University of Edinburgh_______________________________________________________________________________________________________

Stage: Planning

Project Terms of Reference (ToR)

Integration between Library Systems and eFinancials

Scholarly Information Resources

SIR001

AP90-046

Document Version: 0.4

Date: 18/01/2010

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Information Services - Template Revised October 2009

University of Edinburgh_______________________________________________________________________________________________________

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Information Services - Template Revised October 2009

Planning: Terms of Reference SIR001: Integration between Library Systems and eFinancials

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Contents

1 DOCUMENT MANAGEMENT..................................................................4

1.1 Contributors.....................................................................................................4

1.2 Version Control................................................................................................4

2 PROJECT OVERVIEW.............................................................................5

2.1 Priority..............................................................................................................5

2.2 Objectives..........................................................................................................5

2.3 Scope..................................................................................................................5

2.4 Deliverables.......................................................................................................6

2.5 Milestones..........................................................................................................7

3 PROJECT IMPACT...................................................................................9

3.1 Cost Benefit Analysis.......................................................................................93.1.1 Five Year Benefits......................................................................................93.1.2 Five Year Costs........................................................................................10

3.2 Impact..............................................................................................................10

3.3 Risks................................................................................................................10

4 PROJECT ORGANISATION..................................................................11

4.1 Key Roles and Stakeholders..........................................................................11

4.2 Methodology Compliance..............................................................................12

4.3 Resources........................................................................................................134.3.1 Resource Estimate....................................................................................134.3.2 Project Team............................................................................................13

4.4 Project Plans...................................................................................................13

4.5 Communications.............................................................................................13

4.6 Out of Hours Working...................................................................................13

4.7 Additional Information..................................................................................144.7.1 Business Analysis.....................................................................................144.7.2 Possible development work......................................................................144.7.3 Other Information.....................................................................................144.7.4 Purchase types..........................................................................................14

5 TOR APPROVAL....................................................................................16

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1 Document Management

1.1 Contributors

The following people contributed to this document, either directly or by providing input to meetings during the project planning process. They also comprise the group of people who will sign-off this document prior to its review by IS Applications management.

Role Organisation NameProject Manager (Owner) Project Services, IS Apps Adam CarterProject Sponsor Library & Collections Simon BainsBusiness Area Representative Library & Collections Elize RowanBusiness Area Representative Library & Collections Colin WattBusiness Area Representative IS Corporate Finance /

Knowledge Management and Planning

Jo Craiglee

Business Area Representative IS Corporate Finance Nancy BaxterBusiness Area Representative IS Corporate Finance Angela WilkinsonBusiness Area Representative Finance Garry RobertsonProgramme Manager Project Services, IS Apps Rhian DaviesOriginal Effort Estimator Project Services, IS Apps Ruth McCallum

1.2 Version Control

Please document all changes made to this document since initial distribution.

Date Version Author Section Amendment2009-12-02 0.1 Adam

CarterInitial draft.

2009-12-22 0.2 Adam Carter

Updated with information from business partners.

2010-01-08 0.3 Adam Carter

Release candidate. For review by stakeholders.

2010-01-18 0.4 Adam Release candidate for review by full project team. Corrections made following suggestions by Jo and Simon.

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2 PROJECT OVERVIEW

2.1 Priority

This project is considered to be very important.

2.2 Objectives

These should be the objectives identified in the Project Proposal – any changes should be highlighted and a reason given.

O1 Analyse the entire process of making (or renewing) a purchase from the point where something is ordered to the point where all of the details are in Finance’s systems. Analysis will be performed for ordering, receipting and invoicing of (i) firm orders, (ii) subscriptions and continuations, and (iii) standing orders

O2 Identify ways to reduce re-keying and duplication in the processesO3 Investigate ways to automate the movement of financial transactions between the

systemsO4 Take note of any processes related to the purchasing processes referred to in O1

which could be improved and document findingsO5 Implement the highest priority solution(s) as determined by a prioritisation exercise

involving the project sponsor and key project stakeholders

Objectives O1 to O3 are close to those given in the original proposal. The scope of O1 has been clarified to concentrate on a process which is known to include inefficiencies. Objectives O4 and O5 are added to ensure that the analysis phase is sufficiently thorough and that the project does not rush on to implementing a solution to one problem if other issues remain. By ensuring that findings are properly documented, these objectives allow for either (i) a second phase of business analysis if project effort is available or (ii) a well-defined follow-on project for future years.

