Proposal Guidelines


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State of Vermont Department of Libraries 109 State Street Montpelier, VT 05609--0601

Tel: Fax:

802-828-3265 802-828-2199

Agency of Administration

SEALED BID REQUEST FOR INFORMATION

Vermont Library Resource Sharing System DATE:

November 12, 2014

QUESTIONS DUE BY:

November 18, 2014 at 4:30PM (Eastern Time)

RFI RESPONSE DUE DATE:

December 02, 2014 at 3:00PM (Eastern Time)

LOCATION FOR RFI RETURN:

10 Baldwin St, Montpelier, VT 05633

PLEASE BE ADVISED THAT ALL NOTIFICATIONS, RELEASES AND AMENDMENTS ASSOCIATED WITH THIS RFI WILL BE POSTED AT http://bgs.vermont.gov/purchasing/. THE STATE WILL MAKE NO ATTEMPT TO CONTACT VENDORS WITH UPDATED INFORMATION. IT WILL BE THE RESPONSIBILITY OF EACH VENDOR TO PERIODICALLY CHECK THIS SITE FOR THE LATEST DETAILS.

PURCHASING AGENT: Brian Berini TELEPHONE: (802) 828-2211 E-MAIL: [email protected] FAX: (802) 828-2222

Contents

1. PURPOSE......................................................................................................................................................................... 3 1.1 LIABILITY.................................................................................................................................................................... 3 1.2 CONFIDENTIALITY .................................................................................................................................................. 3 2. BACKGROUND INFORMATION .................................................................................................................................. 3 3. RFI DESCRIPTION ......................................................................................................................................................... 4 4. STATEMENT OF WORK ................................................................................................................................................ 5 4.1 Anticipated Requirements ........................................................................................................................................ 5 4.2 Functional Requirements...................................................................................................................................... 5 4.2.1 ILS Component ................................................................................................................................................. 5 4.2.2 Resource Sharing component .......................................................................................................................... 6 4.2.3 Discovery Layer Component ............................................................................................................................ 8 5. REQUESTED INFORMATION ..................................................................................................................................... 9 5.1 COVER PAGE ......................................................................................................................................................... 10 5.2 Communication Regarding this FFI ...................................................................................................................... 10 5.3 RFI RESPONSE SUBMISSION ............................................................................................................................ 10 5.4 RFI TIMELINE .......................................................................................................................................................... 10 6. COST ESTIMATES ....................................................................................................................................................... 11 7. APPENDIX A: COST ESTIMATE WORKSHEET ..................................................................................................... 11 7.1: COST ESTIMATE TABLE ..................................................................................................................................... 11 7.2 ADDITIONAL MATERIALS .................................................................................................................................... 13

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1. PURPOSE This Request for Information (RFI) is issued by the State of Vermont for the Vermont Department of Libraries (VTLIB) to gather input and obtain information and cost estimates as part of a planning and budgeting process to replace its current Integrated Library System (ILS) and the electronic resource sharing system (Vermont Automated Library System) which networks multi-type libraries throughout Vermont, and which is managed by the VTLIB. The Vermont Department of Libraries intends to evaluate vendor responses to this RFI in order to make decisions related to upgrading the current system and to understand the costs associated with all elements of proposed solutions. The Department of Libraries is open to proposals that consist of or contain open source systems. In the case of open source systems we are open to proposal from vendors that implement, support and maintain the proposed systems. The Vermont Department of Libraries shall not be held liable for any costs incurred by any vendor in the preparation of an RFI submission, or for any work performed prior to any contract issuance.

