Attachment_A_-_Statement_of_Work.pdf

National Library of Medicine

Document Delivery and Interlibrary Loan Request Management System

Statement of Work

I. General Information

A. Scope of Work

The contractor shall provide a document delivery and interlibrary loan (ILL) request management system. The system shall facilitate tracking of ILL requests from receipt to delivery. The system shall also facilitate the scanning of documents on document scanning workstations and the automatic delivery of these documents via the Internet or to be printed and mailed to the requesting institution. Billing and reporting features are also essential requirements of the system.

B. BACKGROUND

The mission of the National Library of Medicine (NLM) is to collect, preserve and disseminate biomedical information. In support of this mission, NLM has assembled one of the largest collections of biomedical literature in the world.

NLM makes its collections available onsite as well as to the global library community by offering ILL services. The Collection Access Section (CAS) of the Public Services Division is responsible for performing NLM’s interlibrary loan services.

NLM’s borrowing partners (hereafter, “customer”) include health sciences, academic, government, and public libraries in the United States and other countries. Through interlibrary loan, NLM’s customers may request copies of journal articles, book chapters, conference papers, and other brief publications.

NLM loans physical copies of monographs (books), audiovisuals, and microforms to U.S. institutions only. About 95% of the ILL requests are delivered via e-mail (PDF), web delivery, and Odyssey (software). Delivery options are based on customer’s preferred delivery method and NLM’s licensing agreements with publishers.

C. OBJECTIVES

NLM processes approximately 125,000 interlibrary loan requests on an annual basis. Requests are submitted to NLM through DOCLINE, NLMs automated interlibrary loan (ILL) request routing and referral system. To process these requests, NLM has the need for a document delivery and interlibrary loan request management system. The system shall facilitate tracking of the ILL requests from receipt to delivery. The system shall also facilitate the scanning of documents on document scanning workstations and the automatic delivery of these documents via the Internet or to be printed and mailed to the requesting institution. Billing and reporting features are also essential requirements of the system.

II. GENERAL REQUIREMENTS

NLM has very specific requirements for the system. NLM requires a system that can accept orders from DOCLINE and other ILL systems such as ILLiad, as well as directly via a web form, with the ability to automate ILL functions to the extent that it improves the library’s efficiency and the material turnaround time.

NLM requires that the system be MS Windows compliant and network-based.

The vendor must support an internally hosted SQL Server Database. The system must operate with scanners capable of reproducing journal articles at the rate of at least 40 pages per minute. The system must support access for Crystal Reports and similar reporting tools. The vendor must be able to provide custom workflow enhancements in a timely manner to support changing ILL needs. The vendor must provide monitored remote server and database system support to the NLM site as scheduled.

The vendor must provide all the necessary technical support to keep the system functioning in collaboration with NLM internal technical support staff and also provide software upgrades as needed. The vendor must respond to and address flagged security threats and provide ad hoc software patches, product development and customer support.

The vendor must provide key personnel including a Project Manager and Lead Developer and other technical staff as needed. The Contracting Officer’s Representative (COR) must be notified of and approve changes in key personnel staffing after the award of the contract.

III. SERVICES

NLM’s specific requirements for the system are as follows:

1. The system shall provide a web form to allow borrowing libraries to submit

ILL requests. The form must be customizable to NLM’s changing needs and contain fields for institution identification, citation information, service and delivery information and additional fields as needed.

2. NLM’s customers must have the ability to access their ILL request information through the system. The system shall allow users not only to enter requests online for direct linking to the database and automated processing, but must also allow them to view their request status and send messages to NLM’s ILL staff. Patrons must be able to see what they have ordered, what has arrived and also get real time updates for the status of their orders that have not yet been received, all without ILL staff intervention.

3. The system must be able to communicate with other resource sharing systems, e.g., ILLiad, RapidILL. This system must be compatible with the various document delivery protocols used by NLM’s global patrons, including delivery methods such as post-to-Web and Odyssey, as well as supporting a variety of standard browsers for web functions for patron and staff portals.

4. When requests are submitted to NLM, the system must be able to read NLM’s catalog to retrieve call numbers to allow processing of the request. If an exact match is found in the catalog, a cover page containing a document number, patron identification, citation information, delivery method and cost, is printed without ILL staff needing to review the request. If an exact match is not found the request is sent to a queue for staff review.

