NLM MICROFILMING PROJECT STATEMENT OF WORK MICROFILM PREPARATION ATTACHMENT 1 Revised 5/21/01 for contract award p:\psd\pressup\contract\karen\prepsowfy01.wpd d:\ak\contract\prepsowfy01.wpd (WordPerfect 6.1) TABLE OF CONTENTS I. INTRODUCTION. . . . . . . . . . . . . . . . . . . . . . . .p.3 A. Materials Selected for Microfilming. . . . . . . . . . .p.3 B. Overview of Part 1, Preparation. . . . . . . . . . . . .p.4 C. Overview of Part 2, Filming. . . . . . . . . . . . . . .p.5 D. Coordination of Preparation and Filming Activities . . .p.6 E. Preventing Damage to Books and Microfilm . . . . . . . .p.7 F. Special Handling of Rare Books . . . . . . . . . . . . .p.9 II. DEFINITIONS. . . . . . . . . . . . . . . . . . . . . . .p.9 A. Shipment categories. . . . . . . . . . . . . . . . . . .p.9 B. Task definitions . . . . . . . . . . . . . . . . . . . p.11 III. NLM'S ONLINE CATALOG . . . . . . . . . . . . . . . . . p.12 IV. REFERRAL OF WORK BY NLM. . . . . . . . . . . . . . . . p.13 V. SEARCHING UTILITIES TO AVOID DUPLICATE FILMING. . . . . . p.13 VI. TRACKING SYSTEM AND DATA EXPORT. . . . . . . . . . . . p.14 A. Tracking system requirements . . . . . . . . . . . . . p.14 B. Exporting data to NLM's tracking system. . . . . . . . p.15 VII. LOCATING AND PULLING BRITTLE BOOKS . . . . . . . . . . p.16 A. Location of volumes. . . . . . . . . . . . . . . . . . p.16 B. Volumes not available for filming. . . . . . . . . . . p.17 C. Volumes not appropriate for filming. . . . . . . . . . p.18 D. Pulling volumes to be filmed . . . . . . . . . . . . . p.19 E. Charging items to the Preparation Contractor . . . . . p.19 VIII. COLLATION. . . . . . . . . . . . . . . . . . . . . . . p.19 IX. FOLDOUTS IN BRITTLE BOOKS . . . . . . . . . . . . . . . p.24 X. NLM REVIEW OF BRITTLE BOOK COLLATION. . . . . . . . . . . p.26 A. HMD review of brittle monographs . . . . . . . . . . . p.26 B. Filming Preparation Unit review. . . . . . . . . . . . p.27 C. Disposition decisions. . . . . . . . . . . . . . . . . p.28 XI. HMD REVIEW OF RARE BOOK COLLATION. . . . . . . . . . . p.29 XII. REEL PROGRAMMING . . . . . . . . . . . . . . . . . . . p.29 A. Factors which affect reel programming. . . . . . . . . p.29 B. Assigning film numbers . . . . . . . . . . . . . . . . p.31 C. Item number flyers . . . . . . . . . . . . . . . . . . p.32 D. Filmer instructions form . . . . . . . . . . . . . . . p.32 E. Data for film box labels . . . . . . . . . . . . . . . p.32 XIII. NLM REVIEW OF PROGRAMMED VOLUMES . . . . . . . . . . . p.32 XIV. SHIPMENTS TO FILMING FACILITIES. . . . . . . . . . . . p.32 XV. CHECKING IN MICROFILM. . . . . . . . . . . . . . . . . p.33 XVI. CHECKING IN BRITTLE BOOKS. . . . . . . . . . . . . . . p.34 A. Borrowed volumes . . . . . . . . . . . . . . . . . . . p.34 B. NLM volumes. . . . . . . . . . . . . . . . . . . . . . p.34 1. Marking volumes . . . . . . . . . . . . . . . . . p.35 2. Detached foldouts . . . . . . . . . . . . . . . . p.35 3. Tying or enveloping items with minor damage . . . p.35 4. Making call number flyers . . . . . . . . . . . . p.35 5. Return to [ ] after filming. . . . . . . . . . . p.36 6. Discharging and sorting volumes . . . . . . . . . p.36 7. Boxing volumes with severe damage . . . . . . . . p.36 XVII. CHECKING IN RARE BOOKS . . . . . . . . . . . . . . . . p.37 XVIII. REJECTED SHIPMENTS . . . . . . . . . . . . . . . . . p.38 XIX. UPDATING BIBLIOGRAPHIC RECORDS . . . . . . . . . . . . p.39 A. Microfilm Records. . . . . . . . . . . . . . . . . . . p.39 B. "Do Not Film" decisions. . . . . . . . . . . . . . . . p.40 C. "Retain after filming" decisions . . . . . . . . . . . p.40 XX. QUALITY CONTROL BY THE CONTRACTOR. . . . . . . . . . . p.41 XXI. UNACCEPTABLE ERROR RATE. . . . . . . . . . . . . . . . p.42 XXII. REPORTS. . . . . . . . . . . . . . . . . . . . . . . . p.42 XXIII. STANDARDS OF PERFORMANCE . . . . . . . . . . . . . . p.44 APPENDIX A. Examples APPENDIX B. Targets APPENDIX C. Reference Material I. INTRODUCTION The National Library of Medicine's mission is to collect, preserve, and disseminate biomedical information. In support of this mission NLM has assembled one of the most valuable collections of biomedical literature in the world. The Library's collections include more than 2 million bound volumes, plus thousands of unbound items. Many items in the collection are on paper which has become embrittled and are in danger of becoming unusable. NLM's primary method of preserving the content of such items is to microfilm them. The preservation microfilming project is divided into two major parts: Part 1. Preparation to be performed by the Preparation Contractor and Part 2. Filming to be performed by the Filming Contractor. This Statement of Work covers work to be performed under Part 1. Preparation. Several NLM