AHEC ALD LMS PWS.docx

PERFORMANCE WORK STATEMENT (PWS)

(Includes associated Performance Requirements Summary (PRS))

Library Management System for the U.S. Army Heritage and Education Center

PART 1

GENERAL INFORMATION

1. General: This is a non-personal service(s) contract under which the personnel rendering the service(s) are not subject, either by the contract’s terms or by the manner of its administration, to the supervision and control usually prevailing in relationships between the Government and its employees.

Contractor professionalism and ethical behavior in all conduct, both on- and off-duty, with all persons or entities within the scope of performance of the contract, including but not limited to Faculty, Staff, and other personnel of the United States Army War College, the Carlisle Barracks installation, and the U.S. Army. Constructive criticism is welcome in voicing concerns with policies, technologies, and other items of interest. Personal attacks or other unprofessional conduct will be subject to zero tolerance without exception.

1.1 Description of Services/Introduction: This is a non-personal service(s) contract to provide a Library Management System for the U.S. Army Heritage and Education Center (USAHEC).

1.2 Background: The USAHEC provides library services for the research and curriculum requirements of the U.S. Army War College Schools, Centers, Institutes, and Programs. USAHEC collections include library materials made up of 265,000 books and periodicals including print and digital issues, and over 80 databases from various vendors. USAHEC is looking for a commercial off the shelf (COTS) system that can be customized and/or upgradeable to meet the government’s specific requirements.

1.3 Scope: The Contractor shall provide non-personal service(s). The Contractor shall provide all personnel, equipment, supplies, facilities, transportation, tools, materials, supervision, and other items necessary to perform services as described in the PWS and associated contract documents, except for those items specified in Part 3 Government Property and Services. The Contractor shall perform to the standards and acceptable quality levels identified in this PWS and associated contract documents.

1.4 Objectives: The objective of this contract is to provide a Library Management System capable of handling the research and curricular requirements of a graduate-level academic library.

1.5 General Information:

1.5.1 Quality Control Plan (QCP): This acquisition is for commercial services and will be performed using FAR Part 12 procedures. The contractor’s existing quality assurance system shall be utilized In Accordance With (IAW) FAR 12.208.

1.5.2 Quality Assurance: The Government will evaluate the Contractor’s performance under this contract IAW the Quality Assurance Surveillance Plan (QASP). This plan is primarily focused on what the Government must do to ensure that the Contractor has performed IAW the performance standards. It defines how the performance standards will be applied, the frequency of surveillance, and the acceptable quality levels (performance thresholds).

1.5.3 Recognized Holidays: The following provides information on recognized holidays for the purpose of the PWS. If submittal of any tasks or documentation (e.g., deliverables, submittals, etc.) deadlines fall on a holiday, the closest workday prior to the holiday will apply as the deadline for submittal.

1.5.3.1 U.S. Holidays: Work shall not be performed on U.S. federally recognized holidays occurring during the normal workweek unless otherwise directed by the Contracting Officer. When a U.S. holiday occurs on a Saturday or a Sunday, the holiday is observed on the preceding Friday or following Monday, respectively.

Independence Day

1.5.4 Contractor Support Hours: The Contractor shall provide support between the hours of 0600 to 1700, Monday through Friday except U.S. Holidays identified in paragraph 1.5.3.1 above or when the Government facility is closed due to local or national emergencies, administrative closings, or similar Government directed facility closings. The Contractor shall maintain an adequate workforce at all times, for the uninterrupted performance of all tasks defined within this PWS when the Government facility is not closed for the above reasons. When hiring personnel, the Contractor shall keep in mind that the stability and continuity of the workforce is essential.

1.5.5 Place of Performance: The support services and programming services are to occur at the Contractor facility, with on-site training to take place at 950 Soldiers Drive in Carlisle, PA. All travel to and from Carlisle Barracks, Pennsylvania shall be at the expense of the contractor.

1.6 Clearance Requirements: RESERVED

1.7 Installation Access: RESERVED

1.8 Physical Security: The Contractor shall safeguard all Government equipment, information, and property provided for Contractor use. At the close of each work period, Government facilities, equipment, and materials shall be secured IAW the Army Physical Security Program (AR 190-13.)

1.8.1 Operations Security (OPSEC) Requirements: Contractor personnel shall adhere to facility security policies and restrictions. The Contractor shall immediately report suspicious activities to security personnel. Government-issued access badges shall not be worn outside designated facilities where visible to the general public.

1.8.2 Key (Card) Control: RESERVED

1.9 Post Award Conference/Periodic Progress Meetings: The Contractor shall attend any post award conference convened by the contracting activity or contract administration office IAW FAR Subpart 42.5. The Contracting Officer, COR, and other Government personnel, as appropriate, may meet periodically with the Contractor to review the Contractor's performance. At these meetings the Contracting Officer will apprise the Contractor of how the Government views the Contractor's performance and the Contractor shall apprise the Government of problems, if any, being experienced. Appropriate action shall be taken to resolve outstanding issues. These meetings shall be at no additional cost to the Government.