1.1 LIABILITY THIS IS A REQUEST FOR INFORMATION (RFI) ONLY. This RFI is issued solely for information and planning purposes; it does not constitute a Request for Proposal (RFP) or a promise to issue an RFP in the future. This Request for Information does not commit the State of Vermont (“State”) to contract for any materials, products or services whatsoever. Further, the State is not at this time seeking proposals or bids and will not accept unsolicited proposals. Vendors are advised that the State will not pay for any information or administrative costs incurred in issuing a response to this RFI; all costs associated with responding to this RFI will be solely at the interested party’s expense. Not responding to this RFI does not preclude participation in any future RFP, if any is issued. If an RFP is released, it will be posted on the State of Vermont Department of Buildings and General Services (BGS) bid opportunities website: http://www.bgs.state.vt.us/pca/bids/bids.php. It is the responsibility of vendors with an interest in potential future RFPs to monitor this site for additional information. 1.2 CONFIDENTIALITY The State of Vermont retains the right to promote transparency and to place this RFI into the public domain, and to make a copy of the RFI available as a provision of Vermont laws pertaining to access to public records. Vendors should not include any information in an RFI response that is confidential or proprietary, as the State of Vermont (Vermont Department of Libraries) assumes no responsibility for excluding information in response to public records requests. The solicitation of this RFI does not commit the Vermont Department of Libraries or the State of Vermont to award a contract. This RFI is for information-gathering purposes only. No vendor will be selected, pre-qualified or exempted based upon their RFI participation.

2. BACKGROUND INFORMATION The Department of Libraries has, as part of its statutory obligation, responsibility for promoting and supporting resource sharing between and among libraries of all kinds in Vermont. The ultimate goal of the Department’s resource sharing system is to provide Vermont citizens the greatest access to materials and resources owned by and housed in public, school, academic and special library collections located in Vermont. The current resource sharing system operated by the Vermont Department of Libraries (VTLIB) is known as Vermont Automated Library System (VALS). The VALS resource sharing network is made up of more than 300 public, K12 school, academic and special libraries that share access to their collections. 3|Page

Participating libraries send and process interlibrary loan requests via VALS, and though the name implies that VALS is a single library automation system, it is a single system only in the sense that VTLIB’s integrated library system (ILS) acts as the gateway for Z39.50 connections to individual library catalogs. The VALS system connects with libraries using some 30 types of automation systems (ILS products), and also includes union databases of the holdings of non-automated (or non-Z39.50 capable automation systems) in the state’s smallest libraries. These union databases include DOLcat (holdings of Department of Libraries’ library collections), K12Cat (school library holdings), and PUBcat (public library holdings.) A search using the VTLIB online union catalog presents search results from across all of the systems to which it connects via Z39.50 and provides participating libraries with online forms for sending interlibrary loan (ILL) requests via email directly to a library which owns the requested item. These online ILL forms are pre-populated with relevant data from MARC records from the queried ILS database and patron information from the VTLIB ILS, so that the requesting library needs only to fill in a few data fields before electronically submitting the form. Once this ILL request form is submitted, all communication between libraries related to the ILL request is carried out via system email. Libraries in the VALS resource sharing network process over 50,000 requests annually and have collections totaling upwards of 12 million items. VALS served Vermont libraries well when first introduced in the 1980s. At that time, few public libraries in Vermont were automated, and ILS and telecommunications limitations prevented any meaningful interconnection between libraries and the systems they used. The integrated components of VALS involved custom configurations of both the ILS and the operating system on which it ran. At the time it was a very good option for libraries when other resource sharing systems could not easily address the kind of peer-to-peer lending that Vermont libraries depend upon. In 2001, VTLIB implemented the web-based version of the VALS resource sharing system. It introduced the ability to search across multiple ILS databases rather than searching them one by one. Like the first incarnation of VALS, the system was based on customizations needed to meet the peer to peer sharing needs of Vermont libraries. Both VALS and the Department of Libraries’ ILS which underlies the statewide resource sharing system need to be replaced with systems that are capable of: (1) supporting peer-to-peer borrowing/lending between Vermont libraries, and (2) making items housed in library collections across the state discoverable via a resource sharing system that integrates and tracks the ILL process from the moment a request is made until the time when the requested item is once again returned to and received by the owning library.