units are closely involved in the preservation microfilming program. The following list gives an indication of relevant organizational structure within NLM's Division of Library Operations. Public Services Division (PSD) Preservation and Collection Management Section (PCM) Filming Preparation Unit (FPU) Borrowing and Replacements Unit (BRU) Quality Assurance Unit (QAU) Collection Management Unit (CMU) History of Medicine Division (HMD) Independently and not as an agent of the Government, the Contractor shall furnish all necessary services, qualified personnel, material, equipment and facilities, not otherwise provided by the Government under the terms of this contract, as needed to complete the tasks described in this Statement of Work. A. Materials Selected for Microfilming NLM selects two categories of material for microfilming: brittle books and rare books. The category brittle books includes paper-based printed books; most items filmed fall into this category. The category rare books includes all pre-1801 and selected post-1800 printed books and paper-based manuscripts; a small number of items filmed fall into this category. As noted throughout this statement of work, preparation requirements differ in some respects for brittle book and rare book categories. As used in this document, "book," "material," and "item" are generic terms encompassing single and multi-volume monographs and journals and other serials in hard cover, soft cover, library-bound, and unbound formats. Almost all materials selected for filming are brittle or deteriorated. Most have some physical damage, such as torn paper or loose bindings. Some are in extremely poor condition, with bindings that are falling apart and paper so brittle that it breaks when pages are turned. Books being filmed present a wide variety of other characteristics and problems which may require special attention, for example: 1. half-tone, continuous tone, and color illustrations, sometimes numerous 2. bleedthrough and showthrough, sometimes severe 3. poor and variable print quality 4. paper which is faded, darkened, foxed, or stained, often unevenly; colored paper 5. poor and variable contrast between text and paper 6. oversized formats 7. small print 8. foldouts, many of which are oversized 9. narrow or non-existent inner margins 10. inflexible bindings 11. foreign languages, some in non-Roman characters 12. inconsistent page numbering, issue/part numbering, or publication patterns 13. missing pages, issues/parts, or volumes 14. inconsistent past practices in acquisition, retention, and binding The term "Filming Contractor" refers to those contractors awarded NLM's primary contracts for filming brittle materials and rare materials. However, NLM reserves the right to refer to the Preparation Contractor a small number of items needed for some special purpose. B. Overview of Part 1, Preparation The Contractor shall: 1. Search bibliographic utilities to determine if titles have already been microfilmed. 2. For brittle books, pull volumes to be filmed from the stacks. 3. Using Windows-based relational database software of NLM's choosing, track the location of each physical piece throughout the preparation process, maintain records of preparation information and filming decisions, and prepare status reports. 4. Perform page-by-page collation of volumes to identify bibliographic and physical problems, anomalies, and special characteristics. 5. Based on collation findings, determine appropriate actions to be taken. As needed, refer volumes to various NLM units for review, request that NLM borrow copies of missing materials from other libraries, prepare informational targets to be included on the microfilm, insert flyers to mark the locations of illustrations or other features which require special handling or targeting by the Filming Contractor, give specific instructions to the Filming Contractor, etc. 6. Produce all targets whose content varies depending on the title being filmed. 7. Program microfilm reels, by determining the number and sequence of items to be filmed on each reel. 8. Electronically transfer filming data from the Contractor's tracking system to PCM's tracking system. 9. Prepare shipping lists and pack volumes. For brittle books, ship volumes to the offsite Filming Contractor. 10. Verify completeness of return shipments of volumes and microfilm, prepare and sort volumes for reshelving by NLM, and deliver volumes and film to various NLM units. 