1.9.1 The Contractor shall attend, participate in, and furnish input to scheduled and unscheduled meetings, conferences, and briefings that relate to the functions and services herein as required by the Government to provide effective communication and impart necessary information. The Contract Manager or designated representative shall attend meetings as requested by the Government. Meeting attendees shall at times include Contractor managerial, supervisory, and other personnel knowledgeable of the subject matter. Meetings may start or end outside of regular duty hours.

1.10 Contracting Officer’s Representative (COR): Refer to Part 2 of this PWS for the definition of a COR. As determined by the Contracting Officer, a COR will be appointed and identified by letter of designation, a copy of which will be provided to the Contractor by the Contracting Officer. The designation letter states the responsibilities and limitations of the COR, especially with regard to changes in cost or price, estimates, or changes in delivery dates. The COR is not authorized to change any of the terms and conditions of the resulting order. The COR monitors all technical aspects of the contract and assists in contract administration. The COR is not authorized to obligate the Government. If the work is not written in the contract, the COR is not authorized to request new work. The COR is authorized to perform the following functions: assure that the Contractor performs the technical requirements of the contract, perform inspections necessary in connection with contract performance, maintain written and oral communications with the Contractor concerning technical aspects of the contract, issue written interpretations of technical requirements, including Government drawings, designs, specifications, monitor Contractor's performance and notifies both the Contracting Officer and Contractor of any deficiencies, coordinate availability of Government property, and coordinate site entry of Contractor personnel.

1.11 Contract Managers: The following personnel are considered key personnel by the Government: Contract Manager and Alternate Contract Manager. The Contractor shall provide a Contract Manager who shall be responsible for the performance of the work. The name of this person and an Alternate Contract Manager, who shall act for the Contractor when the Contract Manager is absent shall be provided in writing to the Contracting Officer Representative no later than no later than five (5) days after contract award (Deliverable 1). The Contract Manager and Alternate Contract Manager shall have full authority to act for the Contractor on all contract matters relating to daily operation of this contract. The Contract Manager or Alternate Contract Manager shall be available during operating hours listed in PWS 1.5.4.

1.11.1 Contract Managers Qualifications: The contract manager and alternate should be well versed in library system migrations, and each will have led at least 5 successful system migrations in the past 5 years.

1.12 Additional Key Personnel: Certain experienced professional and/or technical personnel are essential for successful accomplishment of the work to be performed under this contract. These Key Personnel must be identified by name within the contractor’s offer for their resumes (and any additional documents) to be evaluated during the source selection process.

1.12.1 The contractor agrees that such personnel shall not be removed or replaced within the performance of this contract unless the following measures are taken:

1.12.1.1 If one or more of the key personnel, for any reason, becomes or is expected to become unavailable for work under this contract for a continuous period exceeding 30 work days, or is expected to devote substantially less effort to the work than indicated in the proposal or initially anticipated, the contractor shall, subject to the concurrence of the KO or COR, promptly replace personnel with personnel who possess equal or better qualifications as the original employee.

1.12.1.2 All requests for approval of substitutions hereunder must be in writing and provide a detailed explanation of the circumstances necessitating the proposed substitutions. The request must contain a resume for the proposed substitute, and any other information requested by the KO or COR. The KO or COR must concur in writing with the change.

1.12.1.3. If the KO or COR determines that suitable and timely replacement of Key Personnel who have been reassigned, terminated, or have otherwise become unavailable for the contract work is not reasonably forthcoming or that the resultant reduction of productive effort would be so substantial as to impair successful completion of the contract, the KO may terminate the contract for default or for the convenience of the Government, as appropriate, or make an equitable adjustment to the contract to compensate the Government for any resultant delay, loss or damage.

1.13 Identification of Contractor Employees: All Contractor personnel attending meetings, answering Government telephones, and working in other situations where their contractor status is not obvious to third parties must identify themselves, to include proper marking of signature blocks in correspondence, to avoid creating an impression in the minds of members of the public that they are Government officials. The Contractor shall ensure that all documents or reports, produced by Contractors are suitably marked as Contractor products or that Contractor participation is appropriately disclosed.

1.14 Contractor Travel: The Contractor may be required to travel to Carlisle, PA during the performance of this contract to attend meetings, conferences, and/or training. All travel costs are the responsibility of the contractor.

1.15 Other Direct Costs (ODCs): RESERVED

1.16 Data Rights: The Government has unlimited rights and ownership of all documents, materials, and records to include the cataloging records, authority records, and metadata created by the government. These documents and materials may not be used or sold by the Contractor without written permission from the Contracting Officer. All materials supplied to the Government shall be the sole property of the Government and may not be used for any other purpose. This right does not abrogate any other Government rights.

