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