11. Update NLM's online catalog to reflect new film. 12. Monitor and control the overall preparation workflow so that materials are processed in a timely manner, backlogs do not build up in particular tasks, and deadlines and production levels are met. 13. Prepare monthly, annual, and final reports. Prepare printed lists of special characteristics and filming decisions, monthly or as requested. Preparation Contractor staff who work onsite at NLM in Bethesda, MD, will have access to their regular work area Monday - Friday, 7am - 5pm, except for federal holidays and unscheduled closings due to inclement weather or emergencies. Onsite staff will perform tasks which involve handling rare books in the HMD Reading Room or other HMD work area Monday - Friday, 8am - 5pm. Onsite staff shall include an on-site project supervisor. Staff will be issued identification badges which must be worn at all times. C. Overview of Part 2, Filming In Part 2, for brittle books the Filming Contractor shall: 1. Produce high contrast microfilm from books prepared by the Preparation Contractor; produce one or more service copy reels, if requested. For a small number of specially designated books, produce continuous tone and color microfilm. 2. Produce targets whose content does not vary according to the title being filmed. 3. Film initial and ending targets in the appropriate sequence. Film targets within the text at the locations indicated by the Preparation Contractor. 4. Follow special filming instructions provided by NLM or the Preparation Contractor, such as to film detached pages or photocopies after a specific page number or to film issues in a sequence other than that in which they are bound. 5. If needed, and if approved by NLM, disbind volumes which have pages breaking into the text or which are too tightly bound to permit text near the inner margin to be captured fully. 6. Box each reel, using spools and paper wrappers, and label each box with data provided by the Preparation Contractor. 7. Perform technical, physical, and page-by-page bibliographic inspection of microfilm. Correct all filming errors (except those defined by NLM as minor). 8. Fill out an NLM inspection form for each camera master reel. 9. Return microfilm and filmed volumes to the Preparation Contractor. 10. If NLM rejects a reel, refilm materials and recopy reels as needed. Part 2 tasks shall be performed at an offsite microfilming facility. D. Coordination of Preparation and Filming Activities Because many preparation and filming tasks are interdependent, and because volumes and microfilm must continually flow from the Preparation Contractor to the Filming Contractor, staff performing preparation and filming tasks are required to work together closely. Within the framework of contract specifications and requirements, and under the overall direction of the Project Officer(s) and Alternate(s), Preparation and Filming Contractor staff are expected to work together at the outset of the contract and throughout the contract period to identify the need for new or revised procedures and to draft whatever guidelines, procedures, forms, flags, etc. are needed to allow preparation and filming tasks to be performed as accurately and efficiently as possible. For example, the Contractors shall draft procedures for issues such as: 1. Giving specific filming instructions: The conventions the Preparation Contractor will use to note information such as the types and locations of "as needed" targets to be filmed, the specific data to appear on film boxes, the need for service copies, etc. 2. Fullness of reels: How the Preparation Contractor will calculate the number of pages which can fit on a reel given various volume sizes, reduction ratios, number of targets, number of duplicate exposures, etc. 3. Oversized materials: What are the maximum volume dimensions which can be filmed at various reduction ratios. 4. Detached materials: How will photocopies, detached pages and foldouts, etc. be organized and shipped to facilitate filming while preventing loss or damage. The Contractors are expected to work together closely on a day-to-day basis to share information, answer routine questions, and resolve workflow problems. The Project Officer(s) and Alternate(s) are to be kept informed of all problems and consulted for approval before any procedures are implemented or revised. It is the responsibility of the Preparation Contractor to identify and resolve bibliographic and physical problems before shipping volumes to the Filming Contractor. However, should the Filming Contractor notice a problem that the Preparation Contractor overlooked (such as missing pages, text loss in the gutter, pages beginning to break but no permission given to let pages break, etc.), the Filming Contractor shall bring the problem to the attention of the Preparation Contractor before proceeding with filming. E. Preventing Damage to Books and Microfilm Almost all of the books being microfilmed will be retained in the collection after filming. Since many are unique and cannot be replaced, they must be handled with