1.17 Non-Disclosure Requirements: Performance under this contract may require the Contractor to access data and information proprietary to a Government agency, another Government Contractor, or of such nature that its dissemination or use other than as specified in this work statement would be averse to the interests of the Government or others. The Contractor and Contractor personnel shall not divulge, or release data or information developed, or obtained under performance of this PWS, except to authorized Government personnel or upon written approval of the Contracting Officer. The Contractor shall not use, disclose, or reproduce proprietary data, which bears a restrictive legend, other than as specified in this PWS. All documentation showing individual names or other personal information shall be controlled and protected under the provisions of the Privacy Act of 1974, Public Law 93-579, 5 United States Code (U.S.C.) Section 552a.

1.18 Protection of Government and Contract Information: Per Public Use Notice of Limitations stated by Defense Media Activity and contained at www.dma.mil/Services/Visual-Information/References/Limitations/, the Contractor shall not cite any information (e.g., contract information, pictures, locations, etc.) obtained from the Government through this contract on any hard copy or digital marketing tools to include its company website. Information shall not be used in a manner that could imply endorsement of an individual, for-profit business, non-profit organization, or any other non-Federal entity (including DoD contractors), product, or service. This applies to both domestic and international users. Endorsement of a non-Federal entity, event, product, service, or enterprise may be neither stated nor implied.

1.19 Non-Disclosure Statements: RESERVED

1.20 Organizational Conflict of Interest (OCI): RESERVED

1.21 Phase In /Phase Out Period: RESERVED

1.22 Safety: RESERVED

1.23 Environmental Compliance: RESERVED

1.24 Required Training: The following provides information on training requirements.

1.24.1 Anti-Terrorism (AT) “Level I” Training: All contractor employees, to include subcontractor employees, requiring access Army installations, facilities and controlled access areas shall complete AT “Level I” Awareness training within 30 days after contract start date or effective date of incorporation of this requirement into the contract, whichever is applicable. The contractor shall submit certificates of completion for each affected contractor employee and subcontractor employee, to the COR or to the contracting officer, if a COR is not assigned, within five (5) days after completion of training by all employees and subcontractor personnel (Deliverable 2). AT “Level I” Awareness training is available at the following website: http://jko.jten.mil. Contractor personnel shall complete refresher training every twelve (12) months.

1.24.2 iWATCH Training: The Contractor and all associated subcontractors shall brief all employees on the local iWATCH program (training standards provided by the requiring activity ATO). This locally developed training will be used to inform employees of the types of behavior to watch for and instruct employees to report suspicious activity to the COR. This training shall be completed within 30 days after the contract is awarded or new employees commence contract performance, with the results reported to the COR within five (5) days after completion (Deliverable 3). https://www.armywarcollege.edu/iwatch

1.24.3 OPSEC Training: All Contractor employees, including subcontractors, shall complete OPSEC “Level I” training within 30 days of employment under this contract. Verification of the training shall be provided to the COR within five (5) days after completion of the training (Deliverable 4). OPSEC “Level I” training is available at http://www.cdse.edu/catalog/elearning/GS130.html. Contractor personnel must complete refresher training every 12 months. Verification of the training shall be provided to the COR within five (5) days after completion of the training.

1.24.4 Information Assurance (IA) Training RESERVED

1.24.5 Personnel Security Clearance Training: RESERVED

1.24.6 Personally Identifiable Information (PII): RESERVED

1.25 Government Property and Services: RESERVED

PART 2

DEFINITIONS & ACRONYMS

2. Definitions and Acronyms

2.1 Definitions: Although not inclusive of every term used within this PWS, the following provides a list of definitions used throughout this PWS and commonly used in the acquisition field.

Contracting Officer – means a person with the authority to enter into, administer, and/or terminate contracts and make related determinations and findings on behalf of the Government. Note: The only individual who can legally bind the Government.

Contracting Officer's Representative (COR) – As defined in DFARS 202.101, means an individual designated and authorized in writing by the Contracting Officer to perform specific technical or administrative functions. DoD Instruction (DoDI) 5000.72, Part II Definitions states the following when defining a COR: “Defined in subpart 202.101 of Reference (f). Any individual delegated responsibilities pursuant to subpart 1.602-2 of Reference (e), regardless of local terminology, must be certified IAW this instruction. For example, local terminology can be COR, Contracting Officer’s technical representative, technical point of contact, technical representative, alternate COR, administrative COR, assistant COR, line-item manager, task order manager, quality assurance personnel, quality assurance evaluator, or COR management.” In addition, Army Regulation 70-13, Chapter 2, paragraph 2-2g, states, in part, the following when providing other surveillance support personnel to assist the COR when needed, “…These other surveillance support personnel may serve as on-site representatives of the COR in performance of actual contract surveillance if they meet all COR requirements and have been appointed by the Contracting Officer as alternate CORs.”

Contractor – means a supplier or vendor awarded a contract to provide specific supplies or service to the Government. The term used in this contract refers to the prime.

Day – means, unless otherwise specified, a calendar day.