Objectives O2 and O3 are distinct: O3 relates specifically to automated processes that happen according to some given schedule as opposed, for example, to the manual download or upload of files between systems or manually triggered synchronisation processes.

2.3 Scope

Within the effort constraints of the project it may not be possible to fix all of the issues that are identified during the business analysis. The prioritisation of potential changes to processes should ensure that the most important (and those important tasks that are most urgent) are dealt with properly within the timeframe of this project.

Other clarifications on project scope are as follows: An analysis of current invoicing procedures is in scope for this project Issues relating to discrepancies arising from fluctuating exchange rates, whilst

important, are out of scope for this project.

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A working invoice-matching solution is out of scope for this project. A separate project relating to university-wide electronic invoicing is underway, but it will not conclude within the timescales of this project.

The main focus of the project’s business analysis will focus on the processes used by the library for purchasing. In particular, the following types of purchases will be addressed:

Firm orderso Standard firm orders, including

print books e-books music scores CDs DVDs Electronic back sets etc.

o Items ordered using a corporate credit cardo Online e-book orders

Subscriptions and continuations Standing orders

It should be noted that effort will not be available with IS Corporate Accounts to re-key the invoice data from the start of the next financial year onwards. It is therefore vital that an alternative process is determined by this project within the timescale of the current financial year. Limited effort will be available to continue to deal with any re-keying required to allow the processing of transactions in foreign currencies.

2.4 Deliverables

These should be the deliverables identified in the Project Proposal – any changes should be highlighted and a reason given.

The deliverables of the project are as follows

D1 Business analysis report and recommendationsD2 Implementation planD3 System development work determined by a prioritisation involving the project sponsor and key

project stakeholders

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2.5 Milestones

Note that the milestones described below are likely to change considerably. The nature of this project is such that it begins with an important business analysis process and prioritisation which defines the detail of the work that will be undertaken later.

The main deadline for this project is the end of the financial year and the milestones below are based mainly around the effort that has been approved for this project. After the business analysis phase, the results will be reviewed by stakeholders and priorities for the remaining stage of the project will be identified. An effort estimation will take place at this stage to ensure that the tasks proposed for the remainder of the project matches the effort available.

The length of the business analysis phase has been chosen to be sufficiently long so as to capture the details of the library’s processes but to leave enough time to use all of the effort flagged as development effort from the original proposal.

Description Date Type (& Reason if Required)Planning (this is when the project Terms of Reference and associated documents will be signed off)

2010-01-15 Soft

PPAR (this is when the business requirements for the project will be signed off)

2010-02-23 Soft

PPDR (this is when the design of the proposed solution will be signed off)

2010-04-01? Soft

PPBR (this is when the build stage of the project will be signed off)

2010-05-25? Soft

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PPIR (this is when the solution will be fully integration tested and signed off by the technical team)

2010-06-23? Soft

ASOR (this is when the solution will be fully acceptance tested and signed off by the customer and user community)

2010-07-19? Soft

DSOR (this is when the solution will be signed off following successful deployment)

2010-07-29 Hard. End of financial year. Staffing issues difficult after this time and complications could arise in changing systems during the change of a financial year.

Closure (this is when all closure activities will be completed.)

2010-08-04? Soft

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3 PROJECT IMPACT

3.1 Cost Benefit Analysis

The original Project Proposal contains a cost benefit analysis, which should be used to populate the following sections. These sections will then be used in the Business Analysis stage to identify how benefits will be measured for this project. Any changes in scope since the approval of the Project Proposal should be taken into consideration and the Cost Benefit analysis updated accordingly.

3.1.1 Five Year Benefits

Benefits information must be provided for all projects. Details must be provided of the benefits which are anticipated, how the value of the benefits has been calculated and how benefits realisation will be monitored following completion of the project. Please provide the total amount of benefits expected for the following:

Tangible Benefits Summary5 YearSummary

IT Services Support Groups Colleges Total

Benefits £ 100,000 £ 0 £ 0 £ 100,000

Please provide some background information on the reasoning and method used to arrive at the benefit figures e.g. where a time saving has been identified as a benefit, please identify how the £ amount was calculated, providing details of any assumptions made regarding numbers of staff impacted etc.

