Attachment_2_-_SSN_DRAFT_SOW.pdf

Medicine in the Americas Cataloging Project Statement of Work

RFQ-NLM-HMD

I. Background

The National Library of Medicine (NLM) owns over 40,000 monographs printed prior to 1923 in the Americas (Canada, the Caribbean, Latin America, Mexico, and the United States). In 2009 NLM began scanning these items as part of a mass digital project, called Medicine in the Americas. Over 15,000 volumes dated before 1900 have already been scanned and uploaded to NLM’s Digital Collections repository (https://collections.nlm.nih.gov) and the Internet Archive (archive.org).

In 2007, NLM conducted a pilot project which revealed that the availability of consistent metadata prior to scanning promotes efficiency during the digitization workflow.

According to a random survey of Americana titles conducted in 2008, almost 80% of these monographs have cataloging records that lack Medical Subject Heading (MeSH) terms. Many of these records were created prior to the implementation of national cataloging standards, such as the Anglo-American Cataloging Rules (2nd edition, revised) (AACR2r) or Resource, Description, and Access (RDA). Thousands of records must be upgraded to meet the national standards for full-level cataloging and ensure the consistency that is required for optimal metadata transfer into NLM’s digital repository.

Additionally, some Medicine in the Americas titles do not have distinct cataloging records in NLM’s online catalogue, LocatorPlus. Decades ago, NLM used a single record approach for cataloging titles that appeared in multiple editions. Although many of these “multiple-edition records” have been re-cataloged over the years to meet the current standard of one record per edition, there are still several hundred editions that need separate records. These titles need full-level records created for them, either by using available OCLC copy or by creating an original record using Exlibris’ Voyager software.

There are also an unknown number of monographs that may be bound with other titles, but do not have individual cataloging records. Many Medicine in the Americas titles are part of NLM’s Bound Pamphlet collection which has been sporadically cataloged over the years. When the Voyager system was implemented in 1998, cataloging records from the old system were migrated, but individual holdings and item records were mistakenly created for each title. To facilitate proper circulation of these materials the bibliographic records need to be linked to each other through the use of one holdings and item record.

Approximately 75% of the Medicine in the Americas titles are written in English, with about 15% in Spanish, and less than 10% in French or German. A very small percentage are written in a variety of other languages.

II. Purpose

The objective of this procurement is to obtain the on-site services of a professional cataloger to upgrade monographic cataloging records to full-level national standards, including assigning a full complement of MeSH. The cataloger shall also create separate bibliographic records for titles cataloged on multiple-edition records in Voyager.

Bibliographic records shall also be created for all bound-together titles or editions without separate records in Voyager. The cataloger shall ensure that bound-together titles are properly linked in Voyager to facilitate the proper circulation of the physical volumes.

III. Contractor Requirements

The cataloger shall perform the following duties:

A. Confirm that there is only one bibliographic record for a title in the Voyager database and evaluate what type of cataloging work is necessary: none;

record creation for uncataloged titles; single record upgrade; recataloging of multiple edition records; and/or holding and item record maintenance, including the linking of bound-together titles;

B. Identify whether single edition records have been cataloged according to current full-level national standards, including a full complement of MeSH terms;

C. Upgrade single edition records to current full-level national standards, as modified per NLM’s local policies;

D. Create separate bibliographic records for uncataloged titles and editions cataloged on multiple-edition records, either by using available OCLC copy or by creating an original record directly in Voyager;

E. Confirm that all name headings used in the upgraded or created records have corresponding fully established authority records in Voyager;

F. Ensure that all bibliographic records have accurate holdings and item records, according to NLM’s local policies, including proper linking of bound-together titles;

G. Provide Contracting Officer’s Representative with proper documentation of upgraded and newly created bibliographic and authority records.

The Contractor shall upgrade or create records in accordance with the following standards: MARC 21 Format for Bibliographic Data (MARC21); the Anglo American Cataloging Rules (2nd ed., 2002 rev, 2005 update) (AACR2), the Library of Congress Rule Interpretations (LCRI), Resource, Description, and Access (RDA), the Library of Congress-Program for Cooperative Cataloging Policy Statements (LC-PCC PS), and local NLM policy documentation. Holdings and item record data shall be verified and/or input according to the NLM Guidelines for Interpreting, Creating, and Maintaining Holdings Records and the NLM Guidelines for Interpreting, Creating and Maintaining Item Records.

All work shall be performed in accordance with accepted principles of the NLM’s quality standards, MeSH and NLM policies and in adherence to MARC21.