5. NLM processes between 500-600 ILL requests daily. Due to the large volume, there are several queues for ILL representing physical locations of items in the library. These queues print on a pre-defined schedule without staff intervention. NLM sets and adjusts the print schedule as needed. The print queues must be sorted by call number according to the location where library materials are shelved in the library. As needed, it may be necessary to redirect orders to alternate locations when library materials are relocated either temporarily or permanently. Other temporary queues may be created by NLM based on publication date, item type, item format, etc.

6. As soon as the requests are printed, the items are retrieved from the shelves and are ready to be scanned. The system must allow for the use of a no fill code to be entered if the requested item cannot be located on the shelf or if the request cannot be filled for another reason. A DOCLINE compatible update file must be generated from the system to provide information on the processing of each request.

7. The system must be able to automatically manage rejection handling for specific criteria such as cost or NLM holdings status with no staff intervention (“auto- reject”) as well as by manual methods as needed. New exception codes shall be created as needed by internal staff. The system must allow NLM to communicate the reject reason to the customer, either by transmission to the input system (DOCLINE, OCLC) or by directly emailing the customer.

8. The system must have the ability to support an array of delivery methods and to transmit documents to the customer via the requested delivery method (e.g.

email, post-to-Web, Odyssey). For electronic mail delivery, requests are sent to borrowers in the form of an email message with the cover page and article as PDF/TIFF attachments. For post-to-Web articles, the email must contain the link to the article that can then be downloaded. The cover sheet must provide basic information on the request, including the title of the item requested, journal volume/issue number, and page numbers. The cover page must also include unique identifiers generated by the system and also from other input systems (DOCLINE, OCLC).

9. The system must establish a workflow for interlibrary loan requests based upon the creation of multi-page TIFF/PDF document files generated through the scanning process. The system must allow for the attachment of PDFs to be transmitted to the customers and for the documents to be reprinted or re-transmitted in case of delivery problems.

10. The system must alert NLM regarding failed document deliveries and allow for resending of failed documents. The system must also provide an alert for requests submitted without call numbers and allow for call numbers to be supplied manually. The system must provide a method for registering new non-DOCLINE institutions.

11. In addition to article requests, NLM processes 15 to 25 book loan requests daily. The system must be able to produce loan labels, track due dates and issue overdue notices via DOCLINE or by direct email. The system must be able to check in and check out these loans in Voyager, NLM’s integrated library system.

12. The system must be able to determine billing amounts and produce billing reports and invoices to late customers.

13. The system must have the ability to assign requests in batches to individuals/groups of ILL staff and track the status and the assignee of each order in the system at all times. The system must provide a complete tracking history for each document from the time it is transferred to the ILL request management system to the time it is delivered to the patron. Specific requirements are listed below:

The date/time that a request was submitted into the system The date/time a request slip was printed The date/time a request was assigned to a library staff member The specific point in the processing stream at which a request is currently located The date/time that a request arrived at its current status The next step in the workflow for a request The date/time that a request was processed by a library staff member and the number of pages scanned The User ID of the library staff who process or update the request Assign any rejection codes used to indicate the reason that a request is being filled outside of the scanning process The location of the TIFF/PDF document file created for a request during the scanning process For loans, the due dates must be calculated and shipment date/time must be recorded The date/time that a request was delivered; if delivery failed, the date, time and reason must be recorded

The date/time that the source system was updated with status information for a request

History of delivery failed documents and attempted re-sends

14. The system must provide real time automatically updated view of the status and quantities of all requests in all queues in the system so that NLM can monitor the volume and workflow of requests.

15. The system must meet NLM’s reporting requirements with the ability to query data in order to create reports and statistics of all kinds, to query on status of request, and to retrieve detailed data on processed requests.

16. The system shall have the flexibility to allow NLM to adjust/alter the degree of desired staff mediation.

17. The system must be able to support an array of paper sizes for scanned items, including 8.5 by 11 inches, A4, B5 and 10x14 inches. The system must allow operators to delete, rescan and insert scanned images and remove black borders from images during the scanning process.

IV. SYSTEM MAINTENANCE

The vendor is required to provide the following technical services so that NLM can provide interlibrary loan services to its customers without delays or disruptions:

1. Upgrade the ILL system software and applications as needed. This includes major releases, patches and installing updated versions of individual applications.

