAGNOSIS
Document Type: Work Instruction Page 1 of 2
Insert name and Title: Agar gel immunodiffusion test (AGID)/Agar gel
address of Ministry precipitation test (AGPT) procedure for serum antibody
here detection
Document No.: WI 25.0 Revision 1 Insert date

PURPOSE
 Detect circulating antibodies sensitive to type A influenza.
 Identify isolates of type A influenza viruses.

MATERIALS
□ Avian influenza AGID antigen □ Immunodiffusion template cutter
□ AI AGID positive control antiserum □ Closed chamber (for incubation)
□ Agar plates □ Damp towel
□ Sample Identification Worksheet (Form 1.a or 1.b)
□ Microscope illuminator or other appropriate light source for viewing results

PROCEDURE
1. Record the sample identification, reagent lot numbers, test date, and identification of
personnel performing and reading the test.
2. Using a gel punch template, cut the agar after it has hardened. Up to seven template
patterns can be cut in a 100 x 15 mm plate and two patterns for a 60 x 15 mm plate
and 75 x 15 mm glass slides.
3. Remove the agar plugs.
4. Place 25 µl of test serum in alternate peripheral wells
5. Place 25 µl reference serum/positive control serum in the remaining three peripheral
wells. This arrangement provides a positive control line on each side of the test
serum thereby facilitating accurate determination of lines of identity. Three samples
can be tested in each pattern.
6. Place 25 µl of antigen (Ag) in the center well. Serum or antigen should not run on top
of the agar.
7. Cover each plate after filling all wells.
8. Incubate the plate at room temperature (approximately 25oC) in a closed chamber to
prevent evaporation.
9. Humidity should be provided by placing a damp paper towel in the incubation
chamber. Temperature changes during migration may lead to artifacts.
10. Read the results after 24 hours over a beam of light against a dark background. If
precipitin lines are absent, continue incubation up to 48 hours.
11. Record your results in the Agar Gel Immunodiffusion test (AGID)/ Agar Gel
Precipitation test (AGPT) Worksheet (Form 4.a or Form 4.b).

43
Work Instruction for avian influenz a diagnosis in the Pacif ic
S P C L R D - AH P / P R IP P P
V e r s io n 2 6 N o v 0 9
 Insert name of laboratory here
Insert agency logo
here
AVIAN INFLUENZA DIAGNOSIS
Document Type: Work Instruction Page 2 of 2
Insert name and Title: Agar gel immunodiffusion test (AGID)/ Agar gel
address of Ministry precipitation test (AGPT) procedure for detection of
here serum antibody against avian influenza
Document No.: WI 25.0 Revision 1 Insert date

INTERPRETATION OF RESULTS
Negative reaction. The control lines continue into the test sample well without bending or
with slight bend away from the antigen well and toward the positive control serum
well.
Positive reaction. The control lines join with, and form a continuous line, with the line
between the test serum and antigen. The location of the line will depend on the
concentration of antibodies in the test serum
Weak positive reaction. It may not produce a complete line between the antigen and test
serum but may only cause a tip or end of the control line to bend inward toward the
test well.
Non-specific lines. Lines occasionally observed between the antigen and test serum
well. The control lines will pass through the non-specific line and will continue on
into the test serum well. It does not form a continuous line with positive control
lines.

Prepared by: Name, laboratory staff Date prepared: Insert date here
Reviewed with: Name, laboratory manager Date reviewed: Insert date here
Authorized for use by: Name, Chief veterinarian/Director for animal health

44
Work Instruction for avian influenz a diagnosis in the Pacif ic
S P C L R D - AH P / P R IP P P
V e r s io n 2 6 N o v 0 9
 Insert name of laboratory here
Insert agency logo
here
AVIAN INFLUENZA DIAGNOSIS
Document Type: Work Instruction Page 1 of 1
Insert name and
Title:
address of Ministry Preparation of chicken red blood cells for HA-HI test
here
Document No.: WI 26.0 Revision 1 Insert date

PURPOSE
 Prepare red blood cells (RBC) for the adsorption of test sera for non-specific
agglutinins.
 Prepare 0.5% chicken RBC for HA-HI test.

MATERIALS AND REAGENTS

□ Phosphate buffered saline — □ Microhematocrit tube □ Working table
PBS (WI 19.0)
□ Alsever’s solution (WI 15.0) □ Hematocrit centrifuge
□ Centrifuge □ 50 ml screw-cap tubes

PROCEDURE
1. Collect blood from any chickens that are antibody-free to avian orthomyxoviruses or
paramyxoviruses
2. Mix collected blood with Alsever’s solution. The minimum ratio of blood to
Alsever’s solution is 1:4.
3. Re-suspend blood in Alsever’s solution by gentle agitation.
4. Decant required volume into a clean 50 ml centrifuge tube. Wash only the required
volume of cells as they will have a maximum usable life of 1 week once in
phosphate buffered saline (PBS).
5. Fill the tube with PBS.
6. Centrifuge at 1,500 g (approximately 1,200 rpm) for 5 minutes.
7. Decant supernatant.
8. Refill tube with PBS.
9. Repeat steps 4 and 5 a minimum of three times. At the conclusion of the final wash
discard the supernatant.
10. Make cells up to a final volume of 5 ml with PBS.
11. Re-suspend by gentle agitation.
12. Collect wash cells in a microhematocrit centrifuge tube.
13. Centrifuge wash cells in a hematocrit centrifuge for 5 minutes.
14. Measure packed cell volume (PCV).
15. Adjust the concentration of RBC to 10%.
Formula: Final volume = (PCV / 10 ) x 5
16. Store washed and standardized RBC at 4oC.
17. Prepare 0.5% chicken RBC. For one plate, add 250 µl of the 10% chicken RBC in
4.75 ml PBS.

