Department Manual/Index System: Automated Information System User Manuals

Document Code No.: INF 7-1F-1 (AEP)
Department/Issuing Agency: Systems Services Division
Effective Date: August 20, 1989
Approved: /s/ Tim Hill
Type of Action: Superseding INF 7-lF (AEP)

1.0 SUBJECT TITLE: Department Manual/Index System: Automated Information System User Manuals

2.0 PURPOSE:

2.1 To establish uniform procedures for the development and maintenance of documentation for users of automated information systems that have been designed by Systems Services staff, consultants or department employees.

3.0 ORGANIZATIONS AFFECTED:

All Executive departments, offices and agencies.

4.0 REFERENCES:

Executive Policy/Procedure No. INF 7-1-1 (AEP) "Description of the Standardized System for all King County Rules, Policies and Procedures".

5.0 DEFINITIONS:

5.1 "Automated Information Systems" means systems developed to process data using a personal, micro, mini or mainframe computer and software programmed in any of a number of computer languages (e.g., DBASE, BASIC, COBOL, C).

5.2 "Pre-Programmed Personal Computer Software" means vendor supplied software for spread sheet (e.g., Lotus 1-2-3, Visicalc) and word processing (e.g., Wordstar) or similar products.

5.3 "System User Manual" means a document compiled for the County employees (users) who will be entering data into, or retrieving data from, an automated information system. The manual explains the data entry process; how the data is edited; what functions are performed by various screens; what error messages mean and how to make corrections; system outputs such as reports, graphs and charts; control techniques; and security features.

5.4 "System Documentation Manual" means a document compiled as a technical reference that describes in detail each job and its interrelationship with every other job in a job stream and provides a system overview and run instructions.

5.5 "Application System" means a collection of computer programs designed to accomplish a significant, coherent function (i.e. payroll system, order entry system, etc.)

6.0 POLICIES:

6.1 System User Manuals shall be prepared and maintained consistent with this Executive Policy/Procedure when Systems Services staff, consultants or department staff have designed an automated information system.

6.2 Documentation for information management procedures using preprogrammed personal computer software should be written as Work Procedures consistent with Executive Policy/Procedure No. INF 7-lD-1 (AEP) "Department Manual/Index System: Work Procedures".

6.3 Preparation of a System User Manual shall be included in the budget and scope of work for the development of a new automated information system.

7.0 PROCEDURES:

Action By: User Agency

Action:

7.1 MANUAL FORMAT:

7.1.1 All System User Manuals shall be prepared on 8½ by 11 inch paper and assembled in loose-leaf notebook form to facilitate the insertion of modifications or new material.

7.1.2 Because every system is different, the following numbered and capitalized section headings should be used as a guideline for writing System User Manuals. The order of the sections presented here is not required; however, many users find this order both logical and convenient. The sophistication of the system and the level of experience of the users should also be considered when developing the manual.

7.1.3 Because it includes relevant data about the system and must be prepared for distribution to all manual stations, the Automated Information System Users Manual Summary Sheet makes an excellent title page. Form EM-7 and the following format should be used:

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  SUMMARY SHEET: Title of the System

      Type of Action:  New system/Superseding an existing system. 
      If applicable, list the title and document code of the 
      system(s) being superseded.

  1.0 SUBJECT TITLE: List the name of the system.

  2.0 PURPOSE: Briefly describe the purpose of the system and the 
  ways the system output is used.

  3.0 ORGANIZATIONS AFFECTED: List those County departments, offices
  and agencies or other organizations that use the system, beginning
  with 3.1.

  4.0 REFERENCES: Provide the name, position, address and telephone
  number of the agency or persons to be contacted for further 
  information.

      4.1 SYSTEM DESIGN: List who is responsible for the design of 
      the system (department, Systems Services, consultant).

      4.2 REFERENCE DOCUMENTS: Indicate other policies/procedures 
      manuals, analytical reports and studies, or other documents 
      which provide relevant background for the system.  List 
      beginning with 4.2.1.

      4.3 SYSTEM TYPE: Briefly describe the hardware used by the 
      system and key characteristics of the system software.

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Action By: User Agency

Action:

7.2 MANUAL CONTENT: Although the following sections are numbered in accordance with the Policy/Procedure Manual System guidelines, System User Manuals should be numbered starting with 1.0 for the Introduction, 1.1 for the System Overview, etc.