2. The vendor shall serve as a knowledge base for NLM to address any technical questions that may arise. The vendor shall respond to any programmatic failures or technical inconsistencies identified by NLM security measures. The physical infrastructure will be maintained by NLM.

3. The vendor shall advise NLM on the necessary software upgrades and NLM will work in collaboration with the vendor to complete the upgrades on an agreed upon schedule.

4. Provide input to NLM’s technical staff on ‘system health’ monitoring tools and processes including web forms, web services, system software updates and windows services for both production and test systems and assist NLM with implementing these changes.

5. All server data and software will be retained for 30 days locally. Support for recovering data shall be available within 48 hours. The vendor may be asked to provide assistance if needed for performing this task and any data recovery.

The production database must be able to store at least 13 months of data, for which the vendor maintains primary responsibility for purges, recalls, and reconstructions of data. NLM will be responsible for the backup and restoration of data greater than 13 months old.

6. Scanned images must be stored on the production system for up to 60 days but no less than 14 days. Scanned images will be purged according to NLM’s requirements. Post-to-Web documents shall be stored and purged based on NLM’s requirements.

V. ENHANCED MAINTENANCE AND SUPPORT

NLM requires hands-on support for recent enhancements to its existing system.

The enhanced support will maintain the new workflow which allows NLM to accept requests from OCLC, and other ILL systems, as well provides a web request form. As part of this enhanced support, the vendor shall provide ongoing support of system functions which include the following main features:

1. Remote day-to-day troubleshooting.

2. Installation of version upgrades, patches and security updates.

To be able to perform the above tasks remotely, a limited number of vendor staff will be given direct access to login to NLM via VPN.

WebEx or other web conferencing tools shall be used as an alternative if needed. NLM shall set a mutually agreed upon time frame for upgrades based on the urgency and magnitude of the task.

The NLM test system shall be upgraded first. Once NLM staff complete testing within the agreed upon timeframe, then vendor staff will upgrade the software for the NLM’s ILL production system.

3. Ensure operability of all newly added features including: ingesting unique institution records, obtaining ILL requests from DOCLINE, OCLC and other sources, functionality and performance of the ILL request form, staff and user portals, extraction of quarterly billing information.

Other maintenance and monitoring activities shall include:

1. Assist with troubleshooting a critical issue causing significant work stoppage.

2. Modify a batch job schedule or help to create a new one.

3. In the event that NLM’s System Administrator is unavailable:

a. Clear a flag

b. Close a hung app

4. General upkeep of NIH Enterprise Directory (NED) requirements to keep accounts active, which includes completing refresher and any other training whenever prompted to do so via NIH email.

5. Maintaining government funded property (laptops) by ensuring monthly power up/reboot at a minimum.

6. Resolving security vulnerabilities identified by NLM’s information technology staff.

7. The NLM System Administrator will monitor the ILL management system throughout the day and will notify the vendor when problems are detected and troubleshooting assistance is required.

VII. CUSTOMER SERVICE SUPPORT

NLM’s hours of operation are from 7:30 AM to 5:00 PM, Monday through Friday, excluding Federal holidays and facility closures. NLM has a requirement to deliver regular articles to patrons within four hours of receiving the request in the system, and within two hours if it is a clinical emergency request. In order to facilitate this turnaround time, NLM requires that the vendor be available to provide needed support in case of system failures. The vendor shall respond to NLM’s technical issues within 60 minutes during normal business hours even though a solution may not be in place within the 60 minutes.

VIII. DOCUMENTATION

Upon request, the vendor shall provide documentation to describe the system, including upgrades and enhancements, bug fixes, release notes, upgrade instructions and install instructions, technical requirements and special documents. Proprietary documents remains the property of the vendor.

IX. PRIVACY

The vendor may not use or disclose any of NLM’s customer data for any reason.

It is understood that data is solely for the use of the NLM in carrying out its business.

X. TRANSITION PLAN

The vendor will be required to provide NLM with technical support and advanced delivery of the system within 14 days of being selected by NLM so that NLM can plan for the implementation and integration of the system.

In the event that NLM ceases using this product, the vendor will be notified of the change within 30 calendar days. The vendor will help assist with the transition by providing technical support and addressing questions that facilitate transitioning to a new provider of the ILL management system. The vendor shall create any requested non-proprietary documentation that NLM requests to aid with the transition. Any documentation developed for this purpose shall be the property of the government.