3. RFI DESCRIPTION The State is seeking information about the functionality and cost of vendor products that provide a fullyfunctioning ILS for the Department of Libraries which can be integrated with a statewide resource sharing system and discovery service that allows users to search and retrieve results from a wide variety of electronic resources, including but not limited to library collections, periodical databases, e-book collections and digital repositories. Vendors may submit responses for one or more of the three components described in section 4.1 “Anticipated Requirements” (below.). Vendors are invited to submit responses with information about products that integrate all components, or may submit responses that integrate only selected components. The three main components are: • A fully-functioning Integrated Library System (ILS) for the Department of Libraries • A Resource Sharing System capable of peer-to-peer lending/borrowing for libraries of all kinds across Vermont, and across a wide variety of ILS types • A Discovery Service that can allow users to search and retrieve results from a wide variety of electronic resources, including, but not limited, to library collections, periodical databases, e-book collections and digital repositories. This RFI has two key objectives: A. To introduce the State to a variety of products available which could be implemented for a robust and 21st century solution to statewide resource sharing system in Vermont (capable of supporting statewide peer-to-peer lending and providing discovery services which extend beyond traditional library 4|Page

collections to include statewide electronic resources, e.g. periodical databases, e-book platforms and digital collections.) B. To provide the State with cost information that can be used for planning and budgeting purposes. The State is open to Vendors including in their responses feedback on the information in this RFI and will consider any information, including partial responses, received in answer to this RFI. If the State chooses to move forward in the development of an RFP, the RFP process will be open to all vendors, regardless of whether or not they respond to this RFI.

4. STATEMENT OF WORK 4.1 Anticipated Requirements The State seeks information and cost proposals regarding the replacement of the current ILS and statewide resources sharing network (VALS). Vendor responses should answer the need for a statewide resource sharing system that would serve 300 or more public, K12 school, academic and special libraries operating with a wide variety of library automation systems. The State seeks a multi-component system that may be considered as: (1) one multi-functional suite, or (2) as a collection of individual elements that are addresses as separate units in the vendor response. The components of the ideal system are: A. A fully-functioning ILS for cataloging, circulating and managing the Department of Libraries’ own library collections, which include: general fiction and non-fiction (adult, young adult, and children’s materials), a law collection, state and federal documents (print and electronic), a library science collection, a map collection, newspapers on microfilm and a collection of materials about Vermont. The VTLIB collections are housed in separate locations in Montpelier and Berlin, Vermont and incorporate a variety of classification and cataloging protocols, including Dewey, SuDocs, and LC classifications. B. A statewide resource sharing system configured for peer-to-peer requesting/borrowing/lending between libraries, where requests can be initiated both by (1) individual citizens (via searching the online catalog), and (2) libraries. C. A discovery layer that can incorporate the holdings in participating library collections, as well as electronic and digital resources available through statewide and consortia contracts (e.g. periodical databases, e-books.)

4.2 Functional Requirements Vendors should include in their responses, information about functionality and services, and pricing for individual elements (see Appendix A: Cost Estimate Table), as appropriate:

4.2.1 ILS Component 1. Include a price estimate in Appendix A: Item #1 of the Cost Estimate Table 2. Describe hosting options available for the proposed system(s). 3. Describe the reporting functionality of the proposed system, including but not limited to scheduling of reports, report formatting and web analytics.

4. Describe the functions for tracking items as they move through the acquisitions and cataloging workflow, from ordering to shelf. 5. System capability for batch loading, import and export. 6. Describe the cataloging interface, including user-friendly features. 7. Describe the method(s) for retaining constant data by item type, such as the RDA 33X fields. 5|Page

8. Describe mobile platform(s), carriers, devices and smart phones supported by the system. (Note: the State wants to be able to issue notifications to libraries and individual patrons by multiple means, i.e. email, text messaging.) 9. Describe how the system(s) integrate digital collections into the ILS. a. Is a separate system required? 10. Describe methods inventory control, with information about options for taking inventory of and weeding library collections. 11. Functionality for Authority Control a. Can authority records be updated automatically without manual intervention? b. If automatic updating is possible, can it be done using authority records obtained from OCLC? 12. RFID options and self-check functionality supported by the system(s). 13. Describe the patron experience using the ILS: 14. Can the system support single sign-on authentication to allow patrons to login once and be able to search not only the catalog, but also third party databases, or link to virtual reference services, or to search for downloadable items from Overdrive, or similar products? a. Does the single sign-on require a SIP server? If so, is it included with the ILS, or is it a separate product? If it is a separate product, is it an implementation of SIP by your own company or are third party SIP implementations supported and which are supported. 15. Describe protocols which are supported by the ILS (e.g. CAS, SAML, OAuth, OpenID) a. What, if any, applications or services are required. In addition to the ILS and what are the costs involved? (Include costs for both licensing and maintenance.) 16. Describe training services you provide for State staff, both for the implementation of the ILS and for ongoing training. a. What are the costs associated with this training? 17. Describe your technical support procedures, including any optional variations in levels of support and related costs. If available, please provide a copy of a standard service-level agreement for support services. 18. Describe the functionality of the proposed system(s) for offline operations. What is the process for initiating offline operations and what actions are necessary when transitioning from offline to online? 19. Describe the process used for system setup, conversion and migration of data. What is an average length of time for system set-up and migration? (The State’s current ILS is a SirsiDynix Symphony system. Please describe your experience in migrating and converting data from SirsiDynix Symphony systems. a. Describe any project management services provided for the setup and implementation process. 20. Describe any support for record normalization procedures during the migration process, with costs. 21. Describe any workflow analysis services that you provide. 22. Describe any available consulting assistance related to profile setup when implementing a new ILS. Please provide documentation regarding the proposed system’s compliance with the following accessibility standards: • • •

