Acquisitions Module (revised 9-14-00)

We would like you to demonstrate for us how your system handles:            
I. Interface/Parameter Functions/Configurations            
II. Fund Accounting            
III. Payment Processing, Invoice Approval/Check Request            
IV. Currency Applications            
V. Audit Trail Requirements            
VI. Reports            
How does the interface look for all            
functions on all screens?            
Can the Interface be configured for an            
individual at a local workstation?            
A. Correctness Testing: All of the fields within the Fund Account          
  Screens will be tested to verify that:          
  a. the documented field size is correct          
  b. the documented field type is correct          
  (Alpha/Numeric/both/special characters).          
  c. the field accepts correct data          
Please demonstrate how your system            
handles the following:            
1. Verify the ability to search by: fund   Yes Essential      
2. Veify the ability to search by: PTAEO PTAEO is the FUND ID number consisting No Desirable      
and by fund name. Demonstrate how of a combination of numbers and letters;          
the system allows navigation by going 32 characters          
able to move back to            
a previous record, then forward to the            
next record.            
3. Verify the ability to do the following:            
a. create or add funds to the database   Yes Essential      
b. close funds   Yes Essential      
c. open funds Sometimes closed funds are opened Yes Essential      
  after the fiscal is over in order to          
  post payments without generating checks,          
  i.e. for prepaid subscriptions, charged to          
  deposit accounts, to create an audit trail.          
d. modify fund records   Yes Essential      
4. Verify that a Fund Account cannot   Yes Essential      
be deleted, i.e. how it is locked            
5. Verify the Fund Account data fields,            
including but not limited to:            
a. amount budgeted   Yes Essential      
b. amount encumbered   Yes Essential      
c. amount expended   Yes Essential      
d. amount expended by type Sometimes funds are used for purposes Yes Essential      
  other than what they are budged for, i.e.          
  part of the funds for monographs might          
  be spent for serials and vice versa          
f. fund code Fund code is the name of the fund, Yes Essential      
  Alpha/Numeric, total of 9 characters          
g. fund id Called PTAEO, Alpha/Numeric, Yes Essential      
  32 charactersin all.          
h. percent available   Yes Important      
6. Verify the ability to freeze:            
a. new orders but permit payment on   Yes Essential      
outstanding order            
b. both new orders and future payments   Yes Essential      
c. individual fund or category of funds   Yes Essential      
at any percentage level            
7. Verify fund accounting transactions (real            
time processing transactions and if            
applicable, overnight processing):            
a. Initial fund monies appropriated   Yes Essential      
b. Additional fund appropriations   Yes Essential      
c. Reallocation/Transfer of budget monies   Yes Essential      
d. Carry forward encumbered funds   Yes Essential      
(year end processing)            
e. Verify fiscal periods display   Yes Essential      
8. Verify Fund Mapping procedure or conversion Review data conversion techniques, options No Important      
of Orbis funds migrating to new system.            
B. LOGIC TESTING            
Verify the logic of the program for Fund            
Accounting and Journal Entry Functions via the            
following test cases:            
1. Verify the initial database load of 80   Yes Essential      
accounts for Monograph Acquisitions and            
80 accounts for Serials Acquisitions.            
2. Vefiry the addition of funds (monies)   Yes Essential      
to accounts            
3. Verify account activity when budget            
balance is effected by:            
a. Purchase Order activity (encumbered)   Yes Essential      
b. Payment of Invoices (spent)   Yes Essential      
c. Application of Credit   Yes Essential      
4. Verify the addition of new Fund Accounts   Yes Essential      
5. Verify the transfer of monies between   Yes Essential      
Fund Accounts            
6. Verify the increase of encumbered   Yes Essential      
percentages and impact on fund activities            
7. Verify the decrease of encumbered   Yes Essential      
percentages and impact on fund activities            
8. Verify the status of Fund Accounts   Yes Essential      
9. Verify the year-end processing of Fund   Yes Essential      
Account balances            
10. Verify global updates to Fund   Yes Essential      
encumbered percentages/s dollars            
12. Verify the ability to permit multiple   No Important      
funds to be used to purchase a single item            
13. Verify the ability to support the   No Important      
maintenance of deposit accounts/prepaid            
14.Verify the ability to support an interface   No Important      
between accounting data and other University            
systems (I.e. Oracle, Data Warehouse),            
outside vendor systems (I.e. Blackwells)            
in-house microcomputer systems (Excel,            
Microsoft Access) via EDI or an export function            
15. Verify the ability to produce fund account Automatic e-mail messages to No Desirable      
depletion alerts, which are fund and/or vendor Selectors/Acquisitions staff          
16. Verify the ability to permit authorization            
of over commitments and under            
commitments using the following criteria:            
a. percent over/under by fund   Yes Essential      
b. total over/under by fund   Yes Essential      
17. Verify the ability to produce deposit account   No Desirable      
depletion alerts which are fund and/or            
vendor specific            
How many pay statements can there   60? Important Important    
be in an invoice?            