Prepared by: Name, laboratory staff Date prepared: Insert date here
Reviewed with: Name, laboratory manager Date reviewed: Insert date here
Authorized for use by: Name, Chief veterinarian/Director for animal health

45
Work Instruction for avian influenz a diagnosis in the Pacif ic
S P C L R D - AH P / P R IP P P
V e r s io n 2 6 N o v 0 9
 Insert name of laboratory here
Insert agency logo
here
AVIAN INFLUENZA DIAGNOSIS
Document Type: Work Instruction Page 1 of 1
Insert name and
Title: Adsorption of test serum with standardized chicken
address of Ministry
RBC for HA-HI test
here
Document No.: WI 27.0 Revision 1 Insert date

PURPOSE
 Remove non-specific agglutinins from serum samples.
 Make a 1:4 dilution of test serum for HI test.

MATERIALS AND REAGENTS

□ Specific pathogen free (SPF) chicken red blood cells (RBC)
□ 2 ml microcentrifuge tubes
□ 4oC incubator
□ Single-channel micropipette with corresponding tips (100–400 µl, 10–30 µl)
□ Bench top centrifuge

PROCEDURE
1. In a 1.5-ml microtube, mix 100 µl of serum and 300 µl of PBS.
2. Add 25 µl of packed, washed chicken RBC.
3. Shake samples to re-suspend the cells.
4. Incubate samples at +4oC or on ice for 30–60 minutes
5. Intermittently shake samples every 10 minutes to re-suspend the cells.
6. Centrifuge the samples at 1,000 g for 10 minutes
7. Decant the supernatant. The serum is tested as a 1:4 dilution of the original serum.

* Note: The RBC used to adsorb sera must be the same RBC that will be used in the HA-HI
test.

Prepared by: Name, laboratory staff Date prepared: Insert date here
Reviewed with: Name, laboratory manager Date reviewed: Insert date here
Authorized for use by: Name, Chief veterinarian/Director for animal health

46
Work Instruction for avian influenz a diagnosis in the Pacif ic
S P C L R D - AH P / P R IP P P
V e r s io n 2 6 N o v 0 9
 Insert name of laboratory here
Insert agency logo
here
AVIAN INFLUENZA DIAGNOSIS
Document Type: Work Instruction Page 1 of 1
Insert name and
Title: Treatment of test serum with receptor destroying
address of Ministry
enzymes (RDE)
here
Document No.: WI 28.0 Revision 1 Insert date

PURPOSE
 Inactivation of non-specific agglutinins which can contribute to false negative results.

MATERIALS AND REAGENTS

□ Lyophilized receptor destroying enzyme (RDE)
□ Physiological saline
□ Single-channel micropipette with corresponding tips (100–500 µl)
□ 37oC and 57oC incubator

PROCEDURE
1. Reconstitute the RDE with physiological saline (0.85% NaCl) according to label
instructions.
2. Aliquot and store at -20oC (freezer temperature) to -70oC (ultra low freezer).
3. Add 1 volume of serum to 3 volumes of RDE (0.9 ml RDE + 0.3 ml serum).
4. Incubate overnight in a 37oC water bath.
5. Inactivate in a 56oC water bath for 30 minutes. The serum is retested for
hemagglutination-inhibition (HI) as 1:5 dilution of the original.
6. Record your activity in laboratory logbook.

Prepared by: Name, laboratory staff Date prepared: Insert date here
Reviewed with: Name, laboratory manager Date reviewed: Insert date here
Authorized for use by: Name, Chief veterinarian/Director for animal health

47
Work Instruction for avian influenz a diagnosis in the Pacif ic
S P C L R D - AH P / P R IP P P
V e r s io n 2 6 N o v 0 9
 Insert name of laboratory here
Insert agency logo
here
AVIAN INFLUENZA DIAGNOSIS
Document Type: Work Instruction Page 1 of 1
Insert name and
Title:
address of Ministry Opening a glass ampoule of avian influenza antigen
here
Document No.: WI 29.0 Revision 1 Insert date

PURPOSE
 Avoid harm to the technician and contamination to the reference antigen during
opening of glass ampoule.

MATERIALS
□ Glass cutter □ Masking tape
□ Cold block □ Sterile distilled water
□ Disposable absorbent towels □ Screw cap tube
□ Parafin film □ Sharps disposal unit
□ Micropipette with tips 1,000 µl capacity or syringe 3 ml capacity

PROCEDURE
1. Disinfect biosafety cabinet (BSC).
2. Prepare the materials needed for opening the glass ampoule inside the BSC.
3. Wear personal protective equipment.
4. Remove label of AI antigen glass ampoule. Set aside.
5. Put masking tape around the middle area of the ampoule.
6. Tap ampoule gently to collect material at the bottom end.
7. Place glass ampoule on top of ice block covered with absorbent towel.
8. Score or etch the glass at the top of the masking tape to mark the area of the
glass that will be cut.
9. Cut the glass. Take care that no glass particles fall into the ampoule and no
material is lost from the ampoule.
10. Using a micropipette or a syringe, dilute the antigen powder with 1 ml of sterile
distilled water.
11. Mix until all antigen powders are diluted.
12. Aspirate diluted antigen and transfer to a sterile screw-cap tube.
13. Refrigerate immediately.
14. Record activity in the laboratory log book.