Section 508 Information Technology Accessibility Standards W3C Web Content, Accessibility Guidelines (WCAG) 1.0, W3C Web Content Accessibility, Guidelines (WCAG) 2.0

4.2.2 Resource Sharing component 1. Include a price estimate in Appendix A: Item #2 of the Cost Estimate Table 2. Describe hosting options available for the proposed system(s). 6|Page

3. Describe method of populating the virtual catalog representing the collections of all libraries participating in the resource sharing system. a. Via live connections to ILS databases b. Via data loads that allow for current “item status” information of all participating libraries c. Other methods of presenting current “item status” for participating library collections 4. What are the impacts on the functionality of your system(s) for libraries which do (and do not) use OCLC cataloging? 5. Which of the following library automation systems (ILS) are supported for data interchange or direct searching by the Resource Sharing System(s) you offer: a. SirsiDynix Symphony b. SirsiDynix Horizon c. Innovative Interfaces Millenium d. Follett Destiny e. Koha f. Evergreen g. Ex Libris Voyager h. TLC Library Solution i. OCLC Worldshare Management j. Alexandria k. Mandarin M3 and Oasis l. LibraryWorld m. Sagebrush InfoCentre n. OPALS 6. Describe what, if any, specific bandwidth requirements your system has for data interchange between the resource sharing system and participating libraries (ILS)? 7. Describe any limitations on searching capability or accuracy depending on the method of populating the virtual catalog (e.g. z39.50 search attribute matching)? 8. Describe load-balancing capabilities that the resource sharing system offers (and factors such as collection size or transport costs.) 9. What does the system do to assure that there is not a disproportionate distribution of ILL requests made to participating libraries? 10. Can request limits be set? If so, how granular can they be? 11. Describe system capabilities for applying varied loan policies for individual libraries. a. Can the system accommodate loan restrictions based on material type? b. Date of acquisition? c. Other standard circulation parameters? (Please explain.) 12. Describe functionality related to customizing or placing limits on requests, made both by individuals searching the shared catalog, and for libraries requesting items for ILL (e.g. can the system limit the number of requests made per session? Per patron? Can requests be limited only to items currently available for loan? Are such limitations/rules system-wide or can they be set for individual libraries or groups of libraries?) 13. Describe the staff interface. (e.g. is it a web-based system or do libraries need to run dedicated software? If dedicated software is required, what are the system requirements and what are the standards for keeping software compatible with operating system updates?) 14. Describe the patron authentication options in detail. What sort of credentials can be configured (library card/PIN username/password) Are these system wide settings or can they be set differently for each target library system? 15. Describe how your system interacts (“talks) to peer systems (other virtual catalogs), ILL and document requesting systems such as ILLIAD, or send requests into OCLC? 7|Page