How many funds can be used to pay   ? Important Important    
a single invoice?            
Default exists to set currency for Some vendors regularly invoice in their No Desirable Desirable    
specific vendors country's currency. For example the vendor          
  "Select" from Singapore always invoices in          
  Singaporean dollars, while some but not all          
  Canadian vendors bill in Canadian dollars.          
  Mistakes can occur in the payment process          
  because the invoice do not always specify          
  the name of the currency only the $ sign.          
Ability to show discount for an individual item   No Desirable Desirable    
System validates fund and vendor codes Blocks the use of inappropriate No Important Important    
  (e.g. belonging to another library) funds          
  Blocks the use of non-existent codes Yes Essential      
  A person with high level security clearance Yes Essential      
  could manually override existing codes          
  (but not non-existent ones)          
Detects duplicate invoices Will block invoices with same vendor No Important Important    
  & invoice no.;can manually override          
Interfaces with university's oracle-based Comment on (or if possible demonstrate)     Important    
financial database your system’s compatibility with other          
  accounting systems (example: ORACLE)          
  Invoices get paid once on both systems; No Desirable Desirable    
  you only have to enter vendor information          
  and other information in one system          
  and it gets paid in both          
A. Correctness Testing:            
1. Verify that the system has the ability            
to permit invoices to be accessed by:            
a. Vendor invoice num   No Important      
b. P.O. number   Yes Essential      
c. Title   Yes Essential      
d. Vendor name   No Desirable      
e. Vendor code   No Important      
f. Series title   Yes Essential      
2. Verify that information created in fields   Yes Essential      
such as the invoice number, vendor            
code, status, and curency that are created            
at payment, that this information is retained            
and displayed correctly in an            
"Invoice Verification/Approval Screen            
and Check Request"            
3. Verify that the Invoice record is inclusive            
of but not limited to the following:            
a. currency   Yes Essential      
b. date of invoice   Yes Essential      
c. date of processing   Yes Essential      
d. discount (if needed);should be   Yes Essential      
able to override if not            
e. free text field (note field)   Yes Essential      
f. invoice number   Yes Essential      
g. payment period   Yes Essential      
h. price (cost of item)   Yes Essential      
i. purchase order number   Yes Essential      
j. service charge or handling charge,   Yes Essential      
can orverride if not needed            
k. shipping/portage charge,   Yes Essential      
can override if not needed            
l. vendor code   Yes Essential      
m. vendor name and address   Yes Essential      
n. paying library/person paying   Yes Essential      
o. fund code   Yes Essential      
4. Verify the separation of duties, specifically:            
a. order placement is separate from receiving   Yes Essential      
b. receiving is separate from invoice   Yes Essential      
record creation            
c. invoice record creation is separate   Yes Essential      
from invoice approval            
5. Verify that the check request is in Invoice in US currency should agree Yes Essential      
agreement with the invoice total. with total in check request          
  Invoice in foreign currency , total should Yes Essential      
  be converted to US currency, check request          
  should reflect current rate of exchange          
6. Verify audit trail; person's name who   Yes Essential      
approved and date of approval; and name            
of person who created the invoice record            
B. Logic Testing            
1. Verify the invoicing function and the issuance   Yes Essential      
of one check request for one U.S. currency            
purchase order charged to one fund account            
2. Verify the invoicing approval function of three   Yes Essential      
U.S. currency purchase orders and the            
issuance of one check request charged to            
one fund account            
3. Verify the invoicing approval of six U.S.   Yes Essential      
currency purchase orders and the issuance of            
one check request charged to two separate            
accounts = three orders in one account and            
three orders on another fund account            
4. Verify the invoicing approval function of   Yes Essential      
twelve U.S. currency purchase orders and the            
issuance of one check request charged            
to five different fund accounts            
5.Verify the invoicing approval function of   Yes Essential      
three foreign currency purchase orders and the.            
