Request for Information
Vendor Services for Technical Services Redesign

I. Introduction

Stanford University Libraries seek a vendor to provide shelf-ready monographic titles, as described in parts 1 and 2 of the report "Redesigning the Acquisitions-to-Access Process" (see Attachment A). It is essential that the vendor chosen be able to provide the following services in addition to the more traditional ordering services:

1. library access to vendor databases for the purposes of pre-order searching, placing orders, checking on order status, and updating orders;
2. a profile with extensive subprofiles across subject areas and with fund codes and shelving locations assigned to each subprofile;
3. the ability to transmit a data stream, including
   a. bibliographic records,
   b. holdings information,
   c. item or "piece" information, including barcode numbers,
   d. invoice information;
4. physical processing, including
   a. shipping by shelving location;
   b. property stamping, marking, book pockets and date due slips;
   c. spine labels including call numbers and shelving locations
   d. barcodes
   e. security targets

These monographs are to be supplied through the combination of a profile plan, firm orders, and standing orders. We hope to consolidate with one or two vendors orders for English-language monographs and monographic series worth about $900,000 per year, corresponding to approximately 18,000 volumes per year. A single vendor may be selected to cover US and UK/Ireland, or two separate vendors, one primarily US, one primarily UK, may be chosen. Vendors are asked to provide detailed descriptions of the services they can provide and the costs of the materials, their physical processing (see Attachment B) and of electronically-supplied records.

Please refer to the question numbers when answering any of these questions. The completed RFI should be returned to the following address by October 13, 1995, 5:00 p.m.

During the time that the RFIs are being prepared by the vendors, vendors will be invited to come to Stanford University Libraries to present an oral version of their proposal. Such a visit is not mandatory for a proposal to be given consideration.

If you have any further questions related to this process, feel free to contact Viveca Seymour at (415) 723-7907. Answers will be provided via an e-mail distribution list going to all vendors who have been invited to participate in this process. Please supply us, as soon as possible, an e-mail address to which you wish these answers sent.

II. Schedule for shelf-ready book implementation

September 8, 1995                  mail RFI
September 11-October 13, 1995      vendor presentations
October 13, 1995                   RFIs due at Stanford by
5:00 p.m.
November 1, 1995                   committee recommendation to SUL
directors
January 1, 1996                    contract with selected
vendor(s) signed
February 1996                      pilot program
phased in increments
September 1, 1996                  full shelf-ready program
in place

During the period from February 1 to September 1, 1996 we expect to phase in the scope of coverage and the enhanced services covered by the contract. How the new services will be phased in is negotiable. We expect to work with our partner/vendors on a timetable for delivery of new and enhanced services, including the following:

1. We would begin as soon as feasible to accept electronic records for invoices, while still expecting paper forms as back-up.
2. As soon as feasible, we would begin to place firm orders, and "claims" for items expected on approval, directly in the vendor's database.
3. Ideally, we would begin with a pilot program for the delivery of shelf-ready materials for particular branches or subprofiles, and add others until by September our entire plan is delivered shelf-ready.
4. We expect to re-direct many monographic standing orders to the selected vendor, but we would place and cancel those orders over a period of time, as staff resources permit.

In any event, there will be some ongoing needs for paper products, in particular, we will continue to expect a paper shipping list (or invoice copy serving as shipping list) in all shipped packages, and we may continue to maintain a paper invoice file for audit purposes in the near term.

III. Enhanced Services
Describe in detail your ability to supply the following services.

Profile coverage:

1. Within a profile for SUL approval plans, can you provide subprofiles by discipline? There would be approximately 40 subprofiles, corresponding to our bibliographers' assignments. Each subprofile should allow for two levels of selection--one for books to be automatically shipped, and one for notification service. The notification service that is now provided via printed slips should be replaced by an online notification service. For the purposes of the notification service, subprofiles may overlap across LC classifications, i.e., a single LC classification may be included in the notification profile for more than one bibliographer.

Subprofiles should be able to store:

• Default Stanford fund code;
• Default selector identification;
• Default shelving location.

And, may include:

• Differing physical processing requirements;
• Differing non-subject parameters.

