E-commerce questionnaire | ICAEW

e procurement questionnaire V1.1

ICAEW Accredited Products Scheme

[E-Procurement Evaluation]

[Company Name]

[Product Name Version number]

[Company /Product logo]

Evaluation carried out by: [Name of Evaluator]

Date completed:

Signed:

e procurement questionnaire V1.1

Contents

Section Page

1 Summary1.1 Introduction1.2 Concept of software under evaluation

2 Approach to evaluation2.1 Objective2.2 Approach, including work performed2.3 Software/hardware utilised2.4 Report structure

3 Matters to consider before purchase3.1 General overview3.2 Supplier background3.3 Product background and Suitability for user3.4 Typical implementation3.5 Vertical applications3.6 Minimum recommended hardware specification3.7 Operating system supported3.8 Databases supported3.9 Support/ installation/partners network3.10 Software installation & support3.11 Limitations

4 Evaluation conclusion

Disclaimer

5 Technical Evaluation Questionnaire Functional Requirements5.1 Security and continuity of processing5.2 Supplier relationship management5.3 Data input5.4 Purchase requisitions and order processing5.5 Supplier payments5.6 Performance of requisite functions5.7 User documentation5.8 Efficiency/user experience5.9 Integration and infrastructure5.10 Support, maintenance and service level

6 Supplemental questions6.1 Sales order processing and invoice production6.2 Purchase order processing6.3 Stock control

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The Prologue – section 1- 4 should follow.

Functional requirements questionnaireProduct: Version:

Question Supplier Response Evaluation confirmation

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5.1 Security and continuity of processing

1. Are different levels of securityprovided to control access?

2. What forms of user authentication aresupported e.g. username/password,certificates, tokens, kerberos etc.

3. Is each user required to have a uniqueuser account?

4. What is the maximum number ofusers that can set-up on the system?

5. What is the maximum number ofconcurrent users using the system?

6. Can users be grouped for securityaccess, management and controlpurposes?

7. Can users be delegated specificadministrative tasks? If so, brieflydescribe how delegation works.

8. What is the lowest level at whichaccess permissions can be set? E.g.system level, menu level, field level,file level.

9. Can account policies be set for:i) Password complexityii) Periodic forced change of

passwordiii) Lockout policy for failed logins

10. Can users be granted administrativerights over the system?

11. Do the systems access controlsintegrate or refer to the underliningoperating system access controls?

12. Can system navigability beconfigured or personalised by or forusers? How is this controlled?



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13. What procedures and warnings existwithin the system in order to validateuser actions?

14. Are there any logging facilitiesprovided by the system? If so, whatevents are logged? Is the level oflogging configurable?

15. What processes and procedures are inplace to ensure that data is backed upand can be recovered in emergency?

16. Can backups be scheduled to runautomatically?

17. Is there a facility for alertingAdministrators to failure of thesebackup services?

18. What controls are provided to ensurethe integrity of data in storage andduring transmission? E.g. encryption

19. What controls are provided to ensurethe confidentiality of data in storageand during transmission? E.g.encryption

20. Does the system require the use ofany technologies that may beconsidered as a security risk?E.g. ActiveX, JavaScript, Cookies



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21. Where the system is provided by anASP:

i) What are the implications of theData Protection Act overinformation held by the ASP?

ii) What security controls are inplace over• systems,• server,• applications, and• data, within the ASP?

iii) What are the BusinessContinuity plans in place?

iv) How often are BusinessContinuity plans tested?

v) What is the proposed systemsavailability percentage?

vi) Is the service available 24x7 orare there downtime periods formaintenance?

vii) Is the customer made aware ofmaintenance periods inadvance?

viii) What are the implications if theASP ceases to exist?

ix) Is a system log maintained bythe ASP that details useractivity, error messages andsecurity violations?

x) Is this log available to thecustomer?

22. Are there any features provided withthe system to help track downprocessing problems?



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23. Are system messages clear and areuser responses properly structured toensure that erroneous key strikes donot lead to inappropriate actions?

24. What are the procedures for handlingdates: (e.g. 2 digit, 4 digit).

i) In the case of two digits whatis the break point for thecentury?

ii) Are dates handledconsistently throughout thesystem?