issuance of one check request (in U.S. dollars)            
charged to one fund account            
6. Verify the invoicing approval function of one   Yes Essential      
foreign currency purchase order and the            
issuance of one check (in US dollars)            
charged to one fund account            
7. Verify the invoicing approval function of   Yes Essential      
five foreign currency purchase orders and the            
issuance of one check (in US dollars) request            
charged to three different fund accounts            
8. Verify that the amount on a credit memo Credit memos are issued by vendors for Yes Essential      
has been applied and deducted from the various reasons, i.e., failed prepaid orders.          
check request These memos are used to cover payments          
  for other publications from same vendor          
9. Verify the application of dollar discount   Yes Essential      
given at the time of invoice approval for payment            
10. Verify the addition of postage charges at   Yes Essential      
the time of invoice approval for payment            
charged to one fund            
11. Verify the addition of postage charges at   Yes Essential      
the time of invoice approval for payment            
charged to three funds.            
12. Verify the addition of service/handling   Yes Essential      
charges at the time of invoicing approval for            
payment charged to three funds            
13. Verify the addition of postage or service   No Desirable      
charges at the time of invoicing approval for            
payment and the distribution individually            
over each item            
14. Verify the reporting changes that take   Yes Essential      
place when an order is verified and approved            
for payment            
15. Verify that the check request report   Yes Essential      
issued correctly reflects the check requests            
that are printed            
16. Verify the issuance of check requests   Yes Essential      
for invoice prepayments            
17. Verify that the system has the ability to   Yes Essential      
produce an alert based on vendor code on            
invoice not matching vendor code on order            
18. Verify that the system has the ability to   No Important      
produce an alert based on invoice number            
and vendor code that said invoice is            
already in the system.            
19. Verify that the system is able to interface   No Important      
with ORACLE for FTP data            
transfer of check request information,            
check generation, and data updates.            
20. Verify that the system is able to handle   Yes Desirable      
recording of invoices for partial shipments.            
21. Verify that the system permits the access Access to look only for those who are not Yes Essential      
to the order record during the invoicing process. actually doing the invoice process          
22 Verify the ability to permit multiple   Yes Essential      
invoice lines.            
23.Verify that when adding new invoice lines,   No Important      
the system allows the user the            
choice of sequence for adding new lines.            
24.Verify that the system will send a   No Important      
signal that the maximum invoice lines is            
about to be reached            
24. Verify the ability to permit invoices to be   No Desirable      
held in a save function for later authorization            
of payment or revision.            
25. Verify that the system is able to support   Yes Essential      
online storage of payment history for            
a period of five years.            
26. Verify that the system has the capability Some payments are made free-floating. Yes Essential      
to maintain off-line payment history i.e., not posted to an order          
27. Verify that the system has the ability:            
to receive invoices via            
a. tape   Yes Essential      
b. electronic interchange   No Important Important    
c. keyboard entry   Yes Essential      
28. Verify that corrections can be   Yes Essential      
made manually.            
29. Verify that the system has the . Some invoice records are created to post Yes Essential      
ability to suppress invoices payments for invoices that have been charged to          
  prepayments or deposit accounts. No check          
  request is generated.          
IV. CURRENCY            
Dynamic currency update Can the system link to a database that No Important Important    
  would automatically update exchange          
A. Correctness Testing            
1. Add a currency to the system and   Yes Essential      
make the status active.            
2. Modify some data:            
a. status   Yes Essential      
b. conversion rate   Yes Essential      
c. description   No Desirable      
d. currency i.d. I.e. code, usd for US $ Yes Essential      
3. Verify the audit trail, when record was   Yes Important      
last updated and by whom.            
4. Verity that there are real-time updates   No Important      
of currency.            
5. Verify that the system is able to support   Yes Essential      
multiple currencies, at least 30.            
B. Logic Testing            
1. Verify the purchase and payment   Yes Essential      
of materials in US dollars.            
2.. Verify purchase of foreign materials in   Yes Essential      
foreign currency and paid in US dollars.            