Defective Service – means a service output that does not meet the standard of performance associated with the Performance Work Statement.

Deliverable – means anything that can be physically delivered but may include non-manufactured things such as meeting minutes or reports.

Government Property - means all property owned or leased by the Government. Government property includes both Government-furnished and Contractor-acquired property. Government property includes material, equipment, special tooling, special test equipment, and real property. Government property does not include intellectual property and software.

Physical Security – means that part of security concerned with physical measures designed to safeguard personnel; to prevent unauthorized access to equipment, installations, material, and documents; and to safeguard against espionage, sabotage, damage, and theft.

Quality Assurance – (or Government contract quality assurance) means the various functions, including, inspection, performed by the Government to determine whether a Contractor has fulfilled the contract obligations pertaining to quality and quantity.

Quality Assurance Surveillance Plan (QASP) – means the key Government-developed surveillance process document and is applied to Performance-Based Service Contracting (PBSC). The QASP is used for managing Contractor performance assessment by ensuring that systematic quality assurance methods validate that Contractor quality control efforts are timely, effective, and are delivering the results specified in the contract or task order. The QASP directly corresponds to the performance objectives and standards (i.e., quality, quantity, timeliness) specified in the Performance Work Statement (PWS). It provides specific details on how the Government will survey, observe, test, sample, evaluate, and document Contractor performance results to determine if the Contractor has met the required standards for each objective in the PWS. The QASP, with very few if any exceptions, is an internal to Government document.

Quality Control – means all necessary measures taken by the Contractor to assure that the quality of an end-product or service shall meet contract requirements.

Statement – means the specific results-based activities required to satisfy objectives. A statement contains a result, the context of the statement, and the required action(s). Statements focus on “what” is to be accomplished; however, they are not prescriptive in describing “how” the outcome is to be achieved. Each objective may have several statements to flesh out the areas necessary to meet the objective. Statements are similar to Level 3 in a Work Breakdown Structure.

Subcontractor – means one that enters into a contract with a prime Contractor. The Government does not have privity of contract with the subcontractor.

Workday - The number of hours per day the Contractor provides services IAW the contract.

Work Product - Any information, content, data, copyrightable works, and any product created, conceived, or developed by Contractor for the Government during the contract.

Work Week - Monday through Friday, unless otherwise specified.

2.2 Acronyms: Although not inclusive of every term used within this PWS, or that may be included in an acquisition, the following provides a list of acronyms commonly used in the acquisition field.

PART 3

GOVERNMENT PROPERTY (GP) AND SERVICES

3. Government Property and Services

3.1 Services: The Government will provide existing digital information, databases, Excel spreadsheets, and collection management system data to facilitate the migration into the new system.

3.2 Facilities: RESERVED

3.3 Utilities: RESERVED

3.4 Equipment: RESERVED

3.5 Materials: RESERVED

3.6 Common Access Cards (CAC): RESERVED

PART 4

CONTRACTOR FURNISHED ITEMS AND SERVICES

4. Contractor Furnished Property and Services

4.1 General: The Contractor shall furnish all access to the system, training, and facilitate the migration of existing government data into the contractor provided hosted system. Contractor shall provide an established (i.e. COTS) Library Management System that integrates and shares information across the following from the library holdings and electronic databases, and other items necessary to perform services as described in the PWS and associated contract documents, except for those items specified in Part 3 Government Property and Services.

4.2 Secret Facility Clearance: RESERVED.

4.3 Materials: RESERVED

PART 5

SPECIFIC TASKS

5.1 Basic Services: The Contractor shall provide an LMS that provides unified management of all print, electronic, and digital resources that the library owns, licenses, stewards, and makes available to end users for discovery and delivery. This includes acquisition support for both physical and electronic resources, metadata management across all resource types and fulfillment across all resource types. System will be unavailable no more than 24 hours per month of each contract year.

5.2 Tasks: Tasks consist of the following:

5.2.1 Certification: The LMS will be certified in accordance with DOD Instruction 8510.01, Risk Management Framework (RMF) for DOD Information Technology (IT) or any superseding standard up to and including all applicable DOD required STIGS, compliance patches, and any other configuration changes required for the above standards. USAWC will be maintaining compliance scanning (Nessus) on behalf of LMS as a part of the requirements for RMF and DOD compliance as a DOD network, however any resulting configuration changes or code security updates required will be the responsibility of the contractor.

5.2.1.1 Must be FedRAMP approved.

5.2.1.2 Must be a secure web-based/cloud-based system (for PII/PHI & library licensing legal considerations).

5.2.1.3 Must integrate with current AWC Microsoft 365 and Ezproxy for authentication.

5.2.1.4 Provide project management for the implementation of the new system to include a migration and implementation plan with tracking of phases, tasks, and milestones. (Deliverable 5)

5.2.1.5 Offer calendar to set up library operating hours.

5.2.1.6 Provide set up training and a training testing component for staff to practice. (Deliverable 6)

5.2.1.7 Product support to assist library staff. Product support responses within 24 hours of our report.

5.2.1.8 Must allow SIP (2) protocol for self-checkout machines and apps.

5.2.1.9 Must have Online Public Access Catalog (OPAC) where patrons can search for items and locations and status.

5.2.1.10 Must have browse feature to browse books on the shelf virtually in the OPAC screens.

5.2.1.11 Must be able to handle two library locations, and different collections in each location, complete with item statuses such as “in transit” when books are being transported between locations.