16. Describe the workflow of the request and fulfillment processes for both patron-initiated, and staffmediated requests, from when the online request is made to the point at which the item has arrived at the destination library and is loaned to the patron. Provide separate descriptions for patron initiated and staff mediated requests. 17. Describe the reporting functionality of the proposed system, including but not limited to scheduling of reports, report formatting and web analytics. 18. Describe mobile platform(s), carriers, devices and smart phones supported by the system. (Note: the State wants to be able to issue notifications to libraries and individual patrons by multiple means, i.e. email, text messaging.) 19. Describe administrative functions available which address libraries that are not responding to requests in a timely manner 20. Describe training services available for your system at the administrative, system and individual library levels, both for the implementation of the system and for ongoing training. a. What are the costs associated with this training? 21. Describe the process used for system setup and implementation of data. What is an average length of time for this process? a. Describe any project management services provided for the setup and implementation process. 22. Describe your technical support procedures, including any optional variations in levels of support and related costs. If available, please provide a copy of a standard service-level agreement for support services. 23. Describe the process you use (including profiling) for getting the resource sharing system up and running, including training. 24. Please provide documentation regarding the proposed system’s compliance with the following accessibility standards: a. Section 508 Information Technology Accessibility Standards, b. W3C Web Content c. Accessibility Guidelines (WCAG) 1.0 d. W3C Web Content Accessibility e. Guidelines (WCAG) 2.0

4.2.3 Discovery Layer Component 1. Include a price estimate in Appendix A: Item #3 of the Cost Estimate Table 2. Describe hosting options available for the proposed systems). 3. Describe the kinds of systems/electronic resources that your system has successfully integrated into a single-search environment. 4. Describe the methods by which search results are displayed for users to easily identify the most relevant content for their needs. 5. Describe the user authentication options in detail. What sort of credentials can be configured (library card/PIN username/password) to allow access to licenses content or other user services such as holds and requests in an ILS. Are these system wide settings or can a variety of authentication options be made available to users. 6. Describe mobile platform(s), carriers, devices and smart phones supported by the system. (Note: the State wants to be able to issue notifications to libraries and individual patrons by multiple means, i.e. email, text messaging.) 7. Describe the methods employed to assure search accuracy or relevance across a variety of collections such as integrated library systems, library services platforms, repository platforms, or electronic resource management systems. 8. Describe the reporting functionality of the proposed system, including but not limited to scheduling of reports, report formatting and web analytics. 8|Page

9. Tell us which of the following library automation systems are supported for data interchange or searching by the Discovery Layer. a. SirsiDynix Symphony b. SirsiDynix Horizon c. Innovative Interfaces Millenium d. Follett Destiny e. Koha f. Evergreen g. Ex Libris Voyager h. TLC Library Solution i. OCLC Worldshare Management j. Alexandria k. Mandarin M3 and Oasis l. LibraryWorld m. Sagebrush InfoCentre n. OPALS o. Gale databases p. Gale e-book products q. EBSCO Information Services r. Other third party suppliers of databases s. Recorded Books downloadable e-books t. Recorded Books downloadable audiobooks u. OverDrive downloadable e-books v. OverDrive downloadable audiobooks w. Other (please iterate) 10. Describe the process used for system setup and implementation of data. What is an average length of time for this process? a. Describe any project management services provided for the setup and implementation process. 11. Describe your technical support procedures, including any optional variations in levels of support and related costs. If available, please provide a copy of a standard service-level agreement for support services. 12. Describe training services available for your system at the administrative, system and individual library levels, both for the implementation of the system and for ongoing training. a. What are the costs associated with this training? 13. Please provide documentation regarding the proposed system’s compliance with the following accessibility standards: a. Section 508 Information Technology Accessibility Standards, b. W3C Web Content c. Accessibility Guidelines (WCAG) 1.0 d. W3C Web Content Accessibility e. Guidelines (WCAG) 2.0

5. REQUESTED INFORMATION Each submission prepared in response to this RFI must include the elements listed below, in the order indicated. The vendor, when presenting the response, must use the following outline: • Cover Page 9|Page

• • •

Vendor Information Cost Estimates Business and Technical Requirements

5.1 COVER PAGE 5.1.1The first page of the vendor’s RFI response must be a cover page displaying at least the following: • • • • • • • •

Vendor Name Address (mailing and street addresses, if different) Fax Number Vendor Website URL Name/Title of Key Contact Person Contact Telephone Number Contact Email Address Components included in the RFI response (See 4.1 for the list of components.)