Prepared by: Name, laboratory staff Date prepared: Insert date here
Reviewed with: Name, laboratory manager Date reviewed: Insert date here
Authorized for use by: Name, Chief veterinarian/Director for animal health

48
Work Instruction for avian influenz a diagnosis in the Pacif ic
S P C L R D - AH P / P R IP P P
V e r s io n 2 6 N o v 0 9
 Insert name of laboratory here
Insert agency logo
here
AVIAN INFLUENZA DIAGNOSIS
Document Type: Work Instruction Page 1 of 2
Insert name and
Title:
address of Ministry Hemagglutination test (titration of viral antigen)
here
Document No.: WI 30.0 Revision 1 Insert date

PURPOSE
 Determine hemagglutinating titer of purchased avian influenza viral antigen.

MATERIALS
□ Single-channel micropipettes (25–50 µl volumes) with tips
□ Multi-channel micropipettes (25–50 µl volumes) with tips
□ “U” or “V” 96-well microtiter plates
□ Plate shaker
□ 4oC storage
□ Plate covers

PROCEDURE

Reminder: The red blood cells (RBC) used to adsorb sera must be the same RBC
that will be used in the hemagglutination hemagglutination-inhibition
(HA-HI) test.
1. Put 25 µl of phosphate buffered saline (PBS) to all wells in a row of a microtiter plate.
(Make duplicates by doing the steps in two rows.)
2. Add 25 µl of virus (antigen) into the first well of each row.
3. Make two-fold serial dilutions of the virus from column 1 to 11 and discard 25 µl from
the last well. Column 12 is the RBC control.
4. Add an additional 25 µl of PBS at all wells.
5. Add 50 µl of 0.5% standardized chicken RBC to all wells.
6. Cover wells and shake gently for 10–15 seconds.
7. Incubate at 4oC (refrigeration temperature) for 30–45 minutes.
8. Examine the plate for hemagglutination.
9. Record results in HA-HI Worksheet (Form 2.a or 2.b).

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 Insert name of laboratory here
Insert agency logo
here
AVIAN INFLUENZA DIAGNOSIS
Document Type: Work Instruction Page 2 of 2
Insert name and
Title:
address of Ministry Hemagglutination test (titration of viral antigen)
here
Document No.: WI 30.0 Revision 1 Insert date

INTERPRETATION OF RESULTS
 End point is the highest virus dilution at which there is complete agglutination. At
this dilution, the virus is said to contain 1 hemagglutinating unit (HAU) per 25 µl.
Sera are tested against 4 HAU of virus.
 Working dilution of the virus is calculated by dividing the endpoint dilution by 4. If
the endpoint of the titration is at a dilution of 512, the working dilution of this antigen
preparation is 1:128.

1 2 3 4 5 6 7 8 9 10 11 12
RBC
Control
PBS 25 µl 25 µl 25 µl 25 µl 25 µl 25 µl 25 µl 25 µl 25 µl 25 µl 25 µl 25 µl

Ag 25 µl 25 µl 25 µl 25 µl 25 µl 25 µl 25 µl 25 µl 25 µl 25 µl 25 µl

PBS 25 µl 25 µl 25 µl 25 µl 25 µl 25 µl 25 µl 25 µl 25 µl 25 µl 25 µl 25 µl
0.5%
50 µl 50 µl 50 µl 50 µl 50 µl 50 µl 50 µl 50 µl 50 µl 50 µl 50 µl 50 µl
RBC
o
Incubate for 45 minutes at 4 C
Ag End point is taken as the highest dilution to produce 100% RBC agglutination
Dilution 2 4 8 16 32 64 128 256 512 1024 2048

Figure WI 26.0: Guide to antigen titration

Prepared by: Name, laboratory staff Date prepared: Insert date here
Reviewed with: Name, laboratory manager Date reviewed: Insert date here
Authorized for use by: Name, Chief veterinarian/Director for animal health

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Work Instruction for avian influenz a diagnosis in the Pacif ic
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 Insert name of laboratory here
Insert agency logo
here
AVIAN INFLUENZA DIAGNOSIS
Document Type: Work Instruction Page 1 of 2
Insert name and
Title: Back titration of viral antigen dilution for
address of Ministry
hemagglutination-inhibition (HI) test
here
Document No.: WI 31.0 Revision 1 Insert date

PURPOSE
 Confirm hemagglutinating units (HAU) in standardized antigen dilution.