3. Change the currency conversion            
rate and verify its effect on:            
a. open encumbered orders / real time updates.   Yes Essential      
b. future purchase orders   Yes Essential      
c. invoice approval and check request   Yes Essential      
V. AUDIT TRAIL            
1. Verify that the system has the capability to            
maintain a machine-readable audit trail for all:            
a. Financial activities   No Important      
b. override requests for financial data   No Desirable      
c. failed access request to financial data   No Desirable      
2. Verify that the system has the following            
information available in the audit record:            
a. persons name responsible for the transaction   Yes Important      
b. date   Yes Important      
3. Verify that the system’s audit trail   Yes Essential      
is not alterable.            
4. Verify that the system can produce a   No Important      
paper trail of the audit trail data.            
VI. REPORTS            
1. Verify that the system is capable of            
generating the following fund accounting            
a. Accounts payable journal   No Desirable      
b. summary level reports of account balance   No Important      
c. detail level reports of account balances   No Important      
d. detail level reports of encumbrances   No Important      
e. expenditures   No Important      
f. transaction report by fund   No Desirable      
h. deposit account transaction report   No Important      
2. Verify that the system is capable of            
generating summary and detailed financial            
a. by fund/account - summary   Yes Essential      
b. by fund/account - detailed   No Important      
c. by divisional library or for the Yale   No Important      
Libraries as a whole            
3. Verify that the system permits on demand List of outstanding orders committed to a No Important      
reports, customized. fund account, with prices and dates of order          
4. Verify that the system is able to make Keyword searching by fund code and order No Desirable      
available for display and/or print fund accounting status          
data and associated order information            
5. Verify that the system has the ability to   No Desirable      
chart or graph reports.            
VI. VENDOR RECORDS            
Demonstrate what fields are available as contact   We expect to see at least the following fields,        
points for vendors.   and we expect to have appropriate fields        
    available both for multiple contact points and        
    persons (e.g., main, claiming, returns, payment,        
    sales rep, customer service rep, accounting        
    representative as well as phone, fax, e-mail, URL)        
    Name Yes Essential    
    Address/City Yes Essential    
    State/Province Yes Essential    
    Zip/Postal Code Yes Essential    
    Country Yes Essential    
    URL No Important    
    email No Important    
    phone Yes Important    
    fax Yes Important    
    vendor code (assigned by Yale) Yes Essential    
    status (active, inactive, blacklisted, etc.) No Desirable    
    currency most often associated with this vendor No Desirable    
Demonstrate the length of each of these fields.   Is there a limit to the number of   Important    
    characters that can be present in any of these        
    fields? In particular, is the vendor code        
    field limited?        
    We expect that the vendor code can be Yes Essential    
    Alpha/Numeric, at least 10 characters in length        
Demonstrate how searching works in the vendor   We expect to be able to search:        
file.   a. by vendor name Yes Essential    
    b. by vendor code (assigned by Yale), Yes Essential    
    c. by key words within the vendor name Yes Important    
    d. by fields within the vendor file, I.e. country/city Yes Essential    
Demonstrate what would happen if we tried to   We expect to somehow be alerted that a No Important    
create a record for a vendor that   record already exists        
already exists in the file.   For example, we currently have 8 vendor        
    records for Blackwells,        
    because they have so many variant addresses        
    and names,and we have no good way to        
    distinguish or compare these duplicates.        
    We expect to be able to have a sort of No Important    
    "authority control"over the vendor names        
    in the file.        
Show us what the screen will look like when we   We expect to be able to sort our results in Yes Essential    
search for a vendor.   different ways (alphabetical by vendor name,        
    by vendor code, etc.)        
Demonstrate how we can view vendor record   We expect to be able to view this information No Desirable    
information from other modules or areas of the   while in an order screen or a serials        
system.   checkin screen.        
Demonstrate how acquisitions and collections   Report design and creation needs to be flexible No Important    
staff can design and produce customized   and easy. We expect that report writing will not        
reports to be run on a predetermined schedule   be limited only to systems staff        
or on demand.            
  We would expect to be able to use data from No Important    
    all fields, including notes fields, in report creation.        