2. Can you provide online access to the definition of our profile and subprofiles? Can you provide the ability for us to update profiles online? If so, how long would it take for changes to take effect?

Vendor database

3. A system allowing online access to vendor databases and electronic ordering must be available. Please describe the characteristics of your system.

There are two possible scenarios with regard to accessing the vendor's database. If our local integrated library system will support API's, CGI's, scripted sessions, etc., then we would prefer to import the vendor databases and create a local interface to them for our bibliographers and acquisitions staff. This would allow us to tailor the views of the database for our local needs, and to create a single interface for multiple vendor databases. Question #4 refers to this preferred scenario. The alternative scenario would be that bibliographers and acquisitions staff access the vendor database over the internet. Question #5 refers to this alternative scenario.

4. Will the vendor allow SUL to import their inventory database for internal library access? What restrictions might apply, if any?

5. Can your system support two distinct views of the database:

• a view of subset of entire database sorted by topic and date added, and
• a view of SUL only approval and "notification slip" files sorted by subprofile and date added.

6. A multi-tier security system must be available for the database:

• View only;
• Monograph ordering;
• Standing order placement;
• Profile modification

7. System must allow online queries for title status (shipped, claimed, etc.) and online initiation of claims.

8. Selectors must be able to block profiled titles and to order any title in database.

9. Could you provide a holding file for blocked orders, which would allow selectors to review each others' blocks and to override these blocks?

10. Can titles not already in database be input and ordered through this system? (see also question #34)

11. System must de-dup across sub-profiles for SUL but not for Stanford Coordinate Libraries. We must also have the ability to indicate in the vendor database when we wish to order more than a single copy.

12. System must de-dup against SUL standing orders and against a block-list of standing orders placed with other vendors.

13. Describe information in your database additional to basic bibliographic citations and ordering information (table of contents, fiscal information, other). Does the database include management data that we could use to create our own customized reports? (see also question #43)

Invoicing

14. Can invoice information be supplied electronically? Describe your current system for electronic delivery of this information and the standards employed.

15. Can codes be assigned to invoiced items as domestic or foreign imprint and whether standing or unitary order?

Physical processing

16. Can you provide end-processing, including property stamps, spine labels, and bar codes provided by SUL? See Attachment B for a detailed specification of physical processing requirements.

17. Can you retain and/or process dust jackets for designated categories of materials, e.g., belles lettres?

18. Do you have the ability to exclude certain categories from end-processing (fascicles, terminals sets, etc.)?

19. Would you be willing to subcontract with our bindery, currently General Book Binding in Ohio, for binding of paperbacks according to our specifications?

Returns

20. We assume that, in general, physically processed materials are non-returnable. Describe the exceptions you will allow (e.g., vendor supplies incorrect bibliographic entity, damaged book, or duplicate titles).

Data delivery

We require that the vendor supply an electronic record for every book supplied. At a minimum, the vendor's inventory record will suffice, so long as the required invoice, holdings, and barcode information is appended . (Please see Attachment C for a list of required data elements in records delivered to accompany each title supplied). When CIP or full cataloging copy is available, we would prefer the fuller record. Our intention is to send the records which are tagged as "less than full cataloging" to the utilities for matching full cataloging copy. It is not the primary focus of this RFI to contract for original cataloging, but we will consider such proposals.

While we are not expecting the vendor to supply a full cataloging record with every book, we are requesting that the vendor supply a complete LC call number with every book, and that the call number be used for spine labels. The provision of call numbers affixed as spine labels will allow us to avoid having to retrieve and remark books when fuller cataloging copy is found.

21. Can you provide records by FTP for all titles supplied? Please describe your sources of copy (e.g., LC MARC, UK MARC, OCLC, RLIN).

22. a. Are the records you supply in accordance with USMARC bibliographic format and USMARC ANSI Z39.57 for non-serials holdings?

22. b. Can you supply financial data according to the emerging European EDI standards? (We understand that Harvard is working with Harrassowitz and Casalini Libri on an emerging de facto standard.)

23. Can you supply LC call numbers for all titles supplied? Can you Cutter to the LC shelflist? [Cuttering to the LC shelflist will minimize duplicate call numbers at SUL and make call numbers useful to more than one customer library.]