MATERIALS
□ Single-channel micropipettes (25–50 µl volumes)
□ Multi-channel micropipettes (25–50 µl volumes)
□ “U” or “V” 96-well microtiter plates
□ Plate shaker
□ 4oC storage
□ Plate covers

PROCEDURE
1. Put 25 µl of phosphate buffered saline (PBS) from column 1 to 6 of a microtiter plate.
(Make duplicates or triplicates.)
2. Add 25 µl of virus (antigen) into the five wells.
3. Make two serial dilutions of the virus from column 2 to 5.
4. Discard 25 µl from the last well. Column 6 is the red blood cells (RBC) control.
5. Add an additional 25 µl of PBS from columns 2 to 6.
6. Add 50 µl of 0.5% standardized chicken RBC to all wells.
7. Cover the wells and shake gently for 10–15 seconds.
8. Incubate at 4oC (refrigeration temperature) for 45 minutes.
9. Examine the plate for hemagglutination.
10. Record the results in the HA-HI Worksheet (Form 2.a or 2.b).

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Work Instruction for avian influenz a diagnosis in the Pacif ic
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 Insert name of laboratory here
Insert agency logo
here
AVIAN INFLUENZA DIAGNOSIS
Document Type: Work Instruction Page 2 of 2
Insert name and
Title:
address of Ministry Back titration of viral antigen dilution for HI test
here
Document No.: WI 31.0 Revision 1 Insert date

INTERPRETATION OF RESULTS
 The antigen titer is acceptable if results show a hemagglutinating unit (HAU) of
between 2 and 8.

1 2 3 4 5 6 7 8 9 10 11 12
RBC
Control

PBS 25 µl 25 µl 25 µl 25 µl 25 µl 25 µl

Ag 25 µl 25 µl 25 µl discard
25 µl 25 µl

PBS 25 µl 25 µl 25 µl 25 µl 25 µl

0.5%
50 µl 50 µl 50 µl 50 µl 50 µl 50 µl
RBC
Ag Incubate for 45 minutes at 4oC
Dilution 2 4 8 16 32

Figure WI 27.0: Guide to back titration for hemagglutination test

Prepared by: Name, laboratory staff Date prepared: Insert date here
Reviewed with: Name, laboratory manager Date reviewed: Insert date here
Authorized for use by: Name, Chief veterinarian/Director for animal health

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Work Instruction for avian influenz a diagnosis in the Pacif ic
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 Insert name of laboratory here
Insert agency logo
here
AVIAN INFLUENZA DIAGNOSIS
Document Type: Work Instruction Page 1 of 3
Insert name and
Title:
address of Ministry Hemagglutination-Inhibition (HI) tests for avian influenza
here
Document No.: WI 32.0 Revision 1 Insert date

PURPOSE
 Determine hemagglutinating antibody titer of test serum (specimen) from suspected
flocks.
MATERIALS
□ AI virus antigen dilution
□ Positive control avian influenza antigen
□ Sterile phosphate buffered saline (PBS) solution
□ Single-channel micropipettes (25 to 50 µl volumes)
□ Multi-channel micropipettes (25-50 µl volumes)
□ Micropipette tips
□ Reagent reservoir
□ “U” or “V” 96-well microtiter plates
□ Plate shaker
□ 4oC storage
□ Plate covers

PROCEDURE
Note: The red blood cells (RBC) used to adsorb sera must be the same RBC that will be
used in the hemagglutination hemagglutination-inhibition (HA-HI) test.
1. Prepare worksheets by listing sera and controls on each plate.
2. Perform back titration of all viruses (antigens) to be used.
3. Put 25 µl of PBS from columns 1 to 12 of a microtiter plate.
4. Add 25 µl of 1:4 dilution of test serum to columns 1 to 2. Make two-fold dilution of
each serum from the second well and discard 25 µl from the 11th well. The last well
will serve as the RBC control.
5. Add 25 µl of the working dilution of the virus (antigen) from second to the highest
dilution of each serum. The first well will serve as the serum control.
6. Cover plate and gently shake for 10–15 seconds and incubate at room temperature
(22–25oC) for 1 hour or at 37oC for 30 minutes.
7. Add 50 µl of 0.5% standardized chicken RBC to all wells.
8. Cover plate.
9. Shake gently for 10–15 seconds.

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 Insert name of laboratory here
Insert agency logo
here
AVIAN INFLUENZA DIAGNOSIS
Document Type: Work Instruction Page 2 of 3
Insert name and
Title:
address of Ministry Hemagglutination-Inhibition (HI) tests for avian influenza
here
Document No.: WI 32.0 Revision 1 Insert date

10. Incubate at 4oC (refrigeration temperature) for 45 minutes.

11. Examine the plate for the presence or absence of hemagglutination.
12. Record the results on the HA-HI Worksheet (Form 2.a or Form 2.b).

INTERPRETATION OF RESULTS
 Negative result. Serum control wells showing no non-specific agglutination and the
test wells showing no inhibition of the serum are considered negative for antibody.
Serum samples showing inhibitions at dilutions of 1:8 or less is negative for antibody.
 Positive result. Sera showing inhibition at dilutions of 1:16 or greater against 4
HAU of antigen are considered positive for antibody and may be re-tested by HI or
treated with receptor destroying enzyme (RDE) before retesting.
 Non-specific positive reaction. Agglutination of serum controls may result to non-
specific positive reactions. Sera should be adsorbed with chicken red blood cells and
re-tested for HI. This type of reaction rarely happens with chicken samples while
sera from other species may cause agglutination of chicken red blood cells.

QUALITY CONTROL
 Back titration. The antigen titer to be used for the test should be between 2 and 8
hemagglutinating units.
 Negative control. The titer of the negative control serum should be 8 or less.
 Positive control. The titer of the positive control serum should be 32 or more.