    Show examples of some of the following        
    operational reports and demonstrate        
    the ability to modify elements on demand:        
    Daily or weekly reports: No Important    
    Purchase orders No Important    
    Purchase order summary No Desirable    
    Claim letters No Important    
    Cancellation letters No Important    
    Permission to return letters No Important    
    Approval and blanket order plan titles No Important    
    loaded with duplication checking        
    Claims report – rush and non-rush No Desirable    
    Examples of other operational reports we        
    would like to create on an as-needed basis:        
    Open orders by vendor No Important    
    Titles on order by fund No Important    
    Titles received by fund No Important    
    Received orders, not yet invoiced No Desirable    
    Invoiced orders, not yet received No Important    
    Received orders, not yet cataloged No Desirable    
    Ability to report the current status of any or No Desirable    
    all titles ordered or received        
    Vendor performance statistics No Desirable    
    (from order to check-in)        
    Report of discount percentages No Desirable    
    Reports by subsets: fund, type, vendor, etc. No Desirable    
    Order count by person No Important    
    Receipt count by person No Important    
    Report expenditures by vendor or country of origin No Important    
    Examples of reports that may pull information :        
    from notes fields in the order record        
    All out-of-print materials on order for a specific No Important    
    time period        
    All books ordered for course reserve by No Desirable    
    semester or by single course        
    All materials that have a patron request attached No Desirable    
Demonstrate the ability to build receipt statistics   We would expect to define material types in No Important    
that can be reported on a regular schedule.   each order record. These type codes        
    would then be used to construct receipt statistics        
    that can be tallied and reported by location        
    to build monthly and annual statistics of materials        
    added to the Collection        
Demonstrate the capability of this system to   We need to regularly export data to external tools Yes Essential    
export or import specified data.   such as MS Access or EXCEL and use FTP        
    to send data to vendors (e.g., serial subscription        
    data extracts).        
    We need to import data from outside sources. Yes Essential    
    For example, import serial vendor renewal        
    invoices. Import bibliographic records        
    from LC Resource File, OCLC, RLIN, MARCIVE,        
    and vendors.        
Demonstrate the capability to create comparison   Examples would include comparing fund activity No Desirable    
reports.   for two or more specified years or the average        
    costs year by year for a specific fund or material        
Is your system compatible with other tools/       Important    
programs? If so please list.            
Demonstrate how your system allows us to   We would like the ability to create and assign Yes Essential    
indicate that an item/piece is ON ORDER,   accurate, specific and timely “statuses”,        
CLAIMED, BACKORDERED, RECEIVED,   i.e., locations and circumstances for items/pieces        
ON ROUTE TO LIBRARY, IN LIBRARY.   What we expect to happen is: We are able to: Yes Essential    
    create and assign appropriate, customizable        
    change them when needed,        
    and/or attach time limits to them        
Demonstrate in your system how changing the   We would like the ability to create/assign Yes Essential    
“status” in the Order module/function from   “statuses” in one module/function/record        
On Order to Claimed appears in the OPAC,   and have them appear and affect all other        
how Circulation (and all) staff can access the   modules/functions/records.        
details/notes, and how staff can add to the            
details/notes.   What we expect to see is: When Acquisitions        
    staff changes an Order Record        
    from ON ORDER to CLAIMED/date,        
    a. this status should appear immediately in the Yes Essential    
    OPAC Record for users and Public Services staff        
    to see        
    b. Public Services staff should be able to access Yes Essential    
    Details/Notes about this change.        
    c. Public Services staff with appropriate permission No Important    
    level should be able to add        
    Details/Notes to this field such as “Please Notify" …        
    We would like staff and patrons to be able to No Desirable    
    attach a request to an Order record/function and        
    thereby automatically generate a RUSH status.        
Demonstrate how your system would allow staff   We would like a similar interface for all modules No Important    
working in an Item Order Record/function to:   or a GUI based system so the user can access all        
easily & simultaneously access the Cataloging,   functions/modules simultaneously, quickly,        
Serials and Circulation functions/records/modules,   and easily.        
to work in all of them according to their permission            
level, to link or cut & paste information between   What we expect to see is a Windows environment No Important    
all functions/modules.   in which staff can access different        
    functions/modules at the same time or move        
    between them using one or two key strokes        
    or commands at most,        
    cut & paste information between windows        
    and/or link fields between        
Demonstrate how your system can display or be   We would like complete author/title fields and No Desirable    
modified to display complete author & title,   order information available to staff on the main        
fund, vendor, cost, payment history, status history,   Order screen        
notes, and appropriate dates            
    What we expect to see is all the information No Desirable    
    mentioned on the main Order screen        
Demonstrate how your system displays a record   We would like consistency and integration No Important    
in the following modules/functions: Ordering,   Between/among modules/functions/records        
Cataloging, Serials, OPAC   in terms of menus, commands, fields and        
    completeness of information        
    What we expect to see is the same vocabulary No Important    
    to describe the same functions in the menus and        
    fields in all modules/functions.        