5.2.2 Server operations.

5.2.2.1 All server operations will be conducted by contractor staff.

5.2.2.2 Contractor shall provide library staff at least five working days’ notice before installing routine system releases or upgrades. Contractor shall inform library staff of emergency installations as soon as possible. The scheduled maintenance must take place outside of normal operating hours.

5.2.2.3 Complete server resources shall be provided, including CPU, memory, disk, server-side networking, etc.

5.2.2.4 Full system backups will be performed daily.

5.2.2.5 Storage and backup data files to be kept at vendor site.

5.2.2.6 LMS shall be actively monitored 24 hours a day, 7 days a week, 365 days a year for security and regularly updated with the latest security and stability releases. Any infection/compliance tickets received from USAWC CIO operations must be addressed within two (2) days.

5.2.2.6.1 The contractor shall proactively monitor system reliability, proactively mitigate risks in operation disruption, maximize system availability, and timely notify customers of unplanned downtimes. Response time to system outages or incidents which render the system components unusable is within 2 hours with updates every 4 hours until resolved. Response time to incidents with lesser impact is within 12 hours with daily updates until resolved.

5.2.2.7 The contractor must provide a protocol to document and rapidly assist customer with expunging from the cloud-based system any bibliographic record(s) and associated full-text content that is deemed to be un-releasable, subsequent to said item(s) having been placed into the cloud-based system (such restricted spillage may cause significant harm to US national security interests). The contractor shall be able to provide proof of expungement if requested.

5.2.2.8 The contractor shall provide system redundancies to protect data in the event of a system failure.

5.2.2.9 Unauthorized users shall not have access to the LMS or any of the data in the LMS.

5.2.2.10 LMS security will be determined through user profiles rather than security levels.

5.2.2.11 User profiles will accommodate groups of users as well as individual users.

5.2.2.12 User profiles will identify the library processes/actions an individual/group can access, to include but not limited to, utilities, reports, lists and over-ride actions.

5.2.2.13 The LMS shall provide a library staff portal, including an online help desk, trouble ticket reporting, release notes, and a “Frequently Asked Questions (FAQ’s” section. All library staff and end-user access will be via secure https web browser interfaces. No installed software clients are acceptable.

5.2.2.14 The contractor shall provide full technical support for the LMS, during implementation and production, to include self-managed trouble tickets and telephone and email support to users during core operating hours.

5.2.2.15 There must be access for an unlimited number of client workstations.

5.2.2.16 Client access must be enabled from any Internet location.

5.2.2.17 The LMS shall be accessible 24 hours per day, 7 days per week, and 52 weeks per year, 365 days per year.

5.2.3 Resource Discovery interface

5.2.3.1 End-user access for resource discovery shall be through a single interface providing search and retrieval of all resource types, including local physical and digital resources and licensed and open-access Internet resources.

5.2.3.2 Records retrieved by the interface shall allow direct linking to remote resources.

5.2.3.3 The LMS shall be able to accept OpenURL services in accordance with ANSI/NISO Z39.88 (The OpenURL Framework for Context-Sensitive Services) as well as resolving the services.

5.2.3.4 The LMS shall be able to assign accurate access rights to library-defined populations of users.

5.2.3.5 The interface shall allow browsing within structured indexes (call number, subject, author, and title) when supported by the underlying resource records.

5.2.3.6 The call number index for records using Library of Congress (LC) Classification shall be sorted according to the provisions of the LC Classification and Shelf listing Manual, rather than by a simple alphanumeric sort.

5.2.3.7 Browse indexes will present entries from appropriate authority records where applicable.

5.2.3.8 The interface shall allow the collection of local library resources to be searched either on its own or in combination with other resources.

5.2.3.9 The interface shall allow the library to configure the display of metadata elements.

5.2.3.10 The interface shall provide an alphabetical title listing of journals.

5.2.3.11 The discovery (search) must be vendor neutral and not use code to put a vendor at the top of the search results over another vendor.

5.2.3.12 The discovery (search) should have the option of basic search and advanced search and pull results from print, electronic and open access (free) resources.

5.2.3.13 Both basic search and advanced search must allow for truncated search strings input by customers without the need for an asterisk at the end of the search string, or similar recognized symbol.

5.2.3.14 After initial search by staff or patron, present a filtering section of collections, topics, eras, etc.

5.2.3.15 Must show library staff if an item can be used for interlibrary loan.

5.2.3.16 The system must enable license terms to be displayed to users. Library needs to be able to configure terms and any labels.