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 Insert name of laboratory here
Insert agency logo
here
AVIAN INFLUENZA DIAGNOSIS
Document Type: Work Instruction Page 3 of 3
Insert name and
Title:
address of Ministry Hemagglutination-Inhibition (HI) tests for avian influenza
here
Document No.: WI 32.0 Revision 1 Insert date

1 2 3 4 5 6 7 8 9 10 11 12
RBC
Control
PBS 25 µl 25 µl 25 µl 25 µl 25 µl 25 µl 25 µl 25 µl 25 µl 25 µl 25 µl 25 µl

Test
Serum 25 µl 25 µl 25 µl 25 µl 25 µl 25 µl 25 µl 25 µl 25 µl 25 µl 25 µl

Antigen
25 µl 25 µl 25 µl 25 µl 25 µl 25 µl 25 µl 25 µl 25 µl 25 µl
Incubate for 30 minutes at 37oC or 1 hour at room temperature
0.5%
50 µl 50 µl 50 µl 50 µl 50 µl 50 µl 50 µl 50 µl 50 µl 50 µl 50 µl 50 µl
RBC
Incubate for 45 minutes at 4oC
Ag
1:2 1:4 1:8 1:16 1:32 1:64 1:128 1:256 1:512 1:1024 1:2048
Dilution
* End point is taken as the highest dilution to produce 100% RBC inhibition

Figure WI 28.0: Guide to hemagglutination test for avian influenza

Prepared by: Name, laboratory staff Date prepared: Insert date here
Reviewed with: Name, laboratory manager Date reviewed: Insert date here
Authorized for use by: Name, Chief veterinarian/Director for animal health

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 Insert name of laboratory here
Insert agency logo
here
AVIAN INFLUENZA DIAGNOSIS
Document Type: Work Instruction Page 1 of 2
Insert name and
Title: Immunoflourescence (IF) antibody detection test for
address of Ministry
avian influenza
here
Document No.: WI 33.0 Revision 1 Insert date

PURPOSE
 Detect the presence of antibody against influenza group A.

MATERIALS AND REAGENTS

□ Cover slip (22 x 50 cm or equivalent) □ Marking pencil
□ Pipette and disposable tips (25–300 µl) □ Hydrophobic marker
□ Slide rack □ Test tube for preparing dilution
□ Staining chamber □ Washing container
□ Incubator (37 C)
o □ Fluorescent microscope
□ Phosphate buffered saline (PBS) □ Timer
□ Mounting medium (PBS with 10% glycerol)
□ Anti-species IgG fluorescence conjugate
□ Acetone fixed slides containing AI-infected cells (commercially available)

PROCEDURE
1. Take out the appropriate number of influenza A infected slides from freezer (-20 to
-70oC) and warm at room temperature (22–25oC) prior to use.
2. Add 50 µl of test serum to the well of the slide.
3. Place a positive control in the last well of the slide.
4. Incubate the slide for 30 minutes at 37oC in a humidified staining chamber.
5. Wash slide two times, 5 minutes each wash, in PBS buffer.
6. Wash slide with distilled water. If available, a rotary shaker set at a low speed (30–
40 rpm) should be used.
7. Air dry the slide.
8. Fill the wells with appropriately diluted anti-species fluorescein isothiocyanate (FITC)
conjugate (i.e. anti-chicken IgG) with or without counterstain.
9. Wash by repeating steps 7–8.
10. Air dry slide.
11. Add a drop of mounting medium.
12. Place cover slip on top.
13. Examine under fluorescence microscope.
14. Interpret and record results on the Immunofluorescence Assay Worksheet (Form 5).

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 Insert name of laboratory here
Insert agency logo
here
AVIAN INFLUENZA DIAGNOSIS
Document Type: Work Instruction Page 1 of 2
Insert name and
Title: Immunoflourescence (IF) antibody detection test for
address of Ministry
avian influenza
here
Document No.: WI 33.0 Revision 1 Insert date

INTERPRETATION OF RESULTS
 Negative result. Under an FA microscope, images appear dark or have a dull green
fluorescence.
 Positive result. Images under the microscope appears with bright
green fluorescence of the nucleus or cytoplasm depending on the stage of cell
infection. Positive fluorescence should be present in at least 30% of the cells.

Prepared by: Name, laboratory staff Date prepared: Insert date here
Reviewed with: Name, laboratory manager Date reviewed: Insert date here
Authorized for use by: Name, Chief veterinarian/Director for animal health

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Laboratory Forms

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Work Instruction for avian influenz a diagnosis in the Pacif ic
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 Insert name and address of agency here
Insert agency logo
here Form 1.a AVIAN INFLUENZA
SAMPLE IDENTIFICATION WORKSHEET

Laboratory #: Date of collection:

Name of farm: Date of acceptance:
Name of owner: GPS:
Location:
Type of farm: Backyard Semi-commercial Commercial

Farm animal population (species, # of heads):

Disease history
Species Onset of % %
Clinical signs Remarks
affected signs mortality morbidity

Sample collection
Sample ID
Avian type Age Sex Remarks
Serum Swab

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Work Instruction for avian influenz a diagnosis in the Pacif ic
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 Insert agency logo Insert name and address of agency here
here
Form 1.b SAMPLE IDENTIFICATION WORKSHEET