The Contractor shall perform this work on-site in the History of Medicine Division at NLM, during standard business hours, 8:30-5:00, Monday-Friday. Adjustments to this schedule may be permitted at the discretion of the Contracting Officer’s Representative.

All Contractor staff shall receive training at the NLM in the proper handling of NLM materials. The Contractor shall follow these procedures:

A. Prohibit eating or drinking (except bottled water) in areas where NLM materials are stored or work is performed.

B. Handle NLM materials with clean hands.

C. Use pencils (no pens) when working with NLM materials D. Handle books gently, using supports and weights as necessary. Turn pages carefully to prevent the paper from breaking along the edges or inner margin. If folded items appear to be too brittle to unfold or turn pages, refer items to Contracting Officer’s Representative.

E. Keep fragile items in envelopes or boxes when they are not required for processing or review.

IV. Contractor Tasks

A. Voyager record search and evaluation

i. The Contractor shall search each title in Voyager to confirm that only one bibliographic record exists in the database for it

1. If duplicate records are found, the Contractor shall make printouts of both records and ask the Contracting Officer’s Representative for further instructions

2. If no Voyager record is found, the Contractor shall create a full level record for the title, either by importing OCLC copy or creating an original record directly in Voyager, per local NLM policies; see Section C, below for guidance in upgrading OCLC copy and determining what information to include in an original record

ii. If only one Voyager record is found, the Contractor shall bring the following types of records to the attention of the Contracting Officer’s Representative

1. The 999 $a is not coded AUTH

2. The 060 is significantly different from what is on the piece

3. The record appears to be for a non-book format, such as a microfilm or electronic resource

4. Any other situations that make the Contractor question whether the bibliographic record matches the piece in hand

iii. The Contractor shall examine the bibliographic record for the piece in hand to determine if the record is for one specific edition or multiple editions. Multiple edition records generally have the following MARC data:

1. 008 Date type = m and Date2 = 9999

2. 250 $a = [1st]- ed.

3. 300 $a = v.

iv. The Contractor shall confirm that all titles in a bound-together item have individual bibliographic records in Voyager

v. The Contractor shall verify that all copies of a single edition, based on the holdings and item records, are in hand

vi. The Contractor shall verify that all editions cataloged on a multiple edition record, based on the holdings and item records, are in hand.

If the holdings records indicate that other editions are in the stacks in the location GenColl, the Contractor shall notify the Contracting Officer’s Representative

B. Identification of full-level single edition records

i. The Contractor shall examine the Leader field of single edition records and confirm that the Encoding Level value is “_” for Full level and that the record is cataloging according to AACR2 (Leader Cataloging Form is “a”) or RDA (Leader Cataloging From is “i” and 040 $e rda is present); if not, the record shall be upgraded

ii. The Contractor shall examine the 6XX fields and confirm that at least one MeSH term (field 650, second indicator 2) has been assigned to the record; if no MeSH term has been assigned to the record, the record shall be upgraded. Even if one MeSH term is present, if any 653 or 690 fields are also present, the record shall be upgraded.

iii. The Contractor shall edit the 9XX fields to NLM specifications after determining that a single edition record does not require upgrading

C. Upgrading of single edition records determined not to be full-level AACR2 or

RDA standard

i. If the Leader Cataloging Form is “a” for AACR2, the Contractor shall upgrade the record to full level AACR2 standard; otherwise the Contractor shall upgrade the record to full level RDA standard

ii. The Contractor shall update the 008, 041, and 044 fields per NLM local specifications

iii. The Contractor shall verify that the 060 call number matches what is on the piece and upgrade the record as necessary; the Contractor shall leave “as is” any 060 beginning with the word Film; for bound-together titles, the Contractor shall append to the 060 the phrase “no. #”, where the # symbol equals the position of the title in the volume (i.e, no.1 is the first title in the volume, no.2 is the second title in the volume)

iv. The Contractor shall verify that all data in the bibliographic description (fields 245, 250, 260, and 490) is transcribed according to the appropriate standard and upgrade the record as necessary

v. If the piece is a translation, the Contractor shall confirm that appropriate data is entered into the 041, 240, and 500 fields per the appropriate standard and upgrade the record as necessary

vi. The Contractor shall confirm that the physical description given in the 300 field is constructed according to the appropriate standard;

that plates, illustrations, maps, and portraits included in the work are noted; that the height of the book in centimeters is given; and upgrade the record as necessary

vii. The Contractor shall confirm that any mandatory notes required by the appropriate standard for full level records are present in the record and upgrade the record as necessary

viii. Field 590 is no longer used by NLM. The Contractor shall refer any records containing a 590 field to the Contracting Officer’s Representative for guidance and resolution

ix. If the piece in hand contains provenance information (for example:

ownership inscription(s), presentation inscription(s), bookplate(s), etc.), the Contractor shall confirm that a basic description of the provenance is entered into local 541 and 561 fields according to local NLM specifications, and upgrade the record as necessary.