Tangible BenefitsBenefit AssumptionsRemoval of double keying and manual intervention. Estimated to be in the region of £100,000 over 5 years

A saving of 1 FTE at grade 5/6 across the whole of IS, based on an assessment by IS Accounts. Note that this corresponds to a saving in time, rather than an actual post. Staff will be freed up to undertake other tasks.

Overview of all processes allowing clear decisions to be made about changes to address inefficiencies.

Whilst this benefit is expected to be tangible, a quantitative estimate of the benefits will be delayed until the end of the business analysis process.

Recovery of library staff time to carry out reconciliation (not possible at present).

An estimate of the library effort that could be spent on other tasks after proposed changes are made will be delayed until the end of the business analysis phase.

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3.1.2 Five Year Costs

Please provide a summary of the total costs expected for the following:

Tangible Costs Summary5 YearSummary

IT Services Support Groups Colleges Total

Costs £ 36,040 £ 10,600 £ 0 £ 46,640

There is likely to be a small on-going cost associated with the maintenance and support of whatever services are provided in the later stages of the project.

A Project Cost Benefit Workbook will be kept up to date during the project.

3.2 Impact

Please provide details of any related projects or services which may be impacted by or are dependent on this project. Pay particular attention to issues such as the extent of the cost impact, the numbers of people affected and potential impact on existing services and infrastructure.

Service Management with IS Applications division have produced detailed guidance for Project Managers of projects with possible impact on University IT services including IDMS, MyEd – Guidelines for Project Managers on Service Owner Engagement in IT Projects.

There are no other IS Applications Group projects on which this project impacts or which impact this project. There is an ongoing project regarding electronic invoicing, but the results of that project will not be available within the timeframe of this project.

Solutions to issues developed in the project may require some ongoing maintenance. The cost/impact of this will be determined before the solutions are implemented.

This project should remove the need for the re-keying of invoice data by IS corporate finance.

3.3 Risks

The following risks have been identified to date. An updated list including details of risk impact and management is included in the Project Risk Register.

R1 Library processes are not necessarily typical purchasing processesR2 Availability of staff in Jo's group next yearR3 Multi-line invoices need to be dealt with properlyR4 Incorrect assumptions may be made about external systemsR5 Availability of library staff

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4 PROJECT ORGANISATION

4.1 Key Roles and StakeholdersPlease use the following table to list the key roles and stakeholders for the project. This list must include Service Owners and Project Managers impacted by the project as identified in Section 3.2. Finally remember to include stakeholders such as Finance, Procurement, ITI Unix FM and Architecture whose input may be critical to many projects where they are not project sponsors, customers or end users.

Where a role or stakeholder has additional responsibilities that are not clear from the role title these should be described in the Responsibilities section of the table below. In particular for any role held by an external agency, e.g. a vendor providing goods or services to the project, the responsibilities of the role MUST be identified. In these cases the information recorded should also include references to any contractual documents, relating to the delivery of these goods or services where this is applicable. Remember however to consider contractual restrictions on data before publishing original documents or detailed information relating to commercial agreements.

Role Who ResponsibilitiesProject Manager Adam Carter Standard*Programme Manager Rhian Davies Standard*Project Sponsor Simon Bains Standard*Business Area Manager (IS Corporate)

Jo Craiglee Review and sign-off each stage of the project

Business Area Representative (Library)

Elize Rowan Review each stage of the project. Be available to answer questions associated with business analysis, or designate other people for project manager to contact to undertake business analysis.

Business Area Representative (Library)

Colin Watt Review each stage of the project. Be available to answer questions associated with business analysis, or designate other people for project manager to contact to undertake business analysis.

Business Area Representative (IS Finance)

Nancy Baxter Review each stage of the project. Be available to answer questions associated with business analysis, or designate other people for project manager to contact to undertake business analysis.

Business Area Representative (IS Finance)

Angela Wilkinson

Review each stage of the project. Be available to answer questions associated with business analysis, or designate other people for project manager to contact to undertake business analysis.