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5.2 Supplier Relationship Management

1. Describe briefly how Suppliers areadded to the system.

2. Is there a maximum number ofsuppliers that can be maintained onthe system?

3. Can searches be performed by thefollowing criteria:

1. Geographic location2. Product/service type3. Name or part name4. Post code5. Membership body6. Supplier Product/Service code

4. Please state any further searchcriteria available in addition to (3)above.

5. Can search criteria be concatenated?

6. Are search criteria cached so thatdifferent users entering the samesearch criteria will receive the sameresult?

7. If (5) is available, can the age ofthese cached results be set (in orderto take account of changing pricesbetween searches etc.)

8. Can or have interfaces been builtbetween this system and suppliersstock/SOP systems to provide onlinestock availability and delivery leadtimes.

9. Can the system integrate withcustomers existing logistics, deliveryscheduling and back office systems?



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10. Are supplier products/servicesrecorded as catalogues in the system?If so,

i) How are these cataloguesmaintained?

ii) Can catalogues be importedfrom supplier systems or files(please briefly outline fileformats accepted)?

iii) Are facilities provided tomaintain price changes?

iv) Are all changes logged by thesystem?

v) Are validity/integrity checksperformed by the system?

vi) Will imports fail if part of thedata fails validation?

11. Are price changes applied to ordersawaiting authorisation or finalprocessing?

12. Are tools provided to assist with theimport and validation of suppliercatalogues?



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5.3 Data Input

1. System navigability:

i) Is the linking of pages intuitiveand easy to use?

ii) Can users access all areas ofthe system from acentralised/personalisedlocation?

2. i) Is the user required tocomplete all compulsory fieldsat each stage of data inputbefore processing?

ii) Does the system provide inputvalidation checks and validitychecks?

iii) What is being validated?iv) What type of validation

software is used, e.g. PAF,gone aways, deceased,NCOA?

v) Can the user abort data input atany stage?

vi) Can the user return to aprevious stage of data input tomake amendments?

3. Are input errors by the userhighlighted? Are they rejected andreported on screen? If validation ofuser input occurs, how is thisimplemented and why?

4. Does the system create a detailedaudit trail of all user activity, whichcan be accessed by the user?

i) Are input sessions allocated aunique reference by thesystem?

ii) Where is this audit trail held?

iii) Is this trail adequatelyprotected from deletion?

iv) Can previous session details beamended or extended by theuser?



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5.4 Purchase Requisitions and Order Processing

1. Does the system provide for theraising of purchase requisitions byusers?

2. Are authorisation levels applied tolimit requisitions? If so,

i) What are the limitingparameters that can beset? e.g. monetary,quantity, type ofgood/service.

ii) Can authorisation levelsbe applied per user and/orgroup of users

3. Are requisitions for the samegood/service combined by thesystem e.g. to take advantage ofquantity discounts.

i) How is this process controlled?ii) Can an authorised user

override this process?

4. Are requisitions held by the systemuntil minimum order quantities havebeen achieved?

i) How is this process controlled?ii) Can an authorised user

override this process?

5. Is a workflow system utilised tostreamline the authorisation process?

6. Can the requisitioning system beintegrated with Customers existingPurchase Ordering Systems?

7. Can the workflow system cater formore than one authoriser beingrequired for particular type ofrequisition e.g. capital goods, highvalue orders?

8. Are orders raised automatically uponauthorisation of requisitions?

9. Are orders automatically combinedby supplier?



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10. Can orders be amended or cancelledafter authorisation? Is a log of allsuch amendments maintained?

11. Are orders submitted electronicallyto supplier’s systems?

12. Does the system perform budgettracking?

13. Where an order will result in abudget being exceeded, whatadditional alerting and authorisationprocess is initiated by the system?

14. Can submitted orders be tracked bythe system by integration withsupplier’s systems order trackingfacilities?

15. Does the system provide a deliveryscheduling system to enable theplanning of the logistics of largedeliveries?

16. Can the system integrate withCustomers existing delivery-scheduling system.

17. Does the system provide alerts to keyusers for impending deliveries ordelays?

18. Does the system provide for input ofdelivered quantities against orderedquantity via hand held wirelessdevices?

19. i) Are purchase invoices receivedand registered on the systemelectronically?

ii) What file formats are accepted forthis purpose?

20. Are purchase order, goods receivedand purchase invoices matchedautomatically by the system.



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21. Does the workflow system enable theauthorisation of purchase invoices byappropriate personnel? Brieflyexplain how this is achieved.