The Contractor shall refer illegible and/or complex provenance to the Contracting Officer’s Representative for guidance and resolution

x. The Contractor shall delete any 653 or 690 fields from the record and confirm that any existing MeSH terms are appropriate. As necessary, the Contractor shall assign up to 5 topical MeSH terms (including qualifiers), plus age groups, geographic headings and publication types to reflect both the primary and secondary aspects of the publication. The Contractor shall code the 65X fields per local NLM specifications. Subject headings for persons and corporate bodies shall also be confirmed or added as necessary.

xi. The Contractor shall confirm that the record contains access points (1XX/7XX/830) and relationship designators (when permitted by the cataloging standard) for all persons and corporate bodies with primary responsibility for the work (i.e., authors, editors, commentators, and translators) and series titles, and upgrade the record as necessary

xii. The Contractor shall also confirm that the record contains local name access points for persons or corporate bodies mentioned in provenance notes (541/561), when a Voyager authority record already exists for these names, and upgrade the record as necessary; the Contractor shall not create or import NAF authority records for names mentioned in provenance notes when there is not a pre-existing Voyager authority record

xiii. The Contractor shall edit the 9XX fields per local NLM specifications

D. Recataloging of multiple edition records

i. The Contractor shall mark the multiple edition record for deletion per local NLM policies.

ii. The Contractor shall search each edition in OCLC, looking for matching copy to import

iii. The Contractor shall edit the OCLC copy per NLM local policies

iv. If no OCLC copy is found for an edition, the Contractor shall create a bibliographic record for the edition in Voyager. When efficient, the Contractor shall use Voyager’s “Make a Copy” feature to facilitate record creation

v. If the multiple edition record contains a 533 “Microfilm note”, the Contractor shall notify the Contracting Officer’s Representative of the Voyager Bib ID of the multiple edition record and the Voyager Bib IDs of the newly created records for each edition.

E. Name and series authority work

i. The Contractor shall ensure that all access points for persons, corporate bodies, and series titles used in the 1XX, 6XX, 7XX, and 830 fields have corresponding fully established authority records in Voyager, containing an 010 LCCN and 008 Subject Heading “c” for Medical Subject Headings.

1. Authority records coded AACR2, AACR2-compatible, or RDA may be used to support headings in bibliographic records coded AACR2.

2. Only authority records coded RDA or fully established AACR2, if the 1XX field would be constructed the same way under both AACR2 and RDA, may be used to support headings in bibliographic records coded RDA.

Preliminary, provisional, AACR2-compatible or authority records with 667 notes stating “THIS 1XX FIELD

CANNOT BE USED UNDER RDA UNTIL THIS

RECORD HAS BEEN REVIEWED AND/OR

UPDATED”, must be upgraded to RDA.

3. Any authority records containing an 010 field, that need to be modified to comply with national standards, must be reported to the Contracting Officer’s Representative.

ii. If a Voyager authority record is found, but it lacks an 010 field, the Contractor shall search the heading in the National Authority File (NAF) via OCLC

1. If an authority record is found in the NAF, the Contractor shall update the Voyager authority record to match that in the NAF, with the exception of coding the 008 Subject Heading value as “c” for Medical Subject Headings; code the 9XX fields to local NLM specifications; and upgrade the record the RDA if necessary.

2. If an authority record is not found in the NAF, the Contractor shall update the Voyager authority record to full RDA standard based on the piece in hand and name usage in OCLC bibliographic records; and code the 9XX fields to local NLM specifications.

iii. If a Voyager authority record is not found, the Contractor shall search the heading in the NAF via OCLC

1. If an authority record is found in the NAF, the Contractor shall import the record to Voyager; update the 008 Subject Heading value to “c” for Medical Subject Headings; code the 9XX fields to NLM local specifications; and upgrade the record to RDA if necessary.