5.1.2 All subsequent pages of the RFI Response must be numbered. 5.2 Communication Regarding this RFI

All communications concerning this Request for Information (RFI) are to be addressed in writing to the attention of: Brian Berini, Purchasing Agent, State of Vermont, Purchasing and Contract Administration Division, 10 Baldwin St, Montpelier VT 05633. Brian Berini, Purchasing Agent is the sole contact for inquiries related to this RFI. Attempts by Vendors to contact any individual other than Brian Berini could result in the rejection of their response to this RFI.

5.3 RFI RESPONSE SUBMISSION CLOSING DATE: The deadline for the receipt of RFI vendor responses is 3:00 PM, December 02, 2014. Address responses to: Mr. Brian Berini State of Vermont Purchasing and Contracting Department 10 Baldwin Street Montpelier, VT 05633

Responses should be labeled, "Response to RFI - Vermont Library Resource Sharing System”. The State will not accept or review any RFI responses or unsolicited amendments submitted after the deadline, nor will these submissions be returned to the vendor. RFI responses must include: • *Three (3) paper (hard copy) copies of the complete RFI response, and • **One (1) electronic copy on compact disc (CD) or flash drive. *Paper copies must be bound with a staple, binder or other appropriate means such that pages are not submitted loosely.

Vendors are encouraged to produce documents using MSWord/Excel, version 2007or higher.

5.4 RFI TIMELINE 1. Issuance of RFI 10 | P a g e

This RFI is being issued by the State Purchasing Division (SPD) of the General Services Department. Additional copies of the RFI can be obtained from the State Purchasing Division web site http://bgs.vermont.gov/purchasing or directly from the State Purchasing Agent.

2. Deadline for Written Questions Potential respondents may submit questions or comments to the State regarding this RFI. Questions must be submitted in writing, by e-mail, to the Purchasing Agent, Mr. Brian Berini at: [email protected] and must be received by 4:30 PM Eastern Time on November 18, 2014. 3. Response to Written Questions At the close of the question period a copy of all questions or comments and the State's responses will be posted on the State’s web site at: http://bgs.vermont.gov/purchasing/bids. Every effort will be made to have these available as soon after the question period ends, contingent on the number and complexity of the questions. 4. Review of Responses The review of vendor responses will be performed by the Vermont Department of Libraries and their designees. During this time, the State may, at their option, initiate discussion with respondents for the purpose of clarifying aspects of their responses. 5. Vendor Demonstrations The State may request demonstrations of vendor products and the Department of Libraries will contact vendors directly to schedule demos. The State shall not be liable for any costs incurred by the vendor in preparation of its demonstration. All costs associated with vendor demonstrations are the vendor’s sole responsibility. All product demonstrations are for planning purposes only and do not constitute a legal bid. Vendor demos can be done in virtual or remote mode. 6. COST ESTIMATES We are asking for a total cost estimate (low and high estimates) comprised of software, hardware, and necessary implementation services. We understand that the cost figures provided are for planning purposes only and will not be binding in any way.

8 APPENDIX A: COST ESTIMATE WORKSHEET 8.1: COST ESTIMATE TABLE Listed costs must be identified as required or optional and total costs must be broken down into required and optional. Itemized system costs identified below are for guidance purposes only. Please adapt as appropriate to the product or service proposed and add items as needed. For proposals including open source solutions, the licensing type rather than the cost should be identified and vendors of open source hosting, support and maintenance services should adapt itemized lists as appropriate. Item Description 1

Required Optional Cost

ILS Component (See Section 4.2.1) Software Licensing Hosting Data Migration 11 | P a g e

2

Training Project Management Support & Maintenance Workflow Consulting Other Total (required costs) Total (optional costs) Resource Sharing Component (See Section 4.2.2) Software Licensing Hosting Data Migration Training Project Management Support & Maintenance Workflow Consulting Other Total (required costs)l Total (optional costs)

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Item Description Required Optional Cost 3 Discovery Layer Component (See Section 4.2.3) Software Licensing Hosting Data Migration Training Project Management Support & Maintenance Workflow Consulting Other Total (required costs) Total (optional costs)

8.2 ADDITIONAL MATERIALS Please provide any other materials, suggestions, costs, and information you deem appropriate.

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