Orders in Acquisitions 16
Aleph 500, version 16
Orders in Acquisitions
Table of Contents
1. Introduction 4
2. Acquisitions Process in ALEPH 4
3. Getting the Bibliographic Record 5
3.1. Getting an Existing Bibliographic Record 5
3.1.1. Pushing a Bibliographic Record from the Staff Search Navigation Tree Tab 5
3.2. Creating a Bibliographic Record from Scratch 7
3.2.1. Cataloging a Bibliographic Record in the Cataloging Module 7
3.2.2. Cataloging a Provisional Record within the Acquisitions and Serials Module 8
3.2.3. Importing a Bibliographic Record from a Bibliographic Utility 9
4. Placing an Order on a Bibliographic Record 10
4.1. Order List Window 10
4.2. Order Types 11
4.3. Order Form 13
4.3.1. 1. Order Display Tab 13
4.3.2. 2. General Tab 15
4.3.3. 3. Vendor Tab 16
4.3.3.1. 3. Vendor Tab (Standing Order or Serial) 18
4.3.4. 4. Quantity and Price Tab 19
4.4. Saving the Order 21
5. Encumbering a Budget 22
5.1. Encumbering During Order Creation 22
5.2. Encumbering After Order Creation 25
5.3. Modifying an Encumbrance 29
6. Sending the Order to the Vendor 30
6.1. Send Button in the Order List Window 30
6.2. Send List of Orders to Vendor (acq-14) Service 30
6.3. Send Orders by EDI (acq-13) Service 31
6.4. Sending Orders with No Linked Budget(s) 31
7. Printing/Canceling/Sending the Order 32
8. Finding an Order 32
8.1. Get Order Index Window 33
8.2. Order Index List Window 34
8.3. New and Cancelled Order Index Window 35
1. Introduction
The Acquisitions and Serials Module enables you to manage vendor, budget, order, and invoice records and runs under ADM type libraries exclusively (for example, ‘EXU50’ and ‘xxx50’). Before you can create any orders, you must first make sure that:
1. A list of budgets has been created using the Budgets node of the Administration Navigation Tree Tab and includes the budget you want to debit. This step is optional according to system settings
2. A list of vendors has been created using the Vendors node of the Administration Navigation Tree Tab and includes the vendor (and the vendor’s currency) you wish to order from
3. A list of currencies has been created and the exchange rates defined using the using the Currencies node of the Administration Navigation Tree Tab
4. There is a bibliographic record in the system in which to attach an order record.
2. Acquisitions Process in ALEPH
ALEPH is a very flexible Library Management System, and does not impose strict restrictions on your workflow. The acquisitions process consists of the following steps (not necessarily in the order specified):
1. The creation of a bibliographic record in either the Cataloguing Module or the Acquisitions and Serials Module (using the Catalog Order form) or via record import from a bibliographic utility.
2. The completion of an Order Form in the Acquisitions and Serials Module
3. Encumbrance of a budget (optional)
4. Dispatch of the order to the vendor
5. Recording Item information
6. Recording the arrival of the material (optional)
7. Registration of the invoice (both General Invoice and Line Item)
8. Debiting of a budget
9. Payment of the invoice
10. Claiming (optional)
3. Getting the Bibliographic Record
Before placing an order on a title, ALEPH requires that a bibliographic record must already exist within the system in which to attach the order. You can obtain a bibliographic record by any of the following methods:
· Using an existing bibliographic record
· Creating a new bibliographic record
· Importing a bibliographic record from a bibliographic utility
3.1. Getting an Existing Bibliographic Record
If you plan to use an existing record, you can search the Staff Search Navigation Tree Tab to locate it and ‘push’ the record into the Acquisitions and Serials Client.