5.2.3.17 The system must provide users with the ability to link directly to full-text content.

5.2.3.18 The system should have the capability to restrict access to specific resources to pre-defined groups of users.

5.2.3.19 The system should include a customizable search option that can be embedded into a webpage and also be a standalone feature.

5.2.3.20 The system should support setting up trials for electronic content and to evaluate e-resources before purchasing and have the ability to allow user feedback.

5.2.4. Metadata Management.

5.2.4.1 The LMS shall provide an integrated repository of metadata describing all applicable resources, with full content included where permitted.

5.2.4.2 The LMS shall support MARC21 and Dublin Core metadata, the DACS (Describing Archives: A Content Standard), DCRM(MSS): Descriptive Cataloging of Rare Materials (Manuscripts), and RDA (Resource Description and Access) content standards and their predecessors.

5.2.4.3 The LMS must store and display the character sets specified for MARC21 (MARC-8 and UCS/Unicode).

5.2.4.4 Library staff must be able to create, edit, delete, import, and export complete bibliographic, holdings (with associated item data) and authority records supported by each standard. Batch and individual transactions must be available.

5.2.4.5 Import and export processes must support conditional processing to control batch insertion, overlay or rejection of individual records or fields within records, to be configurable by library staff.

5.2.4.6 The LMS shall enable validation of appropriate use of elements, fields, subfields, and values, including validation of controlled vocabularies for fields. Batch reconciliation of bibliographic headings controlled by authority records must be supported.

5.2.4.7 The LMS shall provide access to global, shared authority files without the need for individual libraries to synchronize with the authorizing agency. The files should include at a minimum Library of Congress Subject Headings and Names.

5.2.4.8 The LMS shall allow the library to create or load local authority files and records for subjects (including genre terms) and names.

5.2.4.9 The LMS shall support the creation and storing of record templates for use in creating and editing records, including specifying default elements, fields, subfields, and values stored in these templates.

5.2.4.10 The LMS shall support record versioning, including the ability to view and roll back to past versions of that record.

5.2.4.11 The LMS shall support hotkeys for navigation and actions that allow editing entirely with the keyboard.

5.2.4.12 It shall link an electronic, digital, or physical item to one metadata record.

5.2.4.13 The LMS shall provide the ability to derive a new record from an existing record.

5.2.4.14 The LMS shall allow global changes of item and order records within the system.

5.2.4.15 The LMS shall support a tool for printing spine labels.

5.2.4.16 The LMS shall support the recording of inventoried, missing, lost, or withdrawn items.

5.2.4.17 The LMS shall support the suppression of records from the resource discovery interface.

5.2.5 Central Knowledge Base (KB).

5.2.5.1 The LMS shall support KB-derived data describing external resources offered by the library.

5.2.5.2 The KB must be maintained and updated to track changes made by providers and additions of resources to collections, as well as other changes. The KB should be updated at least monthly.

5.2.5.3 Library staff must have access to activate and deactivate the presentation of individual packages, add titles not otherwise included in the KB, and to tailor the exact contents of packages where only part is available to the library.

5.2.6 Acquisitions.

5.2.6.1 The LMS shall support acquisition related workflows.

5.2.6.2 The LMS shall provide links from a purchase order to other related information.

5.2.6.3 The LMS shall support the ability to create an invoice automatically from a purchase order or by manual operator action.

5.2.6.4 The LMS shall be able to automatically create new item records when an item is received, or, if items are created at the time of acquisitions, shall allow for updating item information.

5.2.6.5 Vendor records shall have links to all vendor related invoices and purchase orders.

5.2.6.6 The LMS shall provide the ability to record predicted dates for receipt of serial issues and record and display the actual receipt of the issues.

5.2.6.7 The LMS shall provide automatic claiming for items not received within an expected number of days after placing the order; such intervals shall be based on library-defined date and time parameters.

5.2.6.8 The LMS shall notify staff when a volume or issue of a serial has not arrived after a predefined interval and allow for claiming of missed items.

5.2.6.9 It shall allow the creation of manually generated claims.

5.2.6.10 The system shall identify where to route received items based on the completeness of their metadata and item information.

5.2.7. Cataloging

5.2.7.1 System shall provide URL verification program for bibliographic records to flag and report invalid URLs (i.e. links to external web sites, files, etc.) System shall provide capability to include/exclude specified URL domains and text strings. System shall provide selection criteria to limit/filter records selected for verification (ex. publication date, record ID, etc.)

5.2.7.2 System shall provide the ability to create an unlimited number of records (ex. bibliographic, item, patron, fund, order, issue/serial prediction, vendor/supplier, subscription, etc.).

5.2.7.3 System shall provide unique record IDs for bibliographic, item, patron, fund, order, vendor/supplier, subscription, and issue/serial prediction records. Record IDs shall not be repurposed/re-used after a record is deleted.