Laboratory #: Date of collection:

Name of farm: Date of acceptance:
Name of owner:
Location:
Type of farm: Backyard Semi-commercial Commercial

Farm animal population (species - # of heads):

Disease history:

Treatment and prevention:

Date of 1st Date of last
Name of medicine Quantity
administration administration

Sample Collection
Type of
Species Age Sex Remarks
sample

Requested examinations:

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Work Instruction for avian influenz a diagnosis in the Pacif ic
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 Insert agency logo Insert name and address of agency here
here
Form 1.c SAMPLE IDENTIFICATION WORKSHEET

Date of collection: Date :

Laboratory technician:

Lab No. Sample Id Species Age Sex Owner Location Remarks

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Work Instruction for avian influenz a diagnosis in the Pacif ic
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 Insert agency logo Insert name and address of agency here
here
Form 2.a HA-HI WORKSHEET

Plate No. ___________________________ Operator _________________________________

Ag type / Lot # _______________________ Date set up __________ Date read __________
Date prepared (Ag) ___________________ Pos serum HI titer ________ Valid test Yes No
Ag HA titer __________________________ Remarks: _________________________________

1 2 3 4 5 6 7 8 9 10 11 12
A

Plate No. ___________________________ Operator _________________________________

Ag type / lot # _______________________ Date set up __________ Date read __________
Date prepared (Ag) ___________________ Pos serum HI titer ________ Valid test Yes No
Ag HA titer __________________________ Remarks: _________________________________

1 2 3 4 5 6 7 8 9 10 11 12
A

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Work Instruction for avian influenz a diagnosis in the Pacif ic
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 Insert agency logo Insert name and address of agency here
here
Form 2.b HA-HI WORKSHEET

Plate No. ___________________________ Operator _________________________________

Ag type / Lot # _______________________ Date set up __________ Date read __________
Date prepared (Ag) ___________________ Pos serum HI titer ________ Valid test Yes No
Ag HA titer __________________________ Remarks: _________________________________

1 2 3 4 5 6 7 8 9 10 11 12
A

Sample # Titer Comments Sample # Titer Comments

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Work Instruction for avian influenz a diagnosis in the Pacif ic
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 Insert agency logo Insert name and address of agency here
here
Form 3 ELISA WORKSHEET

Technician ___________________________________ Kit / Manufacturer _______________________________________

Plate No. ____________________________________ Lot / Serial No. _________________________________________
Date ________________________________________ Expiry date: ___________________________________________

1 2 3 4 5 6 7 8 9 10 11 12

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Work Instruction for avian influenz a diagnosis in the Pacif ic
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 Insert agency logo Insert name and address of agency here
here
Form 4.a AGID WORKSHEET

1 1 1

6 2 6 2 6 2

5 3 5 3 5 3

4 4 4

Plate # Plate # Plate #

Date prepared Date prepared Date prepared

Date read Date read Date read

Ag lot # Ag lot # Ag lot #

+ Control lot # + Control lot # + Control lot #

Lab technician: Lab technician: Lab technician:

1 1 1

6 2 6 2 6 2

5 3 5 3 5 3

4 4 4

Plate # Plate # Plate #

Date prepared Date prepared Date prepared

Date read Date read Date read

Ag lot # Ag lot # Ag lot #

+ Control lot # + Control lot # + Control lot #

Lab technician: Lab technician: Lab technician:

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Work Instruction for avian influenz a diagnosis in the Pacif ic
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 Insert agency logo Insert name and address of agency here
here
Form 4.b AGID WORKSHEET

1 1 1

6 2 6 2 6 2

5 3 5 3 5 3

4 4 4
Sample ID Results Sample ID Results Sample ID Results

1 1 1

2 2 2

3 3 3

4 4 4

5 5 5

6 6 6

1 1 1

6 2 6 2 6 2

5 3 5 3 5 3

4 4 4
Sample ID Results Sample ID Results Sample ID Results

1 1 1

2 2 2

3 3 3

4 4 4

5 5 5

6 6 6

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Work Instruction for avian influenz a diagnosis in the Pacif ic
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 Insert agency logo Insert name and address of agency here
here
Form 5 Immunofluorescence Assay (IFA) WORKSHEET

Date: Date:

Lot #: Lot #:

Technician: Technician:

Sample ID & Results Sample ID & Results

1 6 1 6

2 7 2 7

3 8 3 8

4 9 4 9

5 10 5 10

Date: Date:

Lot #: Lot #:
Technician: Technician:

Sample ID & Results Sample ID & Results

1 6 1 6

2 7 2 7

3 8 3 8

4 9 4 9

5 10 5 10

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 Insert agency logo Insert name and address of agency here
here
Form 6 RAPID TEST KIT WORKSHEET

Kit / Plate #: Kit / Plate #:

Date: Date:
Lab Lab
Technician: Technician:

Sample ID: Sample ID:

Result : Result :

Kit / Plate #: Kit / Plate #:

Date: Date:
Lab Lab
Technician: Technician:

Sample ID: Sample ID:

Result : Result :

Kit / Plate #: Kit / Plate #:

Date: Date:
Lab Lab
Technician: Technician:
Sample ID: Sample ID:

Result : Result :