22. Does the system automatically flagdiscrepancies in the matchingprocess to appropriate personnel?

23. Does the system provide purchaseledger facilities?

24. Can the system integrate withcustomers existing purchase ledgersystems?



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5.5 Supplier Payments

1. Does the system provide for thepayment of Invoices and generationof Remittance advices

2. Does the system produce a suggestedpayments schedule?

3. Is the payments list passed forauthorisation using electronicworkflow?

4. Can the list be amended for additionsand deletions?

5. Once authorised how are paymentsmade:

i) Electronically by BACSii) Integration with Online

banking systemiii) Printed chequesiv) Via Merchant bank servicesv) Other (please specify)

6. How is this process controlled?

Note: If the system under evaluation contains an integrated financial accounting suite the fullaccounting evaluation questionnaire will need to be completed.



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5.6 Performance of requisite functions

1. i) What is the typical availabilityof the system?

ii) How fault tolerant is thesystem? (provide details ofmeasurement/service levels)

iii) How robust is the system?

2. What are the main areas ofinformation covered by the product?

3. What are the main sources of theinformation provided by the system?

4. How frequently is the informationprovided updated or verified?

5. How does the seller/service providerverify that the information providedis accurate?

6. How are updates verified?

7. What are the key types ofinformation that can be provided bythe product?

8. What disclaimers are there in respectof the information provided?

9. How is the user notified if theinformation in the database issignificantly updated?

10. Are any other related servicesprovided by the seller/serviceprovider?



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5.7 User documentation

1. Is documentation provided in theform of a download and/or by on-screen help files? Does it includeinteractive elements? E.g. Flash etc.

2. Is the documentation clearly laid outand understandable?

3. Is the documentation comprehensiveand accurate?

4. Is it easy to locate specific topics inthe documentation when required?

5. Is it easy to follow through allprocedures in the documentation?

6. Does the documentation include:i) A tutorial section?

ii) A guide to basic functions?

iii) Pictures of screens?

iv) Completed examples includedin the documentation?

v) Frequently asked questions withanswers?

vi) Specific technical supportprocedures?

vii) Other areas? (List)

7. i) Are help screens availablerelating to the task in hand?(Context sensitive help).

ii) Do they provide on-lineinstructions on how to useparticular features of thesoftware?

8. Will the seller/service provider makethe detailed program documentationavailable to the user, either directlyor by deposit with a third party?



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5.8 Efficiency/ User experience

1. Are the various functions of thesystem menu-driven, or otherwise isit possible for an inexperienced userto initiate?

2. Is the system easy to navigate?

3. Is data entry easily repeated ifsimilar to previous entry?

4. Detail response time:

i) opening of screens?

ii) in processing data input?

iii) in displaying requisite details?

iv) in searching for information?



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5.9 Integration and Infrastructure

1. What operating systems is systemable to run on? Please provide detailsfor both server and clientcomponents.

2. If a web server is required, what webservers does the system support?

3. What Database management system(DBMS) or data storage mechanismdoes the system support?

4. Does software need to be installed onthe client PC? If so please givedetails of recommended specificationrequirements.

5. If the system is accessed via a webbrowser, what browsers aresupported?

6. Are any specific browser-pluginsrequired?

7. Does the application have datadriven/interface driven integrationswith other databases e.g.accountancy databases?

8. With what other businessapplications will the system link?e.g. Email, Office applications,Reporting Tools etc.

9. Does the application allowexport/download of data files?

i) What data can beexported/downloaded?

ii) In what format(s) is the dataexported/downloaded?

iii) What options overexport/download format arethere?

10. Is the application compatible withXML standards? If so in whatrespect? (input/ output/ other)?



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11. What industry-standard designtechniques does the system use? (i.e.J2EE, .NET, SQL, UML,XML/XSL/XSD, COM(+), client-server, n-Tier)

12. Does the system offer "whitelabelling", co-branding or re-stylingcapabilities?



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5.10 Support, maintenance and service level

1. Will the seller/service providerprovide regular updates?

2. How much downtime is typical forthe system?

3. Will “hot line” support be providedto assist with immediate problemsolving? If so, at what cost? Atwhat times will this support beavailable?

4. Is the seller/service provider capableof giving sufficient ongoingeducation and training and technicalsupport?

5. How is training provided?

6. Is there seller/service providersupport provided by:

i) Telephoneii) Email/Online systemiii) Local dealersiv) Remote connection

7. If remote connection is used, whatmethod/technology is used and howis this connection controlled andsecured at the providers end and atthe customers end?

8. If support is provided by a dealernetwork is there a method ofaccreditation and how is thisundertaken and renewed?

9. What is the typical response time forsupport?

10. How is training provided?

11. What are the average training needsof an average user?

12. Is a warranty offered in respect ofspecification of the system?



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13. Are there any unduly restrictiveconditions in the licence for thesoftware?