3.1.1. Pushing a Bibliographic Record from the Staff Search Navigation Tree Tab
Within the Acquisitions and Serials Client, you may click on the Staff Search Navigation Tree Tab to search for an exisitng bibliographic record:
For more information about how to use the Staff Search features, please refer to the “Staff Searching” document. In order to utilize the ‘push’ mechanism the record must be displayed in one of the four Full View formats:
Once you have located the desired bibliographic record within the Staff Search Navigation Tree Tab, you may push it directly into the Acquisitions and Serials Client using the button in the lower pane of the Full View of the bibliographic record or use [Alt + V] (or [“F2”]). This action will move the record into the Acquisitions and Serials Client with both the Order List window displaying in the upper pane and detailed order information displaying in the lower pane:
This ‘pushing’ mechanism is also available for Serials, allowing you to ‘push’ journal titles into the Serials features of the Acquisitions and Serials Module. Refer to the Serials Notebook for information on how to ‘push’ a journal title into the Acquisitions and Serials Module.
For information on how to place an order against a bibliographic record, please refer to the “4. Placing an Order on a Bibliographic Record” section of this doucment.
3.2. Creating a Bibliographic Record from Scratch
If the title does not already exist in your catalog, there are two methods within ALEPH for creating an original cataloging record, either within the Acquisitions and Serials Client, or within the Cataloging Client.
In addition to downloading complete bibliographic reocrds from a vendor utility (i.,e. OCLC), you may use the Cataloging Client to create a new bibliographic record and ‘push it into the Acquisitions and Serials Client for order initiation. However, in some cases, you may not have the time or immediate resources to catalog a complete bibliogrphic record before order initiation (i.e. rush orders, CIP titles, etc.), you may use the Acquisitions and Serials Client’s Catalog Record form to create a provisional cataloging record (to be updated at a later date).The following describes the two methods for creating bibliographic records for order initiation.
3.2.1. Cataloging a Bibliographic Record in the Cataloging Module
To create a new bibliographic record within the Cataloging Client click the “Cataloging” button on the Applications Toolbar in the lower right corner of your active ALEPH window to open and/or move to the Cataloging Module:
Please refer to the Cataloging Notebook for complete instructions on how to original catalog a bibliographic record using the ALEPH Cataloging Client.
Once you have completed the bibliographic record in the Cataloging Client, you will need to ‘push’ it into the Acquisitions and Serials Client so that you may place an order on this newly cataloged title. Clicking on the button in the upper right corner of the active Cataloging Client window will move the record into the Acquisitions and Serials Client with both the Order List window displaying in the upper pane and detailed order information displaying in the lower pane.
3.2.2. Cataloging a Provisional Record within the Acquisitions and Serials Module
In certain instances, you may not have the time or immediate resources to original catalog a complete bibliogrphic record before order initiation. The Acquisitions and Serials Client’s Catalog Record form may be used to expidite order initiation by enabling you to create a brief bibliogrphic record in which to attach an order.
All brief cataloged records are automatically flagged by the system using a “trigger” mechanism (a reminder to perform a task related to a specific record) that makes it available for generating the Print Trigger Report (com-01) report. This report can be generated in either the Cataloging or Acquisitions and Serials Modules and lists all incomplete or provisional cataloging records that require futher modification. Please refer to both the “Triggers” document in the Cataloging Notebook and the “Services in Acqusitions” document for more information.
To access the Catalog Record form you may either key [Alt + R + C] or select Orders/Catalog Order from the Acquisitions and Serials Main Menu Toolbar:
The Choose Bibliographic Library window displays first, prompting you to choose the appropriate library (base) for the record beofre continuing:
Highlight the dsired bibliographic library and click “OK”, the Catalog Record form displays:
Complete the appropriate fields with enough distinct information for ordering and click “OK,” the record is saved to the server and assigned a unique system (administrative) number. The Catalog Record form does not format your record, nor does it apply any of the check routines available within the Cataloging Module for record creation. To edit this record and apply check routines, you must open the record in (or push it to) the Cataloging Module and perform these tasks there.
Once you have clicked “OK,” the record is saved to the server (where it is immediately indexed for retrieval) and the Acquisitions and Serials Module advances to the left pane’s Order List node of the Acquisitions Navigation Tree Tab. The Order List window displays in the upper pane with the (inactive) Order Form displaying in the lower pane for this record.