extreme care to avoid irreparable damage or loss. Microfilm must also be handled and stored correctly to prevent damage which could shorten its potential life span, degrade image quality, or necessitate that books be subjected to refilming. As proof of compliance with this requirement the Contractor shall furnish NLM with a certificate of insurance. If the Contractor intends to arrange for insurance on materials in transit on a shipment-by-shipment basis, the Contractor shall submit documentation of such coverage. If the Contractor damages an item, NLM reserves the right to determine whether the item can be repaired, what repair treatment will be performed, who shall perform it, and the cost of the repair. The Contractor shall be liable for the cost of processing the damaged item and the cost of the repair. For items which NLM determines cannot be repaired, the Contractor shall be liable for the cost of purchasing and processing a replacement item acceptable to NLM. If a damaged item cannot be repaired or replaced or if a lost item cannot be replaced, NLM reserves the right to secure, at the Contractor's expense, an independent appraisal of the damaged/lost item. The Contractor shall be liable for the appraised value of the item. The Contractor shall exercise the utmost care in handling books and microfilm at all times and shall implement the following procedures: 1. Do not permit smoking, eating, or drinking in areas where books or film are stored or work is performed. 2. Handle books and microfilm in a clean work space with clean hands. Always wash hands immediately before handling rare books. 3. When handling microfilm, wear lint-free, clean gloves (cotton or other material approved by NLM) and touch only the edges of the film. 4. Do not use rubber bands, paper clips, or self-sticking notes on books or microfilm. 5. Use undyed, cloth tape to tie together volumes which constitute a reel or which have loose pages or covers. 6. Place books on shelves or trucks upright with the spine facing out. Place oversize books flat. If books cannot be shelved upright or flat, place them spine-down rather than spine-up. 7. Use bookends on shelves and trucks so that materials will stand upright. Never stack books in such a way that they are in danger of toppling over or being knocked off. Do not place books on the top edges of other books. Take special care to support unbound materials, which tend to bend and slip. 8. Handle books gently. Turn pages carefully to prevent the paper from breaking along the edges or inner margin. 9. If pages begin to break or other unauthorized damage begins to occur, stop work immediately. For brittle books refer the problem to FPU; for rare books refer the problem to HMD Alternate Project Officer. 10. Do not apply any tape or undertake any repairs, except as specifically authorized in this document. 11. For shipping, wrap each reel's worth of volumes securely in bubble wrap (or other packing material approved by NLM). Pack microfilm boxes and wrapped volumes in sturdy containers surrounded by packing materials (approved by NLM) so that there is no risk of damage from materials shifting in the boxes during transit. Ship volumes and corresponding microfilm separately, so that volumes and film are not in transit at the same time. 12. To avoid water damage, never place books or microfilm directly on the floor. Shelve books and film at least 4" above the floor. Store cartons of books and film on pallets while in-process. Report any water damage to the Project Officer by telephone immediately. 13. Use only pencils while working with or near rare books. Never place any object on top of a rare book. F. Special Handling of Rare Books Preventing damage to rare books is of the utmost importance because of their high monetary and artifactual value and because most are irreplaceable. Safe handling of rare books requires specialized understanding of and experience with book structures. In particular, persons collating rare books must be able to predict accurately damage which might result from handling and from the pressures which will be exerted on a volume by the particular book cradle and camera stand to be used during filming. Therefore, all steps which involve the physical handling of rare books (such as collating; inserting or removing flyers; packing, unpacking, and checking in volumes; etc.) shall be performed only by the Project Manager or other Contractor staff pre-approved by NLM. To reduce the transfer of potentially damaging oils and salts, Contractor staff shall always wash their hands immediately prior to handling rare books. The Preparation Contractor shall not remove rare books from HMD at any time. All procedures which involve handling rare books shall be performed in the HMD Reading Room or other HMD work area. Procedures which do not involve handling rare books (such as searching bibliographic utilities, producing targets, maintaining tracking records, updating NLM data files, compiling statistics, and producing reports) shall be performed in the Contractor's regular work area in NLM. II. DEFINITIONS A. Shipment categories For brittle books, the shipment categories are brittle regular, brittle rush, brittle rework, brittle color, and brittle continuous tone. For rare book, the categories are rare regular, rare color, rare continuous tone, and rare rework. Brittle monographs and brittle serials may not be combined in a shipment. Procedures and deadlines vary according to shipment category. 