OCLC SSJF.pdf

Sole Source Justification Form

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Bulletin Reference Number 22-350SOS-SOS35-B-22363

Requesting Agency/University Secretary of State

Sole Source Justification Form - Part I Section I - General Information

Department/Bureau/Section: Secretary of State/Illinois State Library

Need Identified Date: Jan 1, 2019 Supply/Service Need By Date: Jul 1, 2021

Project Title: Cataloging, Resource Sharing and Discovery Services for Illinois Libraries

Vendor: OCLC

Provide a description of the supplies or services required:

Vendor shall provide services that facilitate cataloging and resource sharing needs of Illinois libraries. Resource sharing services for Illinois libraries shall extend beyond the state and include nationwide and global resources.

Value: Estimated Value of Initial Term, this Change Order or Amendment: 5,273,729

Will this Sole Source amend a Professional or Artistic Services contract? Yes No

*Sole Source may not be used for amendments for Professional or Artistic Services if the amendment would increase the value by more than 5% of the initial award or extend the term by more than 60 days.

Type: New Sole Source

Section II - Proposed Term

One-Time Purchase Term Contract

Estimated Contract Begin Date: Jul 1, 2021

Estimated Contract End Date: Jun 30, 2024

Number of Potential Renewals: 0

Length of Each Renewal in Months: 0

Total Value of All Renewals:

If a Term Contract, does the term, including renewals, exceed 12 months? Yes No

If yes, provide a detailed justification including any economic benefit received for agreeing to a multi-year term:

The economic benefit allows for limiting annual price increases to no more than 3% in each of the renewal years

Section III - Funding Source Select the type of funding to be used (Check all that apply): State Appropriate Funds Federal Funds Other (Explain):

Section IV - Sole Source Justification

This purchase is economically only available from a single source primarily because it is: (If "Other" explain in one sentence)

Items are Copyrighted or Patented and the Items are Only Available from the Holder

Are there secondary justification(s) for this sole source? Yes No

Another justification that this purchase is only available from a sole source is because it is:

Software License/Upgrade/Maintenance

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Bulletin Reference Number 22-350SOS-SOS35-B-22363

Requesting Agency/University Secretary of State

Another justification that this purchase is only available from a sole source is because it is:

Section V - Purchase History

Has the Agency or University Purchased these supplies or services in the past? Yes No

Term Term From Term To Value Description Contract Number Type

1 Jul 1, 2020 Jun 30, 2021 1,742,968 Statewide Discovery and Resource Sharing 20SL533000 Sole Source

2 Jul 1, 2019 Jun 30, 2020 1,692,201 Statewide Discovery and Resource Sharing 20SL533000 Sole Source

3 Jul 1, 2018 Jun 30, 2019 1,648,398 Statewide Discovery and Resource Sharing 15SL013012 RFP

4 Jul 1, 2017 Jun 30, 2018 1,579,638 Statewide Discovery and Resource Sharing 15SL013012 RFP

5 Jul 1, 2016 Jun 30, 2017 1,494,479 Statewide Discovery and Resource Sharing 15SL013012 RFP

6 Jul 1, 2015 Jun 30, 2016 1,467,984 Statewide Discovery and Resource Sharing 15SL013012 RFP

7 Jul 1, 2014 Jun 30, 2015 1,452,903 Resource Discovery and Sharing 11SL013010 RFP

8 Jul 1, 2013 Jun 30, 2014 1,422,820 Resource Discovery and Sharing 11SL013010 RFP

9 Jul 1, 2012 June 30, 2013 1,397,379 Resource Discovery and Sharing 11SL013010 RFP

10 Jul 1, 2011 June 30, 2012 1,357,307 Resource Discovery and Sharing 11SL013010 RFP

If more than 10, or if other comments, explain:

The Secretary of State/Illinois State Library has been engaged with OCLC to provide cataloging and interlibrary loan services for its own use and on behalf of Illinois Libraries for more than 40 years. The current subscription pricing program has been in place for 15 years. The amounts indicated on this form are those paid directly by the state on behalf of Illinois libraries.