Electronic Data Exchange   Ability to exchange acquisitions information in No Important    
    electronic form according to the latest standards        
    (ANSI X12, UN/EDIFACT, BISAC, SISAC) using        
    industry implementation guides. This includes our        
    ability to send orders and claims to vendor and        
    and receive electronic acknowledgments from        
    them; also their ability to send and our ability to        
    receive invoices, claim responses, dispatch data,        
    and reports electronically        
Interfaces with University's Oracle-based   Invoices get paid once on both systems; you only No Important    
financial database   have ot enter vendor & other information in one        
    system and it updates both        
Can order, pay, and claim electronically and   For non-EDI standards compliant vendors, what No Important    
record these activities in system for non-EDI   capabilities exist for ordering, claiming and paying        
compliant vendors   electronically and recording these activities in the        
    system (as with, for example, the NOTIS VITLS        
Demonstrate how you load records from book   We would expect a duplication check to be No Important    
vendors, particularly Blackwells   performed when records are loaded        
  Essential We would expect a report to print out of all records No Important    
  Important orders, with duplicates noted.        
    We would expect to be able to load multiple funds No Important    
  Essential and locations for each vendor.        
  Important We would expect to load records as received and No Important    
    invoiced, if we so chose.        
  Important We would expect cataloging, vendor and No Important    
    processing notes entered in the vendor record        
    to load into the appropriate fields in your system.        
    We would expect the ability to edit downloaded No Important    
  Essential records when necessary, including vendor        
    We would expect to load records with various No Desirable    
  Important statuses or conditions. For example, load as a        
    request, an order, ordered and received,        
    ordered and received and invoiced.        
Provide list of all book vendors with whom you are       Important    
currently working with to load records into            
your system            
We would like you to demonstrate for us how your system handles:            
I. Interface/Parameter Functions/Configurations            
II. Ordering            
III. Order Maintenance            
Demonstrate how to order a second or replacement copy of a title already in the database.            
V. Invoicing            
VI. Vendor Records            
VII. Statistics and Reports            
VIII. OPAC Display of Orders            
IX. Automated Acquisitions            
How does the interface look for all functions     Important      
on all screens?            
Can the interface be configured for an     Important      
individual at a local workstation?            
II. ORDERING            
How many order records can be associated     Important      
with a title            
Demonstrate how to create an order for a   Yes Essential      
new title, not already in the database            
Demonstrate how to create an order for a We would expect for the three ways          
title by retrieving the MARC records from an of ordering that:          
outside source, such as OCLC, RLIN, System will perform a duplication check against Yes Essential      
MARCIVE, etc. existing order records and bibliographic records          
  indicating exact and near matches in the          
  database, in one search          
  We would have ability to indicate type of Yes Essential      
  material being ordered, ex: monograph, serial,          
  recording, etc., and subsequently run receipt          
  statistics from this field          
  We would have ability to indicate variety Yes Essential      
  of formats, ex: print, microfilm, CD, etc.          
  We would have ability to view ENTIRE title field Yes Essential      
  We would be able to charge the order NO Important      
  to multiple funds (by $ amount or %)          
  We would be able to order multiple Yes Essential      
  copies for multiple locations          
  We would be able to order multiple Yes Essential      
  volumes or pieces          
How long are the note fields in the order record We would like to be able to put in Limited Important      
  notes for special          
  receipt processing, i.e. reserve, requester, etc.          
Demonstrate how foreign currency is indicated   Yes Essential      
on an order and how to view equivalent in            
in US dollars            
Demonstrate what happens if a staff member We would expect that this will not be allowed Yes Essential      
who does not have ordering permission tries            
to order a new title            
Demonstrate what happens when:            
There is not enough money in the fund. Ex:            
order a $25 book against a fund with $10 balance            
A fund is getting near $0 balance. Ex.: order a            
$50 book against a fund with a $55 balance            
A book is ordered that costs over a certain We would expect to receive some kind Yes Essential      
dollar amount specified by us. Ex: over $100. of alert for each of these situations          
Demonstrate what happens if one tries to We would expect that the order will not be Yes Essential      
create an order and there is no library created.          