3.2.3. Importing a Bibliographic Record from a Bibliographic Utility
The import of records from supplier files and CD-ROMs is another option for obtaining a bibliographic record. Once you have imported and saved the record, you may send it to the Acquisitions and Serials Client using the same techniques as described for pushing records from the Cataloging Client. Please refer to the “Importing Records in Cataloging” document in the Cataloging Notebook for a complete description of the cataloging process in ALEPH.
4. Placing an Order on a Bibliographic Record
When a bibliographic record is loaded into the Acquisitions and Serials Client, the Order List node of the Acquisitions Navigation Tree Tab will display in the left pane. The Order List window displays in the upper pane with the (inactive) Order Form displaying in the lower pane for this record:
4.1. Order List Window
The Order List window lists the orders related to a particular bibliographic record (single title). For every subsequent order placed on this title, a new line will appear in the list with a unique title order number (regarless of the quantity ordered):
If your System Librarian has determined that the Enc/Active Amt column should be displayed in the Order List window, it will display the Encumbrance Sum, broken down into three parts:
Part 1: original encumbrance amount that is based on the estimated price on the Order Form
Part 2: difference between the original encumbrance amount and the amount on the invoice. This difference is referred to as the Active Amount. (The Active Amount automatically becomes zero when the invoice is registered as Complete.)
Part 3: Currency
4.2. Order Types
There are three Order Types: Monograph, Serial and Standing Order. The following describes how the system defines each of the order types to help you decide which ordering format is appropriate for the order you are placing.
Monograph
A Monograph Order is for a single item, such as an individual book, or for a complete multi-volume work, such as a 20-volume encyclopedia. However, you may also place a Monograph Order for an individual issue of a serial publication, if, for example, the issue has been lost and you wish to replace it.
Serial
A Serial Order is for a publication which is issued as a consecutively numbered and indefinitely continuing series. Examples include newspapers and journals. With a Serial Order, the number of issues to be received during the course of the subscription and the price of the subscription are both known in advance.
Standing Order
A Standing Order is usually for monographs in series (e.g., "Great Artists of the World") or for monographs of a particular subject matter. In either case, the order is usually for volumes that are due to be published in the future. A Standing Order is an open-ended order that remains in effect until it is cancelled. It is usually not known in advance the number of volumes that will be received nor the price of each volume.
Order Number Counter Code
Depending on how your System Librarian has configured the Acquisitions and Serials Module, this field may appear on the form. If the field is present, and you leave it blank, the system will automatically assign an Order Number (based on the "last-order-number" parameter in UTIL G/2). Otherwise, you may activate another counter that your System Librarian may have defined, for use by different libraries or for different types of orders (e.g., monographs vs. serials). To activate another counter, type the code that identifies the counter and click [“Enter”]. The next available number for that counter will be entered in the Order Number 1 field of the Order Form.
To create the order for a bibliographic record, click the “Add” button or use [Alt + A], this evokes the Order Type form:
Once you have determined the type of order you will place, select the appropriate radio button in the Order Type window and click “OK”. The four-tabbed Order Form displays active (serials orders and standing orders will be discussed later, but for the moment we will select the Monograph type) in the lower pane, defaulting to the 2. General tab:
4.3. Order Form
The Order Form is comprised of the 1. Order Display, 2. General, 3. Vendor, and 4. Quantity and Price tabs. To create an Order, you must first complete the 2. General, 3. Vendor, and 4. Quantity and Price tabs of the Order Form in the lower pane of the Ordering window. The underlined tab is the active tab.
In most cases, many of the fields of the Order Form are already populated by the system. Some of these fields are system generated (i.e. Order number 1 and the Order status) while other fields are previously-saved default values that have been subsequently inserted into all new records. Regardless of which tab is active (excluding the 1. Order Display tab), you may access to the “Update”, “Save Def.”, “Refresh”, and “Cancel” buttons. Please refer to the “Acquisitions Navigation Tree Tab and Introduction” document for a complete description of these buttons and their functions.