24. Describe the extent to which you up-grade CIP. If the vendor upgrades CIP, we require a minimum of verification of title and author statements, and the completion of the collation statement.

25. How do you deal with local needs for classed together analyzed series? Can you record our call numbers in your database and supply that call number in records and spine labels for items in those series?

26. Can you link records and materials through SUL provided barcodes, that is, store and transmit the barcode number as part of the local data in bibliographic records?

27. Describe quality control mechanisms you have in place for libraries using your services for out-sourcing and/or no-return plans.

IV. Charges and discounts

28. Describe your discount structure. Is discount affected by a no-returns approval plan? By volume?

29. What would be the charges for physical processing? For shipping? For records?

30. How are these charges invoiced? (see also question #41)

V. Standard Services
Describe in detail your policies and practices relating the following services.

Profile coverage:

31. Describe the universe of publications covered on approval. What countries are covered and how extensively?

32. How do you prevent duplication of dual US/UK imprints?

33. Include a copy of your profiling tool with your reply.

Firm orders:

34. Describe the universe of publications covered for firm orders. What countries are covered and how extensively? Can titles not already in database be input and ordered through this system?

35. Can firm orders for recently out-of-print material be automatically rolled over to an out-of-print service?

36. How do you prevent duplication between firm orders and approval plan materials?

Timeliness

37. How frequently are orders entered with publishers? What special handling is given to rush orders?

38. Describe rush procedures, including typical turn-around.

Shipping

39 What are your shipping and delivery time commitments? For foreign shipments? For rush materials?

VI. Baseline Services.
For this section explain only those items that you cannot provide.

Materials to be supplied

40. Must be able to supply standing orders, firm orders, blanket orders, and approval plans for books and other printed materials. Excluded from consideration in this RFI are: periodicals, audio and video tapes, software, CDs, CD-ROMs, and mixed media.

Invoicing

41. Invoices will be supplied electronically, and duplicated in paper for the near term. Invoices must include:

• Title list with ISBN's;
• Price information, including
  • list price,
  • discounted price,
  • for UK-- price in pounds and dollars,
• Separate itemization of aggregate charges which apply to the invoice as a whole, including charges for:
  • records,
  • physical processing,
  • shipping,
  • handling
  • insurance, and
  • tax;
• Purchase order number (for firm orders);
• Invoice number;
• Invoice date;
• Fund number;
• Vendor address.

Database information/capabilities

42. Vendor database must include records for standing orders as well as profiled materials

Management information

43. Summary reports of library expenditures must be supplied quarterly or on demand and include information on:

• Number of books supplied;
• Average cost of books supplied;
• All of these numbers should be given for plan as a whole and for each sub-profile.

Shipping/Payment

44. Shipments will be dispatched from the vendor rather than directly from the publisher. Packing slip, or invoice in lieu of packing slip, must be included in shipments.

45. Shipments will be shipped to a single central mailroom, but must be boxed and labeled for sorting according to subprofile.

46. Payment must be accepted in U.S. dollars.

VII. References

47. Please supply a list of customers for whom you have provided out-sourcing and other services similar to those requested here and whom you would be willing to have us contact.

Attachment A: Process changes 1 and 2 from the Redesigning the Acquisitions-to-Access Process report

Attachment B: Specific Requirements for the Physical Processing of Materials

SCOPE OF THIS Appendix:

For the purpose of this appendix, physical processing of print materials includes the following: property stamping, spine labeling, applying date due slips or book pockets as specified in Section II, security targeting, and applying plastic book jackets as specified in Section III, articles 11 and 11.1.

The vendor must be willing to subcontract the binding of paperbacks for some shelving locations to Stanford's current commercial binder (see attached "When Not to Bind a Paperback"). Other shelving locations will require physical processing of paperbacks by the vendor, but not binding.

THE FOLLOWING BOOKS SHOULD BE SENT TO STANFORD AS IS:

1. All books with the imprint date of 1850 or earlier; plus all California publications from 1890 or earlier.

2. All books with pages that are one- or two-fold brittle should be placed into a protective envelope and sent to Stanford as is. To test if a book is brittle, gently fold over a small portion of the corner of a page in the suspect book. If the corner breaks after one or two careful folds, it is considered brittle. Special attention is required so that the test corner does not contain text or illustrations that will be lost if the corner breaks. A book that is brittle in part should be treated as a brittle item.

