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ukcs_acquisitions [2018/06/26 20:25] (current)
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 +| ====== 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\\ | \\ | \\ |
ukcs_acquisitions.txt · Last modified: 2018/06/26 20:25 (external edit)