Kit / Plate #: Kit / Plate #:

Date: Date:
Lab Lab
Technician: Technician:

Sample ID: Sample ID:

Result : Result :

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 Insert agency logo Insert name and address of agency here
here
Form 7 LABORATORY SUPPLIES INVENTORY WORKSHEET

Name of Laboratory / Station

Address

Supplies Inventory (consumables)

Date of last
Supplies Description (model, brand, etc) Quantity
purchase

Prepared by: _______________________Position: ______________________ Date: ____________

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 Insert agency logo Insert name and address of agency here
here
Form 8 LABORATORY EQUIPMENTS INVENTORY WORKSHEET

Name of Laboratory / Station

Address

Equipment
Description (model, brand, Date of last
Equipment Condition
etc.) calibration

Prepared by: ______________________________________________ Date: _____________________

Position: __________________________________________________

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Annexes

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Annex 1. Selected references for further information

1. Avian influenza. OIE manual of standards for diagnostic tests and vaccines. May 2005. World
Organisation for Animal Health. http://www.oie.int/fr/normes/mmanual/A_00037.htm
2. Collecting, preserving and shipping specimens for avian influenza A (H5N1) virus infection,
Guide to field operations. World Health Organization. October 2006.
http://www.who.int/csr/resources/publications/surveillance/WHO_CDS_EPR_ARO_2006_1/
en/index.htL
3. Dangerous goods regulations manual (50th ed.) International Air Transport Association. 2009.
4. FAQs. Praxiom Research Group Limited.
http://www.praxiom.com/faq2.htm#What's%20the%20difference%20between%20a%20pro
cedure%20and%20a%20work%20instruction.
5. Farlex. The Free Dictionary. http://www.thefreedictionary.com
6. Guidance for the transport of Infectious Substances 2009–2010. World Health Organization.
January 2009.
http://www.who.int/csr/resources/publications/biosafety/WHO_HSE_EPR_2008_10.pdf
7. Manual of avian influenza diagnostic techniques. Bureau of Animal Industry Department of
Agriculture of the Philippines. August 2007.
8. PPE information manual. Pacific Regional Influenza Pandemic Preparedness Project
Secretariat of the Pacific Community. 2009.
https://www.spc.int/prippp/index.php?option=com_docman&task=cat_view&gid=52&dir=D
ESC&order=name&Itemid=102&limit=5&limitstart=5.
9. Preparing for highly pathogenic avian influenza. FAO Animal Production and Health. Food
and Agriculture Organization of the United Nations. Rome, 2006.
http://www.offlu.net/OFFLU%20Site/HPAI_manual.pdf
10. Reference manual on avian influenza for field personnel. Bureau of Animal Industry
Department of Agriculture of the Philippines. 2007.
11. Sampling methods. OIE manual of diagnostic tests and vaccines for terrestrial animals. World
Organisation for Animal Health. May 2005.
www.oie.int/eng/normes/mmanual/A_00011.htm.
12. Shipping protocol template. Pacific Regional Influenza Pandemic Preparedness Project
Secretariat of the Pacific Community. June 2009.
13. WHO guidance on regulations for the transport of infectious substances 2009–2010. World
Health Organization. 2008.
http://www.who.int/csr/resources/publications/biosafety/WHO_HSE_EPR_2008_10/en/ind
ex.htL
14. WHO manual on animal influenza diagnosis and surveillance. World Health Organization.
2002. http://www.who.int/vaccine_research/diseases/influenza/WHO_manual_on_animal-
diagnosis_and_surveillance_2002_5.pdf
15. Effect of preservative on recoverable RT-PCR amplicon length from Influenza A virus in bird
feces. David L Evers, Richard D. Selmons, Jeffery K. Taubenberger. 2007.
www.pubmedcnetral.nih.gov/articlerender/fcgi?artid=2504707 .
16. Preservation of tissue RNA in normal saline. Vladimir Vincek, Mehdi Nassiri, jennean
Knowles, Mehrdad Nadji, Azorides R. Morales. Oct 2002.
www.nature.com/labinvest/journal/v83/nl/full/3780599a.htL .

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Annex 2. Terminology

competency the quality of being able to perform a certain task

red blood cells or red blood corpuscles. These
erythrocytes
components of the blood are responsible for carrying
oxygen to tissues and removing carbon dioxide from
tissues.
guidelines group of standard operating procedures used to carry out
a given operation in a given situation

hemagglutination inhibition synonymous to HI or HAI test; an assay for the presence

test of specific antiviral antibodies in a test serum. The serum,
usually a twofold dilution series, is mixed with a standard
number, usually 4 to 8 HA units, of virus and incubated
prior to the addition of a standard suspension of
erythrocytes (red blood cells). The highest dilution of
serum that inhibits hemagglutination is the HI titer of the
serum.

hemagglutination test synonymous to HA test; hemagglutinating viruses directly

agglutinate (clumping) erythrocytes (red blood cells) by
binding to specific receptor sites on the surface of the
erythrocyte and this characteristic can be used in
detection, identification and quantitation of the virus

hemagglutination viruses viruses capable of agglutinating red blood cells of a variety

of animals, e.g. adenoviruses, parvoviruses, togaviruses,
some coronaviruses, picornaviruses, orthomyxoviruses
and paramyxoviruses. Useful in classifying viruses and
assaying amounts of virus and antibody.

manual A reference text that can include guidelines, operating

procedures and work instructions

standard operating A set of specific steps to be followed in carrying out a

procedures given procedure or activity that also provides relevant
background information for the procedure or activity. As a
minimum a standard operating procedure document
should answer the question of why, how, and when a
procedure or activity is to be performed and outline any
safety risks.

work instructions Step-by-step instructions that describe how a specific task

is to be performed. Work instructions are a simpler
document than a standard operating procedure document.
.