3. All mixed-media books (e.g., book with audio tape).

4. All books that require a pocket for accompanying paper materials (e.g., maps, charts, diagrams)

5. All books with signs of vermin infestation. These books must be isolated from the uncontaminated books by placing them into a separate protective container marked as "vermin infestation," put into a separate box, and sent to Stanford as is.

6. All books that require repair.

7. All paperback fascicles.

II. BASIC END PROCESSING PROCEDURES

The vendor should note that all books will require the following physical processing:

• book edge stamping
• a book pocket for most libraries (date due slip for Green Library, General Reference, and SAL books)
• a property stamp for the branch libraries, on the inside back cover
• call number label plus shelving location as appropriate

II a. FORMATTING CALL NUMBER LABELS

All book call number labels must conform to the following primary format:

• all LC alpha characters are in upper case
• no decimal point is used in the cutter number
• return line space should be set at 1 1/2 lines (i.e., more than single-spaced; less than double-spaced)
• whenever possible, the call number should be trimmed to fit the book's spine. If the call number doesn't fit on the spine, it should be placed on the front cover of the piece, in the upper left hand corner.
• Stanford currently uses an IBM Quietwriter with the Orator element for typing the call number labels. The vendor must be able to supply the print size that Stanford uses to produce the spine labels.

III. DESCRIBE IN DETAIL YOUR ABILITY TO PROVIDE THE FOLLOWING SERVICES:

8. The vendor should use the standard 7/8 inch SE-LIN tape that accommodates 8 characters across for producing most of the call number labels. 1 1/8 and 1 3/8 inch SE-LIN tape should be used for call numbers that exceed 8 characters.

8.1. If SE-LIN tape is not used, the vendor must supply information regarding the kind of labels used, the type of adhesive that is on the label, the kind of protector that is used to prevent the label from smearing, and how the label is secured to the book (e.g., applied with heat).

9. The vendor must provide captions following ANSI standards. Furthermore, the vendor must supply Stanford's specified default caption for books that are numbered, but uncaptioned. For example, if a book is issued in parts, but the publisher does not supply volume, count, or series number, the vendor must assign Stanford's default variable "v." to the piece.

10. The vendor must apply security targets to books for specific shelving locations.

11. The vendor supply and attach plastic book jackets for books with dust covers, according to subprofile.

11.1. Should Stanford request retaining, but not processing, the dust jackets, the vendor must be willing to end process the book as usual, but place the dust jacket inside the piece instead of attaching it to the book's cover.

Attachment C: Record Data Elements

Each book shipped should have an accompanying record sent via FTP in advance of delivery, including:

Bibliographic data

As a minimum, records must include:

• indicator as to whether record is full cataloging record, or anything less than full, including a vendor database inventory record
• format
• language of text (LANG)
• source of cataloging copy and source id number (040 plus 010 fields)
• ISBN (020)
• personal, corporate, or conference main entry as appropriate (100, 110, 111)
• title statement (245)
• edition statement (250)
• imprint= place, publisher, date (260)
• series title and series volume number (440)

Holdings data

• LC call number, including SUL call numbers for classed together analyzed series
• Shelving location
• indication of whether item is single volume monograph, or multi-part item
• volume identification for partial or complete terminal sets

Item or piece level data

• barcode numbers
• patron notification information submitted to vendor's database

Invoice data

• vendor name and address
• title by title price information, including,
  • list price,
  • discounted price,
  • for UK-- price in pounds and dollars,
• separate itemization of aggregate charges which apply to the invoice as a whole, including charges for:
  • records,
  • physical processing,
  • shipping,
  • handling,
  • insurance, and
  • tax;
• domestic or foreign imprint
• unitary or standing order item
• selected as approval item, notification service (slip), or SUL initiated firm order
• purchase order number (for firm orders)
• invoice number
• invoice date
• fund number
• shipping date, or expected shipping date

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Last modified: January 3, 2006