5.2.7.4 System shall provide connection to controlled vocabulary/authority records database (i.e. Library of Congress (LC), National Authority File (NAF), Online Computer Library Center (OCLC), Virtual Internet Authority File (VIAF), etc.) for importing new and updated authority records. Updated authority records shall overlay/replace existing records in the database.

5.2.7.5 System shall support native controlled vocabulary/authority record creation and automatic controlled vocabulary/authority record updates (ex. LC, NAF, OCLC, VIAF, etc.). Updated controlled vocabulary/authority records shall also update names and headings in existing bibliographic records.

5.2.7.6 System shall support linked open data, allowing the option for authority records to be maintained remotely.

5.2.7.7 System shall provide customizable batch requests and actions including, exports, imports, and item record creation. System shall allow for individual and batch export of all types of data (ex. patron, bibliographic, item, subscription, issue, order, etc.), and must have flexible selection criteria to include date created/date modified (ex. fixed date, range of dates, etc.), record number/range of record numbers, record status (ex. active, deleted, etc.), record type (ex. authority, item, bibliographic, etc.), library branch, location, etc. Bibliographic data exports shall provide the option to include associated item record data (i.e. holdings data, issues, etc.). Data shall be importable/exportable in tab/text/comma-delimited, Extensible Markup Language (XML), and MARC formats. System shall update the MARC tag tables when updated by Library of Congress. System shall allow local changes to the tag tables.

5.2.7.8 System shall support global editing (i.e. insert, modify, or delete text string) of fixed and variable data fields for bibliographic, item, and patron records. System must be capable of batch editing of large record sets (i.e. 10,000 or more records) with no degradation to system performance.

5.2.7.9 System shall provide cataloging API/module/function that is compatible with OCLC Cataloging and Metadata subscription (ex. when a bibliographic record is deleted in the collection management system, an action to remove holdings is executed in OCLC).

5.2.7.10 System shall interface with OCLC WorldCat for the purpose of searching and importing bibliographic records.

5.2.7.11 System shall be compatible with Honeywell barcode scanners, Watson bar codes (Code 39) on physical items that contain special characters and alphanumeric characters, and barcodes from patron library cards.

5.2.7.12 System shall provide the ability to define periodical check-in patterns that accommodate all types of frequencies (ex. daily, weekly, monthly, quarterly, triannual, etc.) for both regularly and irregularly (ex. supplements, double issues, special issues, etc.) published serials, and provide ability to define “year” (i.e. calendar, fiscal, academic, etc.). System shall provide the ability to enter date criteria by direct keying or via calendar utility. The frequency of check-in pattern, and ability to combine/modify issues, shall have the ability to be changed at the check-in screen (i.e. “on the fly”). Patterns shall be able to be defined for both future (at least 10 years out) and past dates (from at least 1900 to one day ago). Patterns shall include flexibility for chronology (ex. name of month, abbreviation, season, quarter, etc.) and enumeration (ex. Arabic, Roman numerals, etc.). Patterns shall be able to be created for single or multiple years and allow at least three levels of chronology and enumeration to be defined (ex. Volume 2021, Quarter 3, Issue 1).

5.2.7.13 System shall support the electronic transmission of periodical claims to periodical subscription service or other contractors using the Electronic Data Interchange (EDI) protocol.

5.2.7.14 System shall provide record validation utility to identify/flag duplicate bibliographic records, call numbers, barcodes, and items upon creation/load, by automated process and by on-demand reporting. Records shall be validated to ensure adherence to data standards. The system shall support spell check as part of the validation process and provide the ability to suppress bibliographic and item records from display in the public user interface.

5.2.7.15 System shall provide the ability to overlay/merge bibliographic records based on control number or other unique identifier (ex. ISBN), and by indexed data fields. Bibliographic merges will retain all associated items and their data (i.e. location, barcode, transaction history, etc.).

5.2.7.16 System shall provide the ability to create both public and non-public notes at the bibliographic record, serial holding record, item record, and periodical issue levels. Public notes shall be visible in the public user interface at the appropriate level (i.e. bibliographic, item, or issue). Non-public (i.e. staff) notes shall display as a visible warning prior to cataloging (i.e. modify, copy from, delete, etc.) or circulation actions (i.e. check-in, renew, checkout, etc.) being taken on a record. The system shall provide a non-public note field to track physical condition of items.

5.2.7.17 System shall provide the ability to create and modify bibliographic, authority, and item records by deriving (copying from) user-defined templates or existing records, and by direct keying (i.e. blank MARC, EAD, METS, DC, etc. form/fields).

5.2.7.18 System shall provide the ability for all data fields, for all types of records, to be keyword searchable. All records, regardless of status (ex. active, deleted, etc.) must be visible in the staff client. Searches must reflect real-time information, displaying new changes to records immediately. System shall provide browse search functionality for data fields to include author, title, subject, classification number, and series. Customer must have the ability to define/map specific bibliographic data fields to the keyword and browse indexes.