2. If an authority record is not found in the NAF, the Contractor shall create one in Voyager to full RDA standard using the system’s “Create Auth Record” feature and code the 9XX fields to NLM local specifications

iv. The Contractor shall notify the Contracting Officer’s Representative of all new authority records and any authority records that have been modified

F. Holding and Item Record Creation/Maintenance

i. The Contractor shall ensure that each distinct physical edition has a holdings record with an HMD location code and that each physical copy and volume has an item record, all formatted to local NLM specifications

ii. If the Contractor has maintained the 060 field in the bibliographic record, the Contractor shall update the call number in the holdings record as necessary

iii. If the Contractor encounters non-HMD holdings or item records attached to a bibliographic record, the Contractor shall immediately notify the Contracting Officer’s Representative; under no circumstances is the Contractor to maintain non-HMD holdings or item records unless expressly directed to do so by the Contracting Officer’s Representative

iv. When separate bibliographic records are created for editions formerly cataloged on multiple edition records, the Contractor shall create HMD holdings records for each newly created bibliographic record; the Contractor shall re-link the item records from the HMD holdings record attached to the original multi-edition record to the appropriate newly created HMD holding record for each edition

v. If the piece in hand is a bound-with, i.e., contains multiple titles bound together subsequent to publication, the Contractor shall ensure that the bibliographic records are properly linked together using only 1 holdings and item record

1. If the Contractor discovers that each distinctive title has an individual HMD holdings and/or item record, the Contractor shall delete the item and holding records for each title in the volume, except for the first; and link the remaining holdings/item record to the other titles in the volume

2. The Contractor shall ensure that the call number in the 852 field of the holdings record reflects the volume as a whole and not an individual title (i.e., the call number does not contain the phrase “no. #”)

3. The Contractor shall maintain the Free Text field of the item record per local NLM specifications

G. Document Work Performed

i. The Contractor shall make printouts of each bibliographic record before work is performed

ii. The Contractor shall make printouts of each bibliographic record that has been upgraded or newly created

iii. The Contractor shall make printouts of each authority record before it is maintained

iv. The Contractor shall make printouts of each authority record that has been maintained, newly created, or imported from OCLC

v. Printouts shall be submitted to the Project as outlined below in

Section VII Deliverables and Reporting Requirements

All data created and entered for this project must be in accordance with the Inspection and Acceptance Standards listed in Section IX. The Contractor shall bring any problems that arise to the attention of the Contracting Officer’s Representative.

V. Inspection and Acceptance Requirements

NLM quality review of cataloging and authority records will be based on sampling of batches as delivered by the vendor each week. The sample size reviewed by NLM may vary from 20% to 100% of the records in any batch. During the first months of the period of performance of this purchase order, NLM anticipates a random sampling of greater than 20% of any work completed.

The Contractor is responsible for reviewing all printouts of bibliographic records and their associated authority records to assure that all submitted work will meet the NLM’s quality standards.

These standards are as follows:

1. Bibliographic Records

The number of bibliographic records containing errors in application of AACR2 or RDA for description and authority work, must not exceed 10% of the total number of items delivered in a batch.

2. Authority Records

Ninety-five percent (95%) of all names in the 1XX, 6XX, 7XX, and 8XX fields of the bibliographic records must be confirmed in the NLM authority file. The number of name authority records created by the Contractor containing errors in conforming to the rules for the establishment of name headings in RDA must not exceed 5% of the total number of items delivered in a batch and 95% of all data in these records must be free of typographical errors.

3. Subject Headings

The number of records containing errors in assigning subject headings according to the MeSH browser and NLM policies for subject analysis must not exceed 5% of the total number of items delivered in a batch.

4. Typographical Errors

The number of typographical errors must not exceed 5% for all records created.

5. MARC21 Coding

The number of MARC21 coding errors must not exceed 5% of all records created.

6. Holdings Records Errors

The number of holdings records errors must not exceed 5% of all records created.

7. Item Records Errors

The number of item records errors must not exceed 5% of all records created.

Items which do not meet quality standards in Section V (Inspection and Acceptance Requirements) will be returned to the Contractor and must be reviewed and corrected at the Contractor’s expense. The Contractor shall deliver printouts of these corrected records with the next batch of records.

In addition, for any batch rejected (i.e. items do not meet the quality standards in Section IX (Inspection and Acceptance Requirements), NLM shall impose the following liquidated damages in accordance with FAR 11.503(a) (attached):

If the batch is returned to the vendor a second time, NLM shall impose a reduction in payment equal to one-fourth of the price of one cataloging hour. If the batch is returned a third time, NLM shall impose a reduction in payment equal to one-half of the price of one cataloging hour. If the batch is returned more than three times, NLM shall impose a reduction in payment equal to the price of one cataloging hour.