7.2.1 INTRODUCTION: Includes the following subsections:

7.2.1.1 System Overview: Acquaints the user with the system and provides a general idea of how the system works. The description should use non-data processing terms and should convey a general picture of processes executed to produce output from the input submitted. The description should address the question "What does the system do for the user and how?"

7.2.1.2 Responsibilities: Contains a list of functions (e.g., problem reporting, controls, distribution) and who is responsible for each function.

7.2.1.3 Summary of Contents: Includes a summary of the contents of the major sections of the manual.

7.2.1.4 Manual Revision Procedures: Defines manual revision, review, approval and distribution.

7.2.2 PRODUCTION SCHEDULES: Defines the frequency and time for running the system. It should specify if the system is run daily, weekly, monthly, annually, etc. The time of day and day of week should also be noted.

The section should document all data input cut-off schedules. For example, if the job is run on Friday morning, all input should be cut off by noon Thursday or possibly earlier.

All dependencies must be defined. This means that if another system produces input for this system, care must be taken to see that the other system is run to completion first. If this system provides input to another system, then this job should run completely first. If this is an online system, interfaces and file dependencies should be noted.

7.2.3 PERFORMING SYSTEM FUNCTIONS: This section is usually written from a County business function point of view (e.g., how to use the system to process property tax receipts). This section should not include desk procedures, but rather should serve as a reference tool.

7.2.3.1 Application System Security (for terminal application systems only): Details how to gain authorization to use the application.

7.2.3.2 Sign-On/Sign-Off Procedures (for terminal application systems only): Describes how to invoke (sign-on) and how and when to terminate (sign-off) the application system. A description of the screen following sign-on should be provided, as well as instructions on how to proceed from there.

7.2.3.3 Application System Functions: Provides step-by-step instructions on how to perform and/or change each function.

7.2.3.4 Error Messages: Provides instructions on how to respond to error messages, which are coded in a computer program and are displayed, usually on a printed report, when the program detects a data or process error. A complete list of error messages should be included here or in the Appendix.

7.2.3.5 Source Documents (may not exist for terminal application systems): Discusses the purpose and use of each source document. Each of the following should be addressed in this section:

7.2.3.5.1 Submitting source documents for processing.

7.2.3.5.2 Verifying the proper processing of documents.

7.2.3.5.3 Handling/disposition of documents after processing.

7.2.3.5.4 Obtaining new supplies of documents.

Samples of each source document should be included here or in the Appendix.

7.2.3.6 Terminal Screens (terminal application systems only): Describes the purpose and use of each screen. Samples of each screen should be included here or in the Appendix.

7.2.3.7 Reports (may not exist for inquiry application systems): Describes the purpose and use of each report. Each of the following should be addressed in this section:

7.2.3.7.1 Instructions for obtaining reports.

7.2.3.7.2 Procedures for distributing reports.

7.2.3.7.3 Guidelines for storage and retention of reports.

Samples of each report should be included here or in the Appendix.

7.2.4 CONTROLS/BALANCING: Identifies totals that should be checked or balanced to ensure system and output accuracy. This section should define all manual batch totals and any preceding or following system totals that must be checked. This section should specify any logs that must be updated with totals for future balancing needs. Instructions for handling out-ofbalance conditions should be provided in this section.

7.2.5 PROBLEM REPORTING: Identifies who should be contacted and what should be done when problems arise.

7.2.5.1 User Group Representative: Identifies the name and telephone number of a user representative appointed to be the focal point for handling reports of problems. The user representative should be aware of all problems reported, should convey known problems and corrections to all other users, and should coordinate corrections with the developer of the system.