Create an order and display how the We would expect ability to choose whether No Important      
purchase order # is assigned. the system assigns the number or the          
  staff person has the ability to override          
  system and assign the number. We need          
Demonstrate how related files are updated to be able to use the serials order numbers          
with new order information currently in place          
  Ex: Show how order displays in the OPAC          
  Show how fund encumbrances are affected          
  We would expect that all appropriate files Yes Essential      
  would be updated in real-time.          
Can create and save an order, print   No Desirable      
it after it has been revised ?            
Demonstrate the actual output of the order. Show an example of a printed order.We would Yes Essential      
  like flexibility in choosing which fields print out          
  and which are suppressed. For example,          
  we would like an estimated price suppressed.          
Demonstrate how your system retrieves We would expect that exact matches would Yes Essential      
an existing order. retrieve the order, whereas near matches          
  would display a browse screen.          
  We would expect to see clearly on the initial Yes Essential      
  retrieval screen:          
  Author, title, edition, publisher, year, price;          
  easy access to notes, invoice, vendor          
  and order history; current status of order          
  (on order, claimed, backordered, received,          
  cancelled, invoiced, paid) and relevant dates.          
Can search titles in the vernacular   No Desirable      
Can search by keyword in the order/serials/   No Desirable      
cataloging modules            
Demonstrate how to edit/update an Add a patron request and mark order Rush Yes Essential      
existing order Claim an order Yes Essential      
  Add a status report to an order Yes Essential      
  Change the title Yes Essential      
  Change the price Yes Essential      
  o Cancel an order Yes Essential      
  o Edit, update and add both a Processing Yes Essential      
  Note and a Cataloging Note          
  Change the fund Yes Essential      
  We would expect that the printed memo to the No Important      
  vendor will clearly state whether it is an orderor          
  a cancellation.          
  We would expect that claims and vendor Yes Essential      
  reports would be easy to add, update          
  the order status and estimated delivery          
  date automatically, and clearly display the new          
  status on the initial retrieval screen of the order.          
  We would expect that title changes would Yes Essential      
  automatically be reflected in the OPAC.          
  We would expect that price changes would Yes Essential      
  adjust encumbrances accordingly          
  We would expect automatic generation of a Yes Essential      
  cancel letter,          
  suppression of display on OPAC, No Important      
  and committed money freed from encumbrance Yes Essential      
  We would expect that only one authorized Yes Essential      
  person can edit/update an order record at a time          
  We would expect that the order record Yes Essential      
  would be available only for viewing          
  while it is still open at another workstation          
  We would expect that the system will indicate Yes Essential      
  who or which workstation has the open record          
Demonstrate how claiming is done – We would expect that claims would be No Desirable      
automatically and on demand generated automatically for orders not          
  filled by expected delivery date          
  We would expect that we would be able to No Important      
  override the generation of automatic claims          
  We would expect that claims can be Yes Essential      
  generated manually          
  We would like to see an example of a claim Yes Essential      
  letter and a report listing all orders needing .          
  to be claimed          
Demonstrate how one views the history   Yes Essential      
of an order – order date, updates, claims,            
cancellations and the name of staff            
member who performed each function            
Demonstrate how to re-order a title that We would expect that prior ordering Yes Essential      
the original vendor can’t supply history would be maintained in the record,          
  as well as history of where and when an order          
  was sent.          
Demonstrate how to re-order something . Ex: We ordered “Journal of Fluid Mechanics,          
that was only partially filled v.1 #1-4. Vendor could supply only          
  #2 & 3; we would like to try a different          
  vendor for #1 & 4.          
  We would expect easy editing of original Yes Essential      
  order to reflect what was actually received.          
  We would expect to easily transfer order Yes Essential      
  history from original order to new order          
Alert that something is going to expire We would expect an alert or a report that could No Desirable      
(for subscriptions, standing orders). be generated to tell us payment has not          
  been made for the coming subscription year,          
  Or that no payment activity has occurred on No Desirable      
  an order in a specified amount of time, e.g., no          
  payments recorded within the last year.          
Demonstrate what happens when a staff Can updating by staff be restricted to certain Yes Essential      
member without updating permissions fields? For example, can some staff be allowed          
tries to update an order. to add a patron request note but          
  NOT be allowed to do a vendor change?          
