====== 1. ====== | ===== ===== | ===== Acquisitions ===== | Importance | Compliance |
| | NB: This section covers the acquisition of all material, including monographs and serials. Specific reference to serials is made where necessary. Ongoing control of serial issues (i.e. check-in, claiming, routing and binding) is covered in 6 below. | | |
| === === | === General === | | |
==== R1 ==== | | There must be provision for acquiring print and non-print material, including monographs and serials, with integrated financial management and a common supplier file | | |
==== R2 ==== | | An audit trail must be maintained for all material at all stages of the acquisitions process | | |
| | The system must support Electronic Data Interchange (EDI) in conformance with the EDIFACT standards, to include the following EDI transactions for both monographs and serials: | | |
==== R3 ==== | | orders | | |
==== R4 ==== | | claims | | |
==== R5 ==== | | cancellations | | |
==== R6 ==== | | acknowledgements | | |
==== R7 ==== | | invoices | | |
==== R8 ==== | | reports | | |
==== R9 ==== | | quotes | | |
==== R10 ==== | | fulfilments | | |
==== R11 ==== | | It must be possible to produce acquisitions notices in print format | | |
==== R12 ==== | | Format and content of acquisitions notices must be library-definable | | |
==== R13 ==== | | The system must allow for input to be corrected and amended at all stages, including ‘undo’ operations | | |
==== R14 ==== | | It must be possible to display on order records on the OPAC and allow/disallow reservations to be placed | | |
==== R15 ==== | | It must be possible to read barcodes printed on books as an aid in acquisitions processing | | |
==== R16 ==== | === === | It must be possible to read barcodes printed on serials as an aid in acquisitions processing | | |
==== R17 ==== | === === | === The system must support the import of order/bibliographic data from suppliers, e.g. from showroom visits or suppliers’ websites. === | | |
| === === | === Potential requirements file === | | |
==== R18 ==== | === === | It must be possible to hold potential order records on the system (e.g. approvals lists). | | |
| === === | === Bibliographic data === | | |
==== R19 ==== | | It must be possible to input bibliographic data for order records both by direct input and by use of imported bibliographic records at the order stage. Requirements for bibliographic data entry/import are the same as described under bibliographic database management (see 2 above). | | |
==== R20 ==== | | It must be possible to input both brief and full data at the order stage | | |
==== R21 ==== | | The system must allow for bibliographic and item information on order records to be used as the basis for catalogue records and vice-versa | | |
| === === | === Supplier records === | | |
| | The following fields must be included: | | |
==== R22 ==== | | supplier code | | |
==== R23 ==== | | name and address | | |
==== R24 ==== | | telephone, fax, e-mail, web address | | |
==== R25 ==== | | contact names | | |
==== R26 ==== | | account number | | |
==== R27 ==== | | standard discount | | |
==== R28 ==== | | VAT number | | |
==== R29 ==== | | EDI transmission details | | |
==== R30 ==== | | chasing regime (library-defined) | | |
==== R31 ==== | | servicing arrangements | | |
==== R32 ==== | | delivery charges | | |
==== R33 ==== | | fields for notes to staff and suppliers | | |
==== R34 ==== | | It must be possible to create orders for suppliers not used on a regular basis, i.e. without having to enter full supplier details | | |
| === === | === Pre-order searching === | | |
==== R35 ==== | | The system must allow pre-order searching of both stock and order records using any library-defined index | | |
| === === | === Ordering === | | |
| | The system must: | | |
==== R36 ==== | | allow session defaults to be set when creating orders, e.g. default supplier, fund, currency, location | | |
== V1 == | P | allow session defaults to be defined by location | | |
==== R37 ==== | | allow order data to be carried forward for a succession of records | | |
==== R38 ==== | | allow existing order records to be copied to form new order e.g. for ordering additional copies | | |
| | be capable of dealing with a variety of order types, including: | | |
==== R39 ==== | | firm orders | | |
==== R40 ==== | | approvals | | |
==== R41 ==== | | subscriptions | | |
==== R42 ==== | | payment with order | | |
==== R43 ==== | | It must be possible to handle multi-part or standing orders, i.e. where multiple parts for a single order need to be receipted, invoiced and catalogued separately | | |
==== R44 ==== | | It must be possible to handle donations, i.e. where an order has not been created. | | |
==== R45 ==== | | It must be possible to handle exchanges, i.e. where an order has not been created. | | |
| | The order record must include the following elements in addition to the bibliographic data: | | |
==== R46 ==== | | supplier | | |
==== R47 ==== | | unit price | | |
==== R48 ==== | | fund | | |
==== R49 ==== | | currency | | |
==== R50 ==== | | location | | |
==== R51 ==== | | number of copies | | |
==== R52 ==== | | date of order | | |
==== R53 ==== | | order number | | |
==== R54 ==== | | order status e.g. urgent | | |
==== R55 ==== | | order type | | |
==== R56 ==== | | subscription period (if applicable) | | |
==== R57 ==== | | subscription renewal date (if applicable) | | |
==== R58 ==== | | notes to suppliers | | |
==== R59 ==== | | notes to staff | | |
==== R60 ==== | | requester/recommender information (if applicable) | | |
==== R61 ==== | | supplier report | | |
==== R62 ==== | | claims | | |
==== R63 ==== | | source, e.g. user request, staff recommendation | | |
| | Order records must be accessible by: | | |
==== R64 ==== | | bibliographic data elements | | |
==== R65 ==== | | order number, | | |
==== R66 ==== | | supplier, | | |
==== R67 ==== | | order status | | |
==== R68 ==== | | order type | | |
==== R69 ==== | | order date | | |
| | It must be possible to access the following data directly from the order record (where applicable): | | |
==== R70 ==== | | full bibliographic record | | |
==== R71 ==== | | check-in screens | | |