5.2.7.19 System shall automatically index the system when files are uploaded/imported, making them immediately searchable and available in the public user interface.

5.2.8 Circulation

5.2.8.1 The system shall provide property control and accountability for physical resources, including loans to patrons.

5.2.8.2 Multiple library-defined physical and conceptual locations, item and patron types, and loan periods must be supported.

5.2.8.3 Library staff shall define the policies by which physical inventory is circulated to patrons.

5.2.8.4 The system shall include an offline circulation component.

5.2.8.5 The system shall support self-service circulation workstations.

5.2.8.6 The system will create and retain a record of each loan, archiving each record permanently (with the exception that individual personally identifiable information must be deleted upon deletion of the individual's patron record).

5.2.9 Patron Management.

5.2.9.1 The system shall allow authorized staff to create, modify, and delete patron records.

5.2.9.2 Patron records shall allow multiple patron identifiers and addresses.

5.2.9.3 Patron information shall be updateable through an application programming interface (API) via systems that serve as the initial source of that patron information.

5.2.9.4 The system shall integrate with external identity management systems (e.g., Microsoft Office, LDAP/Shibboleth) for authentication.

5.2.10 Reporting and Analytics.

5.2.10.1 The system shall include a comprehensive analytics component that covers all of the LMS data and is an integral part of the LMS.

5.2.10.2 It shall provide reports designed by the vendor as well as allowing the creation of new reports by library staff, to include

a. statistical lists

b. circulation data, including number of checkouts, date of last checkout, list of checked out material by specific patron group or location, inactive patrons (more than 3 years).

c. Overdue materials

d. user statistics

e. cost per use

f. history data and support trends analysis

g. inventory, etc.

5.2.10.3 Reporting shall support a variety of output options including, but not limited to, embedded, sharable, be printable, offer data visualization, exportable, and show trends (available in multiple formats).

5.2.10.4. Allow for inside the system journal/book/database duplication (“overlap”) analysis customizable report (assists with budget decisions) for discovery layer.

5.2.10.5. Reporting shall support the ability to collaborate and share reports made by other parties.

5.2.10.6. The system shall be able to ingest and present usage statistics in accordance with ANSI/NISO Z39.93-2014, the Standardized Usage Statistics Harvesting Initiative (SUSHI) Protocol. It must also allow import or manual entry of usage statistics not harvestable via SUSHI, including Counter-compliant and non-compliant data.

5.2.10.7. The reporting application shall allow for the automatic scheduling of reports daily, weekly, monthly, annually.

5.2.10.8. Reporting should include search terms entered by patrons for collection development purposes.

5.2.10.9. Must have URL checker and report on URLs in the catalog that no longer function.

5.2.10.10. The system shall store records, data, and reports from library processes indefinitely at no additional charge.

5.2.11. System Administration and Management.

5.2.11.1. The system shall come with a set of “Out of the Box” definitions and configurations so that the library need only make minimal changes to the standard settings.

5.2.11.2. The system shall allow authorized staff to configure various aspects of the system without contractor intervention.

5.2.11.3. The system shall allow for customizing the acquisition workflows in order to accommodate specific library needs as well as control over when orders and invoices need mediated handling.

5.2.11.4. The system shall allow the library to configure when fulfillment processes such as hold request/call slips can be automated or need to be mediated.

5.2.11.5. The system shall come with the ability to add notes and file attachments to various resources managed in the system.

5.2.11.6. The system shall display ‘created by’, ‘last updated by’, and ‘modified by’ information for various types of records.

5.2.11.7 The system shall provide to date of electronic content from publishers/vendors via a query.

5.2.12. Staff Interface.

5.2.12.1. Basic requirements:

a. Circulation

b. Renewal

c. Patron Registration

d. Deletion of items, with a record of item count deleted at the end of each month.

e. Integration of ILL records

f. Serials

g. Acquisitions

h. Cataloging

5.2.12.2. The system will provide searching by single field types or multiple field types in combination.

5.2.12.3. Dependent on the search type, it should be possible – from the results list - to edit a record, create an order, view holdings, items, and other connected information.

5.2.12.4. It shall sort result sets by various parameters – e.g. ranked, title, author. There should be more than one level of sorting.

5.2.12.5. Allow for file transfer from a CSV or similar file to upload patron accounts from other systems.

5.2.12.6. The system must support offline circulation if outages occur.

5.2.12.7. The system must comply with the following ISO standards: 22301, 27001 (security), 27017, 27018.

5.2.12.8. The system must have compatibility with security strips, RFID tags, etc.

5.2.12.9. The system must be able to allow document delivery (articles, pdfs) within the system to users.

5.2.12.10. The system must be able to incorporate data imported from external sources, that could include database vendors, e-book vendors, metadate, etc.

5.2.13. User Experience.

5.2.13.1 Search Features: Simple search engine with an advanced search feature. Advanced search should provide options to sort through the following:

a.…