At point of receipt, we would like to view            
as much information as possible on the main            
receiving screen            
Demonstrate how your system allows us to   Yes Essential      
view full bibliographic information, price, vendor,            
number of volumes, number of copies,            
cataloging or other notes any relevant status            
messages (e.g., already received in acquisitions).            
Demonstrate how we might re-label that initial We would like flexibility in receiving multi-part Yes Essential      
receipt as a “part 1”, and then orders. For example: if an item was received for          
receive the 2 nd volume as a “part 2.” what was thought to be a single-volume title,          
  but we later discovered that a 2nd volume exists.          
Demonstrate how your system removes We would like status (e.g., from “on order” to Yes Essential      
an estimated delivery date from “received, in process”) of a received ordere to          
an order, when that order is being received. appear in the catalogue as soon as possible          
    Yes Essential      
  Comment on and demonstrate the time lapse          
  needed in your system to          
  accommodate this change in status.          
Demonstrate how your system handles returns When returns are necessary, we would like No Desirable      
  to have specific reason for return          
  attached to the online return transaction          
  We would also like—at point when online No Desirable      
  return is being done—to have access to          
  vendor's guidelines for returns and to have          
  option for automatic generation of a return letter.          
Search by local control numbers We would expect to be able to retrieve No Desirable      
  records by local control numbers.          
  (Yale assigns shelving numbers to newly          
  received books that have no cataloging          
  copy. They are called "frontlog nos.")          
V. INVOICING            
It will be necessary for us to build invoices            
online at any stage in order fulfillment            
(i.e., before order receipt, during order            
receipt, or after order receipt).            
Demonstrate how your system will offer   Yes Essential      
flexibility in this area.            
  We would like the flexibility to suppress Yes Essential      
  invoices. Some invoices are created          
  not to generate checks but to show          
  how the book was paid for, I.e. charged          
  against prepayments, deposit accounts, etc.          
Demonstrate how your system handles We would like the ability to tag certain No Important      
special situations for invoices/checks invoices for RUSH payment          
through notes. We would like the ability to request that Yes Essential      
  checks be sent back to the paying library.          
  We would like the ability to send Yes Essential      
  attachments with the checks.          
  We would like the ability to put comments Yes Essential      
  in the check stub. Sometimes several          
  invoices from the same vendor are paid in batch          
  with one check. It is important to be able to          
  identity which invoices are covered by the check.          
Demonstrate the variety of invoice searches We would like to search for invoices in a variety          
available in your system. of ways:          
  by invoice nos., Yes Essential      
  by purchase order nos., Yes Essential      
  by vendor code No Desirable      
Demonstrate your system’s flexibility in We would like flexibility in entry and Yes Essential      
the invoice creation process. completion of invoices. For example,          
  it may be necessary to begin an invoice entry,          
  exit that entry, and then return to the entry          
  at a later point for completion.          
Can changes be made after an It will also sometimes be necessary to make . No Desirable      
invoice has been approved? corrections to invoice entries          
  Sometimes corrections to vendor codes. No Desirable      
  or fund codes have to be made          
Demonstrate how your system allows us to With some of our vendors, invoices contain. Yes Essential      
distribute costs to a Monograph budget both Monograph and Serial charges          
and Serials budget for an invoice that contains We need to debit the Monographs account          
multiple items (a serial and a monograph). separate from the Serials account.          
Demonstrate both the number of characters We expect that your system will also Yes Essential      
or digits that the invoice number field accept alpha/numeric invoice nos..          
in your system will accept .            
Demonstrate how your system can re-sort We would like flexibility in entering line items No Desirable      
line items according to page/line numbers not in sequential order on a particular invoice.          
  Sometimes shipments for different libraries are          
  combined resulting in mixed invoices. Some          
  libraries prefer to post their own payments.          
  We would like libraries to pay for all the items          
  belonging to them before passing the invoice          
  on to the next library.          
Demonstrate your system's flexibiity in Sometimes a publication is transferred from the Yes Essential      
accepting payments from one library for an ordering library to another location. We would          
order originated from another library like the ability to have the ordering library post          
  the payment using the receiving library's fund          
  because in most instances the transferred item          
  is part of a big shipment. We would like to be          
  able to finish the invoice payment and approval          
  process in one location.          

Last Updated on 9/15/00
By Edita Baradi