7.2.5.2 A standard form and use instructions should be developed for reporting system problems. The following information should be requested on the form:

7.2.5.2.1 The name and telephone number of the person reporting the problem.

7.2.5.2.2 Equipment identification.

7.2.5.2.3 Description of the problem.

7.2.5.3 This section should detail the steps to be taken if the problem is related to the following:

7.2.5.3.1 Equipment malfunctions.

7.2.5.3.2 Control procedure failures (checks and balances).

7.2.5.3.3 Questions on using the system.

7.2.5.3.4 Missing data or reports.

7.2.6 APPENDICES: Should be included to provide further explanations of the system. The following items should be included as appendices unless provided elsewhere in the manual:

7.2.6.1 Glossary of terms.

7.2.6.2 Data conversion techniques [or the method(s) used to establish the initial system files]. Common techniques include data entry from paper files and writing special programs to modify existing computer files.

7.2.6.3 System codes.

7.2.6.4 Vendor and user telephone numbers.

7.2.6.5 Source documents.

7.2.6.6 Screens.

7.2.6.7 Error messages.

7.2.6.8 Reports.

7.3 SYSTEMS SERVICES DESIGNED AUTOMATED INFORMATION SYSTEM: If the automated information system is designed by the Systems Services Division then:

Action By: Systems Services

Action:

7.3.1 Prepares the System Documentation Manual as described in Definitions, Section 5.4.

Action By: User Agency

Action:

7.3.2 Prepares the System User Manual in accordance with this policy and transmits a completed copy of the final User Manual and completed System User Manual Summary Sheet (except for Document Identification Number) to the Systems Services Division.

Action By: Systems Services

Action:

7.3.3 Systems Services Division assigns the Document Identification Number consistent with the Records Classification Coding System to the System User Manual and the Summary Sheet and transmits a copy of the Summary Sheet according to the Manual Station and Distribution List (Appendix 9.1).

7.4 CONSULTANT/DEPARTMENT DESIGNED AUTOMATED INFORMATION SYSTEMS: If a consultant or department staff designs an automated information system then:

Action By: User Agency

Action:

7.4.1 The department shall, as part of the consultant's contract, require the consultant to develop a System User Manual consistent with the format described herein; or

The department shall develop the System User Manual for its inhouse designed system consistent with the format described herein.

7.4.2 Upon completion of the System User Manual, the department shall send to Systems Services Division a final copy of the Manual, together with a completed copy of the System User Manual Summary Sheet, except for the Document Identification Number.

Action By: Systems Services

Action:

7.4.3 Systems Services Division assigns a document identification number consistent with the Records Classification Coding System (and completes the Summary Sheet), and transmits the Summary Sheet according to the Manual Station and Distribution List.

7.5 USER MODIFICATIONS MANUAL:

Action By: User Agency

Action:

7.5.1 As modifications to the System User Manual occur, the department transmits to Systems Services Division pages with the modifications for insertion into the central copy of the System User Manual or, if the case, a complete copy of the revised manual.

7.5.2 When an automated information system is no longer in use, the department should transmit this information to Systems Services Division in writing.

7.5.3 Systems Services Division will maintain a listing of active and inactive automated information systems covered by this Executive Policy/Procedure. As need warrants, Systems Services Division will transmit the list to the Manual Station and Distribution List for insertion into the System User Manual/ Index.

8.0 RESPONSIBILITIES:

8.1 Systems Services Division will provide central control for the System User Manuals. This responsibility will include:

8.1.1 Approving consultant-developed formats for the System User Manuals.

8.1.2 Assigning the Documentation Identification Number to each Manual.

8.1.3 Distributing the System User Manual Summary Sheet according to the Manual Station and Distribution List.

8.1.4 Maintaining the central collection of the System User Manuals.

8.1.5 Maintaining a list of active and inactive automated information systems.

8.2 The Records and Elections Division, Records Management Program, will maintain a copy of the System User Manual/Index.

8.3 Departments are responsible for initiating and completing the development of System User Manuals. This responsibility will include:

8.3.1 Preparation of a System User Manual in the budget and scope of work for the development of an automated information system.

8.3.2 Including as a mandatory requirement on all bids for consultant-designed automated information systems the development of a System User Manual consistent with the format described herein.

8.3.3 Transmitting to Systems Services Division a completed final copy of the System User manual and Summary Sheet.

8.3.4 Transmitting to Systems Services Division copies of any modifications to a System User Manual.

8.3.5 Informing Systems Services Division when an automated information system is no longer in use.

9.0 APPENDICES:

9.1 Manual Station and Distribution List