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Annex 3. Hand washing poster

http://www.spc.int/prippp/index.php?option=com_docman&task=cat_view&gid=46&Itemid=102
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Annex 4. Animal health post-mortem kit checklist

The following equipments are necessary for post-mortem examination and sample collection
in animals:

Quantity
Item Description Unit or size per kit
reusable waterproof full length
1 Apron apron 1
Blood collection needle reusable plastic sleeve to use with
2 holder / sleeve Vacutainer™ assembly 10
3 Blood collection needles to suit Vacutainer tubes 100
Vacutainer™ type, plastic, purple
4 Blood collection tubes top (anticoagulant) 5 ml 50
Vacutainer™ type, plastic, red top
5 Blood collection tubes (clot activator) 5 ml 50
6 Blood collection tubes serum tubes (black tops) plain 10 ml 50
7 Bone cutters heavy duty secateurs pair 1
Culture tubes with sterile containing viral transport medium
9 swabs (VTM) 10
Culture tubes with sterile containing Stewart's solution form
10 swabs bacteria 10
11 Digital camera 1
Fixative - 10% buffered
12 formalin pre-diluted, ready to use 100 ml bottle 1
13 Fixative - 70% alcohol ready to use 100 ml bottle 1
14 Forceps, pointed pointed tissue forceps 150 mm 1
15 Forceps, rat toothed serrated forceps 150 mm 1
16 Gloves, latex examination variable sizes box 100 1
sturdy, waterproof, standard
17 GPS, handheld batteries 1
18 Ice packs/bricks solid brick type each 4
to fit the 2 knives - about 250 mm
19 Knife scabbard deep each 1
150 mm (6") to
20 Knife, boning 200 mm (8") 1
21 Knife, skinning curved skinning knife 200 mm (8") 1
22 Masks, surgical box 100 1
23 Microscope slides box 100 1
24 Needles, sterile disposable 23 g x 1" and 21 g x 1" box 100 1 each
25 Pipettes, disposable plastic, 3 L transfer pipettes 50
sturdy press sealed or zip-lock
type medium (250 mm) and large
26 Plastic bags (400 mm) 10 each
large biohazard waste disposal
27 Plastic bags, biohazard bags 5
Sample vial, glass, screw clear glass, leakproof screw-cap
28 cap bottles 20 ml 5
Sample vial, plastic, screw plastic, screw-cap vials,
29 cap CryoTube™ type 2–3 ml 50
30 Scabbard chain for knife scabbard 1
31 Scalpel blades size 15, 22 box 100 1 each
32 Scalpel handle small, to fit blades above, size 3, 4 2 each

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 Quantity
Item Description Unit or Size per kit
Scissors, dissecting,
33 curved stainless steel 150 mm 2
34 Scissors, straight 100 mm 1
scrubbing brush with handle
35 Scrubbing brush - boots (dishwashing style) each 1
36 Scrubbing brush - nails nail scrubbing brush each 1
300 mm at
37 Sharpening steel least 1
100 mm x 20
38 Sharpening stone mm 1

39 Sharps container durable plastic, 0.5–1 L 1

50 ml leakproof, screw-cap plastic,
40 Specimen collection jar with label 12
41 Spray bottle 500 ml 1
42 Swabs, sample collection cotton tipped, plastic handle, 15cm packet 100 1
43 Syringes sterile disposable 2 ml and 5 ml box 100 1 each
Duct tape, 100 mm wide, heavy
44 Tape duty roll 1
sturdy heavy duty plastic container
with lid and handle to hold these
45 Tool box, plastic box items 50 L 1
castration clamp (for cervical
dislocation of poultry), bloodless
46 Burdizzo type, 36 cm each 1
Specimen Transport bio-bottle or similar system, 850
Packaging - IATA ml capacity, including bottle, lid,
compliant for Category B absorbent pad, labels, secondary
47 ambient carton etc each 5
outer carton , thick walled
Specimen Transport thermally efficient polybin, Bio-
Packaging - IATA Pouch® 5NZ, 2 x gel packs,
compliant for Category B absorbent pad and bubble wrap
48 chill pack bag each 1
Absorbent packing cotton wool, paper towel,
49 material newspaper 1 roll 1
50 Bucket, plastic 10 L with handle 1
51 Esky medium hard, small and medium 1
clear plastic, reusable, to below
52 Face Shield chin 2
53 Marker, permanent 2
54 Paper surveillance worksheet/documents 1
55 Pen 2
56 Soap disinfectant if possible 1 bar 1
57 Sodium hypochlorite 0.5% household bleach 1 L bottle 1

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Work Instruction for avian influenz a diagnosis in the Pacif ic
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 77
Work Instruction for avian influenz a diagnosis in the Pacif ic
S P C L R D - AH P / P R IP P P
V e r s io n 2 6 N o v 0 9