Business Area Representative (Finance)

Garry Robertson

Review each stage of the project. Be available to answer questions associated with business analysis, or designate other people for project manager to contact to undertake business analysis.

* Standard responsibilities are those listed in the Project Roles document from the Standard Methodology. Additional stakeholder information is also provided in the Project Stakeholder Map and Stakeholder Communication Plan.

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4.2 Methodology Compliance

Please use the following table to describe how the project will differ from the standard methodology. In particular highlight any stage, stage sign off reviews, tasks or templates that will be omitted together with notes on the justification for proposed approach,

Methodology Stage

Standard Stage Sign-Off Project Approach

Planning

Approval by Project Manager, Project Sponsor and IS

Applications Management Team (WIS)

Standard

Business Analysis

Peer Project Analysis Review (PPAR)

Standard

Prioritisation Project StakeholdersA short prioritisation stage will be added here to ensure that work that needs to be done this financial year is agreed upon.

System Analysis & Design

Peer Project Design Review (PPDR)

Standard

BuildPeer Project Build Review

(PPBR)Standard

IntegrationPeer Project Integration

Review (PPIR)Standard

AcceptanceAcceptance Sign-Off Review

(ASOR)Standard

DeploymentDeployment Sign-Off Review

(DSOR)Standard

Closure

Closure Review and Approval by Project Manager, Project Sponsor and IS Applications

Management Team

Standard

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4.3 Resources

4.3.1 Resource EstimatePlease detail the resource requirement identified in the Project Proposal. If this has been revised by the estimation team then please include the revised figure together with reasons for the change. A link to an estimation document produced by the team should also be provided.

Original EstimateIS Applications Resource 136 days (£36,040)Business Partner Resource65 days (£17,225)

The project effort estimate will be revisited at the end of the business analysis phase.

4.3.2 Project Team

A dedicated project team is not required for this project.

4.4 Project Plans

Please link to the Project Stage Plan which should include all include major activities such as requirements, design specification, build, acceptance testing and deployment.

Updated Project Stage Plan.

4.5 Communications

This section should be used to define a communications strategy for the project, ie who needs to be told about the project, when and by who. As a minimum a distribution list should be defined to which the monthly project progress report should to be circulated. Other groups may need to be sent information, especially for larger projects, eg Steering Groups.

What Who When By WhomFortnightly Reports All stakeholders Fortnightly, after

circulation of TORAdam

Weekly Meetings Technical team and those interested business parties relevant to the stage of the project

Weekly, after circulation of TOR

Adam

The Stakeholder Communications Plan will be updated as the project proceeds.

4.6 Out of Hours Working

No out of hours working is envisaged during this project.

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4.7 Additional Information

Please use this section to include any additional information relating to this project. As much information as possible should be provided at this time. Where possible refer to the relevant project stages e.g. Business Analysis, System Analysis & Design

4.7.1 Business Analysis Some business analysis (on purchasing cards) has been done several years

ago however details may no longer be relevant Initial business analysis will include a look at the relationship between

Voyager and eFinancials

4.7.2 Possible development work The main difference with Objective O3 is the idea of automation. A

completely automated process may be more difficult and, if it’s necessary to involve Cedar1 in creating a new interface, more expensive. Using the Xcel uploader would probably remove the extra monetary cost, but may require effort.

Currently the Xcel uploader is only being used for journaling

4.7.3 Other Information There are 2 main types of commitment (see Section 4.7.4 for more details)

o Subscriptions roll over at the start of the financial year ~£3Mo Book purchases and standing order payments continue throughout the

year Invoicing

o There is an automated invoicing pilot project ongoing at the momento It is possible that future invoice-matching could benefit from the

outcomes of the pilot projecto An analysis of current invoicing procedures is in scope for this projecto A working invoice-matching solution is out of scope for this project

4.7.4 Purchase typesThis section contains information provided by the Library’s Acquisitions and Metadata Services and expands on the purchase types listed in section 2.3.

4.7.4.1 Firm orders

Firm orders are placed with a variety of suppliers for items such as print books, e-books, music scores, CDs, DVDs, electronic back sets etc., and these are managed via the Voyager integrated library management system.