Section VI - Business Rationale

1. Provide a detailed explanation of the need for the supplies or services:

This contract allows for statewide resource sharing for almost 1,100 libraries of all types (public, school, academic, and special). The services provide cataloging, interlibrary loan, and resource discovery services. An additional 1,500 libraries, who do not subscribe to the cataloging and interlibrary loan services are allowed access to resource discovery services provided by OCLC. This is a state facilitated agreement that allows libraries the ability to purchase these services versus contracting directly with the vendor.

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Bulletin Reference Number 22-350SOS-SOS35-B-22363

Requesting Agency/University Secretary of State

2. Provide a list and describe in detail the specifications required to satisfy the need:

Vendor is to provide cataloging/bibliographic services that supports MARC 21 Format Bibliographic Data, MARC 21 Format for Authority Data, and MARC 21 Format for Holdings Data and RDA and allow all bibliographic record data to be controlled by the user.

The cataloging service should allow online record editing, as well as the ability to add/delete/import/export holdings. The product should employ some form of online validation to support quality control. Cataloging services should provide support for batchload processing of records and holdings to supplement online cataloging activity. The service should provide a mechanism for importing and exporting bibliographic records in MARC 21 Format without vendor intervention and with full preservation of all content designators. Cataloging options should include both online and offline capabilities and allow for the most basic of copy cataloging functions to the most advanced record editing and creation. Service should provide for a shared cataloging infrastructure that supports metadata maintenance, including MARC updates, heading changes, as well as, data mining for enriched search structure adn allow for global updating for large-scale metadata maintenance and record de-duping. Vendor should allow for the addition of original bibliographic records and authority records by libraries utilizing these services. Cataloging services shall facilitate holdings in various formats, for instance serials and electronic. Service shall also allow for multiple staff to be authenticated and logged on at a single library location.

Service should facilitate resource sharing by providing access to a single bibliographic database with holdings presented for all subscribing libraries and allow discovery from a single point of entry. The searchable catalog should point to holdings of libraries nationally and globally. Interlibrary loan services should facilitate the request of photocopies and other nonreturnables. Service should provide the capability for integrated billing when appropriate for specific interlibary loan/resource sharing transactions.

3. Provide detail explaining the justification selected in Section IV to explain why the requested supplies or services are the only ones available that can satisfy the agency or university requirements?

Given the scope of libraries (public, school, academic, and special), only OCLC contains the bibliographic records (exceeding 440 million) and library holdings (exceeding 2.7 billion) that allows for the greatest utilization of copy cataloging records and access to materials to facilitate the expansive needs of Illinois libraries. There are now right at 18,000 libraries in 123 countries that utilize OCLC services and create bibliographic records for use in more than 490 languages. Additionally, OCLC allows for original cataloging and the creation of unique bibliographic records when required.

4. What are the unique features of the supplies or services that are not available in any other product or by any other vendor? Provide specific quantifiable factors/qualifications:

The sheer size the OCLC consortia of bibliographic records and library holdings makes their product/services unique in order to meet the requirements of all types of libraries within the state - from the largest of academics to the smallest of publics.

5. Has the Agency or University considered alternative supplies or services to satisfy their need? Yes No

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Requesting Agency/University Secretary of State

5a. If yes, name the alternative vendors whose supplies or services were evaluated:

In previous RFP submissions, the services that would be provided by Auto-Graphics for interlibrary loan services were evaluated.

Additionally, the State Library recently reviewed information that is publicly provided by SkyRiver Technology Solutions for cataloging services. Additionally, the state reviewed the results of recent investigation by a consortia representing 97 libraries in Illinois regarding use of alternative services to that of OCLC.