14. Would the seller/service provider beprepared to accept the Institute ofPurchasing and Supply modelcontract?



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6 Supplementary questions if applicable

6.1 Sales Order Processing and Invoice Production

1 Does the system start with aquotation or the sales order?

2 Are recurring or scheduleorders handled ?

3 At quotation or initial orderstate how does the system:i) check stock availability

ii) highlight alternativestock

iii) check credit status of customer - is this:

a) on receipt of order

b) prior to dispatch

4 Can the system block

i) customer orders ii) deliveries iii) invoice production

5 Where stock is not availableis a “back order” raised anda purchase order issued?

6 Does the system handleforward orders?i) only when stock is now

available

ii to be allocated fromfuture planned stock

7 Can multiple addresses beheld for each customer(invoice and deliveryaddress).

8 Are the followingdocuments produced:i) Quotations



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ii) Order confirmation iii) Picking lists iv) Labels v) Dispatch/Delivery

note vi) Invoices

9 Are the following reportsavailable:

i) Quotes for whichorders not received

ii) Orders received

(analysis) iii) Items placed on

backorder and/orpurchase orders raised

iv) Items dispatched not

invoiced v) Items ordered but not

dispatched due to stockout

vi) Gross margin (by

invoice or item)

10 Are invoice details derivedfrom order input? (e.g.prices, quantity)

11 i) Can picking lists/dispatch notes beamended for nonavailability of stock?

ii) Is this reported?

iii) Items dispatched reflectin final invoice?

12 Is there one dispatch noteand invoice per order?

13 How does the system ensure



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all dispatches are invoiced?e.g. where multipledispatches are raised perorder, or several orders on asingle dispatch note.

14 Can manual invoices beraised (i.e. without a salesorder)?

15 Does the system produceproforma invoices asrequired?

16 i) Can returned goods beprocessed to producecredit notes?

ii) Are these referenced tothe originalorder/invoice?

17 i) Will the product acceptorders from the Web?

ii) How are Web ordersintegrated with the salesorder processingledgers?



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6.2 Purchase Order Processing

1 Order generation -

i) Does the systemgenerate suggestedorders?

ii) Can orders begenerated by the user?

iii) Is the system easy andefficient to use, i.e.scroll backwards andforwards in theproduct file, taggingmore than one itemper order?

iv) Can more than onesupplier be allocatedto each product?

v) Does the system holddetails of substituteproducts if applicable?

2 Based on automatic andmanual order generation(above) does the systemproduce a list of proposedpurchase orders, if so, canthese be easily amended?

3 Is stock availability updatedfor stock on order?

4 Can the system handlepartially completed ordersand returns?

5 Are receipts checked toorders and discrepanciesreported?

6 Are purchase invoiceschecked to purchase orders,confirmed receipts anddiscrepancies reported?

7 Are the following reportsavailable:

i) Purchase Orders raised



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(analysis)?

ii) Purchase Orders not received?

iii) Goods received discrepancies?

iv) Invoice to goods received discrepancies?

v) Goods received not invoiced?

8 Can the system handle“back to back” ordering?



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6.3 Stock Control

1 What information is held inrespect of stock (and arethere any limits):

i) Itemnumbers/description

ii) Location(s) iii) Quantity, (available,

allocated, on order) iv) Minimum and

maximum stock levels v) Reorder lead times vi) Supplier(s) vii) Prices/cost/discount

details viii)Other stock

information: Batch/serialnumber

Weights etc.

2 How is stock updated?i) Dispatch of goods ii) Receipt of goods iii) Adjustments iv) Transfers between

locations

3 Is negative physical stockallowed?

4 Can the system handle “saleor return” stock?

5 Can the system handlevariations to a standardpack of products?



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6 What methods of stockvaluations are allowed?(e.g. average, FIFO, LIFO,standard, etc).

7 How can stock enquiries bemade, i.e. by product code,short name/supplier etc.

8 Does the system track ordersand enable enquiries bydate, e.g. list of all stock dueon a particular day; stock tobe dispatched on a set date?

9 Does the system facilitatethe regular counting/inspection of physical stock?(e.g. by producingrandom/defined stock checklists)? Please define.

10 Can the system handle morecomplex situations such as:i) Bill of Materialsii) Links to CAD/CAM

systemsiii) Job costings to collate

and value WIP.

Documents

E-commerce questionnaire | ICAEW