Orders are generally placed on the basis of academic recommendation, and the majority are supplied within 3-4 weeks – particularly if ordered via one of the 3

1 Cedar are the developers of eFinancials. ___________________________________________________________________________________

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consortial suppliers. In some cases orders may take considerably longer to fulfil, or items may not be supplied at all due to the vagaries of academic publishing.

There is no guarantee that orders placed in one financial year will be receipted and invoiced within the same year, so at the financial year-end, a number of open orders can roll over into the next financial year, and remain on the system as commitments within the Voyager system.

The process begins with receipt of a recommendation for purchase, and once approved and subject to relevant funds being available, a purchase order is created within Voyager - these can be single line or multi line POs. The majority of firm orders are placed with key consortial suppliers, and these POs are pooled and sent daily via EDI to the relevant supplier.

Financial commitments are recorded in the current fund ledger in Voyager at the time the PO is created, and basic bibliographic details in the PO are immediately visible in the online public access catalogue, with order status information displayed to readers. Voyager offers functionality to track and record order status as received via supplier reports, and where appropriate, to initiate claims for unfulfilled orders.

Upon delivery, items are received within Voyager, and an invoice is created. Once the invoice is approved, the commitment is translated to expenditure against the relevant cost centre within the fund ledger. Usually, the order is then completed/closed on Voyager once the items have been received/invoiced, although in some instances multi-line POs may be partially fulfilled and they either remain open until all items are received, or cancelled if the full order cannot be fulfilled.

Paper invoices are coded appropriately, and forwarded to the IS Accounts Team. The IS Accounts team then have to re-key this information into eFinancials, adding an entry for every line on every invoice, resulting in a significant duplication of effort.

A slight variation on this process occurs for items ordered via the corporate credit card, and orders for e-books. In both cases, there can be a time delay between items being receipted within Voyager, and the item being invoiced. POs are created on the Voyager system in the normal way, and line items receipted upon delivery. For credit card orders, POS are not invoiced within Voyager immediately, as monthly credit card statements are received via Finance, and it is at this time that items are invoiced, and the order is completed/closed. The statements are coded on a line-by-line basis to relevant cost centres, before being returned to Finance for recording in eFinancials.

Transactions for Firm Orders may be in GBP, or a variety of non-sterling currencies. In the case of the latter, no attempt is made to reconcile differences in the final expenditure figure which is recorded in eFinancials and which may reflect a variation in exchange rate.

4.7.4.2 Subscriptions and Continuations

The bulk of the Library Materials Budget is allocated to subscriptions for serial and multi-part items, and these are also known as continuations. Subscriptions cover print journals, hybrid print/electronic journals, and fully electronic journals and databases.

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Purchase orders are created for each subscription, and these open orders remain on the system until the subscription is cancelled.

Subscriptions are generally paid annually, and payments are recorded within Voyager against the relevant PO. This can either be a single annual payment, or a number of payments within the financial year, and these can include subsequent additional charges such as reverse VAT charges which are applied by Corporate Finance. Additionally, credits can also be recorded against these types of orders at various points throughout the financial year.

The POs for subscriptions/continuations roll-over at each financial year end, with the new commitment figure being applied globally, and this is dependent on the application of a relevant average global inflation % figure being determined in advance of the roll-over process. Commitment/expenditure for an individual subscription can be allocated to a single fund, or can be split across a number of funds.

Transactions may be in GBP, or a variety of non-sterling currencies. In the case of the latter, no attempt is made to reconcile differences in the final expenditure figure which is recorded in eFinancials and which may reflect a variation in exchange rate.

4.7.4.3 Standing Orders

These are similar to subscriptions/continuations in that they are open orders for multipart series, serial-type publications which have irregular publication patterns, and may be invoiced on a volume by volume basis, with multiple volumes/payments being processed against the PO within any given financial year. The key difference is that a commitment figure is not recorded within Voyager as expenditure can vary from year to year, dependent on publication frequency.

5 TOR APPROVAL

TOR Raised By Adam Carter Date Raised 08/01/2010Date TOR Reviewed 18/01/2010Date TOR Approved Date TOR approved by IS Apps Managers

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