5b. If yes, what were the alternatives for each vendor and why were they unacceptable? Be specific with regard to features, characteristics, requirements, capabilities and compatibility:

The resource sharing (interlibrary loan) services of Auto-Graphics would limit access to library content from that which can be provided by OCLC. SkyRiver's cataloging database is limited to 43 million titles versus the more than 440 million provided in the OCLC services.

Addtionally, SkyRiver's current public information indicates that if libraries were to switch to their company for cataloging services, libraries might continue to utilize OCLC for interlibrary loan services. Simply, there does not appear to be a vendor in the marketplace that can provide cataloging, interlibrary loan, and resource sharing services to the extent possible with OCLC. In fact, alternatives may only be able to provide one of the multiple functions specified and under which libraries within the state have functioned for over 40 years.

5c. Explain how the market evaluation was conducted?

*This evaluation is to determine available options within a market. If the evaluation is to determine quality or best suited option, this is not the appropriate source selection. Under no circumstances shall the evaluation consist of testing alternative options. These activities must be conducted in a competitive transparent environment (i.e. IFB or RFP).

6. Are there resellers or distributors?

Yes No N/A

7. What efforts were made to get the best possible price (i.e. did the agency/university negotiate) and how did you determine the price for this purchase is considered fair and reasonable?

Because this service is ongoing, pricing has been based upon a percentage subscription price increase for over a decade. That remains the case in the current vendor proposal to the State.

8. Will this purchase obligate the State to this vendor for future purchases such as maintenance, licensing or continuing need?

Yes No

9. What will be the financial or other impact to the State if this sole source is not approved and a competitive bid is required?

Cataloging and interlibrary loan services for more than 1,100 libraries in the State would cease until alternatives could be sought.

Which to the extent is possible for these services, the department does not feel there is an alternative vendor in the marketplace.

10. Is there any additional information you would like to add to justify this sole source?

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Bulletin Reference Number 22-350SOS-SOS35-B-22363

Requesting Agency/University Secretary of State

Section VII

Requesting Department Representative

Requesting Department Signature Required

I know and understand the contents of this Sole Source Justification and attest that all statements are true and correct and the fairness and reasonableness of the price was adequately confirmed.

Date May 10, 2021

Printed Name Marcus Birch E-mail Address mbirch@ilsos.gov

Phone Number 217-785-6924

State Agency Bureau/Division Head or University Purchasing Director Approval and Signature Required

I know and understand the contents of this Sole Source Justification and attest that all statements are true and correct and the fairness and reasonableness of the price was adequately confirmed. (All prior form fields will lock once this e-signature is completed)

E-mail Address

Phone Number Date

Printed Name

Agency Bureau/Division Head or University Purchasing Director and Not a Designee

SPO Approval and Signature Required

I have reviewed and understand the contents of this Sole Source Justification and agree with the State Agency or University determination.

I have reviewed and understand the contents of this Sole Source Justification and do not agree with the State Agency or University determination. As a result, the State Agency or University must explore other sourcing methods to satisfy their need.

State Purchasing Officer Signature Phone Number 217-782-7198 Date May 25, 2021

Printed Name Katherine Tople E-mail Address ktople@ilsos.gov

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Bulletin Reference Number 22-350SOS-SOS35-B-22363

Requesting Agency/University Secretary of State

Sole Source Justification Form - Part II Section I - General Information

Project Title Cataloging, Resource Sharing and Discovery Services for Illinois Libraries

Vendor OCLC

Initial Date of Procurement Bulletin Posting

Was a Sole Source hearing held per 30 ILCS 500/20-25?

Yes - Complete Section II and III below (Section II will only be visible when this option is selected)

No - Section II not required, go to Section III below Section III - CPO Approval and Signature Required

Based on my review, I authorize the Agency/University to proceed in accordance with the published Notice referenced above.

Based upon my review, I authorize the Agency/University to proceed with the following Changes.

Based on my review, the Agency/University is not authorized to proceed with this sole source as presented and my recommendation is that it be cancelled.