==== R72 ==== | | invoicing procedure and payment details | | |
==== R73 ==== | | prediction pattern | | |
==== R74 ==== | | supplier record | | |
==== R75 ==== | | The system must allow for multiple copies of all types of items including subscriptions to be ordered for different locations and from different funds | | |
==== R76 ==== | | It must be possible to flag subscription orders either to renew automatically or to alert staff before manual renewal is due | | |
==== R77 ==== | | It must be possible to block automatic renewal if no parts have been received for any order and/or no payment has been made for purchase orders and to provide a report/message to supplier on such blocked records. | | |
==== R78 ==== | | Once orders have been placed, funds should be committed immediately. Any subsequent amendment to price information must automatically update commitments | | |
==== R79 ==== | | It must be possible to link to e-mail/fax functions for sending of orders by these methods rather than print/EDI | | |
| === === | === Reports from suppliers === | | |
| === === | The system must: | | |
==== R80 ==== | === === | alert staff to outstanding reservations when a report on an order is received | | |
==== R81 ==== | === === | notify users who have requested/ recommended items when a report on an order is received | | |
| === === | === Receipting === | | |
| | The system must: | | |
==== R82 ==== | | allow receipt of items and invoice processing to be carried out in a single operation or separately as required | | |
| | be able to handle: | | |
==== R83 ==== | | partial receipt of an order | | |
==== R84 ==== | | return of damaged, incorrect or unwanted items | | |
==== R85 ==== | | variations in price/currency since order | | |
==== R86 ==== | | changes in bibliographic information. | | |
==== R87 ==== | | orders received on approval | | |
==== R88 ==== | | It must be possible to record the receipt of items for which there is no order, e.g. donation | | |
==== R89 ==== | | Reservations/requests must be alerted at the receipting stage and the requester notified | | |
| === === | === Invoice processing === | | |
==== R90 ==== | | It must be possible to handle invoices before receipt, at the time of receipt or at a later date | | |
| | The system must be able to handle: | | |
==== R91 ==== | | credit notes | | |
==== R92 ==== | | pro-forma invoices | | |
==== R93 ==== | | subscription invoices | | |
==== R94 ==== | | discounts | | |
==== R95 ==== | | on approval payments | | |
==== R96 ==== | | fund transfers | | |
==== R97 ==== | | handling charges | | |
| | Invoice records must include the following details: | | |
==== R98 ==== | | supplier details | | |
==== R99 ==== | | invoice number | | |
==== R100 ==== | | invoice date | | |
==== R101 ==== | | invoice total | | |
==== R102 ==== | | discount amount | | |
==== R103 ==== | | Delivery/postage and packing charges | | |
==== R104 ==== | | VAT | | |
==== R105 ==== | | supplier servicing charges (lamination, labelling etc) | | |
==== R106 ==== | | links to display orders invoiced | | |
==== R107 ==== | | free text note field | | |
==== R108 ==== | | The system must allow online display of invoice data for a library-defined period | | |
==== R109 ==== | | Invoice processing must reconcile invoice totals and individual amounts charged on invoices with line items | | |
| | The system must provide an alert before accepting invoice data for the following: | | |
==== R110 ==== | | items which have been cancelled | | |
==== R111 ==== | | items which have claims outstanding | | |
==== R112 ==== | | items which are charged to over-committed and overspent funds | | |
==== R113 ==== | | if no parts have been received | | |
| === === | === Fund accounting === | | |
==== R114 ==== | | It must be possible to set up and display hierarchies of funds | | |
==== R115 ==== | | The system must allow transfer of monies between funds | | |
| | The system must maintain and display for each fund: | | |
==== R116 ==== | | fund allocation | | |
==== R117 ==== | | expenditure | | |
==== R118 ==== | | commitment | | |
==== R119 ==== | | cash balance | | |
==== R120 ==== | | Each fund should have the facility for library-defined limits on commitment and expenditure and warnings must be generated when these are reached | | |
==== R121 ==== | | The system must maintain a currency exchange table which can be updated regularly; changes to the currency exchange table should automatically update commitments | | |
==== R122 ==== | | The system must provide procedures for dealing with closing funds at the end of the financial year. It must be possible to roll over commitments to next financial year | | |
==== R123 ==== | | For serial subscription renewals, the system must carry forward commitment based on the actual total cost of that subscription for the previous financial year | | |
==== R124 ==== | | It must be possible to compare fund records for a library-defined number of previous financial years | | |
| === === | === Claiming and cancellations === | | |
| | The system must: | | |
==== R125 ==== | | allow a library-defined default claim period for each supplier | | |
==== R126 ==== | | allow for the default claim period to be amended on individual orders. Amendment of the delivery date should automatically reset the claims cycle | | |
==== R127 ==== | | It must be possible to link to e-mail/fax functions for sending of claims by these methods rather than print/EDI | | |
==== R128 ==== | | allow staff to force or suppress claims for individual items and subscriptions | | |
==== R129 ==== | | allow staff to either review items flagged for claiming before claims are generated, or generate claims without prior review | | |
==== R130 ==== | | allow authorised staff to cancel an order | | |
==== R131 ==== | | allow authorised staff to transfer an order to another supplier | | |
==== R132 ==== | | commitment details must be immediately adjusted upon cancellation of an order | | |
==== R133 ==== | | notify users who have requested/recommended an item if the order is cancelled | | |
| === === | === Export/import of data === | | |
==== R134 ==== | | The system must allow the export of financial data to organisational financial systems | | |