Other

CPO Signature CPO Phone

Printed Name Date

CPO E-mail

Version 7.01 Page of Sole Source Justification Form - Part I Section I - General Information Will this Sole Source amend a Professional or Artistic Services contract?

If yes, what was the original contract value?

*Sole Source may not be used for amendments for Professional or Artistic Services if the amendment would increase the value by more than 5% of the initial award or extend the term by more than 60 days.

Section II - Proposed Term If a Term Contract, does the term, including renewals, exceed 12 months?

If yes, provide a detailed justification including any economic benefit received for agreeing to a multi-year term:

Section III - Funding Source Select the type of funding to be used (Check all that apply):

Section IV - Sole Source Justification Are there secondary justification(s) for this sole source?

Section V - Purchase History Has the Agency or University Purchased these supplies or services in the past?

Term Term From Term To Value Description Contract Number Type Section VI - Business Rationale

1. Provide a detailed explanation of the need for the supplies or services:

2. Provide a list and describe in detail the specifications required to satisfy the need:

3. Provide detail explaining the justification selected in Section IV to explain why the requested supplies or services are the only ones available that can satisfy the agency or university requirements?

4. What are the unique features of the supplies or services that are not available in any other product or by any other vendor? Provide specific quantifiable factors/qualifications:

5. Has the Agency or University considered alternative supplies or services to satisfy their need?

5a. If yes, name the alternative vendors whose supplies or services were evaluated:

5b. If yes, what were the alternatives for each vendor and why were they unacceptable? Be specific with regard to features, characteristics, requirements, capabilities and compatibility:

5c. Explain how the market evaluation was conducted?

*This evaluation is to determine available options within a market. If the evaluation is to determine quality or best suited option, this is not the appropriate source selection. Under no circumstances shall the evaluation consist of testing alternative options. These activities must be conducted in a competitive transparent environment (i.e. IFB or RFP).

5a. If no, why weren't alternatives evaluated?

6. Are there resellers or distributors?

7. What efforts were made to get the best possible price (i.e. did the agency/university negotiate) and how did you determine the price for this purchase is considered fair and reasonable?

8. Will this purchase obligate the State to this vendor for future purchases such as maintenance, licensing or continuing need?

8a. If yes, please provide details regarding future obligations and/or needs:

9. What will be the financial or other impact to the State if this sole source is not approved and a competitive bid is required?

10. Is there any additional information you would like to add to justify this sole source?

Section VII Requesting Department Signature Required I know and understand the contents of this Sole Source Justification and attest that all statements are true and correct and the fairness and reasonableness of the price was adequately confirmed.

State Agency Bureau/Division Head or University Purchasing Director Approval and Signature Required I know and understand the contents of this Sole Source Justification and attest that all statements are true and correct and the fairness and reasonableness of the price was adequately confirmed. (All prior form fields will lock once this e-signature is completed) SPO Approval and Signature Required Sole Source Justification Form - Part II Section I - General Information Was a Sole Source hearing held per 30 ILCS 500/20-25?

Section II - Sole Source Hearing Details The State posted to the Illinois Procurement Bulletin a description of the State's need, the justification for the sole source decision, and information regarding the opportunity to submit comments and testify at a public hearing. Notice of the hearing was also posted outside of the hearing room 48 hours prior to the hearing.

The public hearing was conducted for the purpose of receiving testimony regarding the sole source determination. The Hearing Officer recommends the following:

The following relevant documents are attached:

Section III - CPO Approval and Signature Required 9.0.0.2.20101008.1.734229

Service should facilitate resource sharing by providing access to a single bibliographic database with holdings presented for all subscribing libraries and allow discovery from a single point of entry. The searchable catalog should point to holdings of libraries nationally and globally. Interlibrary loan services should facilitate the request of photocopies and other nonreturnables. Service should provide the capability for integrated billing when appropriate for specific interlibary loan/resource sharing transactions.