1. Brittle regular All items which NLM does not designate as being a specific category are considered to be brittle regular. Brittle book regular shipments are filmed on high contrast black-and- white microfilm. The Preparation Contractor shall prepare brittle book regular shipments that contain an approximately equal numbers of pages and send them to the Filming Contractor approximately weekly. 2. Brittle rush Brittle book rush shipments are filmed on high contrast black-and-white microfilm. The number, size, and frequency of brittle rush shipments are determined by NLM. Brittle rush items include: a) Items borrowed by NLM from other libraries because NLM does not own the item or because NLM's copy is damaged or incomplete. b) NLM volumes requested by other libraries through interlibrary loan (ILL). (If NLM does not wish to lend a requested volume due to its condition, value, or age, NLM may have the volume microfilmed and loan the microfilm instead.) c) Other items designated by the Project Officer or Alternate as rush, such as reference works. 3. Rare regular Rare book rush shipments are filmed on high contrast black-and-white microfilm. The number, size, and frequency of rare book shipments are determined by NLM. 4. Brittle continuous tone; Rare continuous tone Brittle continuous tone shipments and rare continuous tone shipments contain volumes to be filmed in whole or in part on continuous tone microfilm. Volumes in continuous tone shipments may also be filmed in whole or in part on high contrast film as well. 5. Brittle color; Rare color Brittle color shipments and rare color shipments contain volumes to be filmed in whole or in part on color microfilm. Volumes in color shipments may also be filmed in whole or in part on high contrast or continuous tone film as well. 6. Brittle rework; Rare rework When NLM rejects a shipment, the Preparation Contractor shall return the defective reel(s) to the Filming Contractor, along with corresponding volumes and other preparation paperwork if necessary, so that corrections can be made. (See also SOW Part 1, XVIII. Rejected shipments.) NLM will specify the designations to be used for the various types of shipments. The naming convention will indicate if a shipment is brittle or rare; monograph or serial; regular, rush or rework; and high contrast, continuous tone, or color. For example, possible brittle shipment designations might be B001-M-REG, B002-S-RUSH, B002-S-RW, B003-M- COLOR, B004-M-CT, etc. Rare shipment designations might be R001-M, R002-S, R002-S- RW, R003-M-COLOR, R004-M-CT, etc. B. Task definitions For all tasks, the period of time allowed for work to be completed does not include the time during which items are referred back to NLM. Task 1. Regular pages Includes all work related to brittle regular volumes which is not explicitly included in another task. Volumes shall be shipped to the Filming Contractor in brittle regular shipments within 6 weeks of the date they were pulled from stacks. Task 2. Rush pages Includes all work related to brittle rush volumes which is not explicitly included in another task. Volumes shall be shipped to the Filming Contractor in brittle rush shipments within 2 weeks of the date they were pulled from stacks. Task 3. Rare pages Includes all work related to rare volumes which is not explicitly included in another task. Rare volumes shall be prepared and ready for pick up within 5 weeks of the date HMD notifies Contractor that volumes are ready for collation. Task 4. Rework pages Includes all work to re-prepare volumes which NLM determines contain errors and need to be returned to the Filming Contractor for rework, excluding photocopies made specifically for rework purposes. Each target returned with rework volumes is considered to be a rework page. Brittle volumes and corresponding targets and microfilm shall be shipped to the Filming Contractor within 1 week of receipt of the reels requiring rework. Film and targets for rare volumes shall be shipped to the Filming Contractor within one week of receipt of the reels requiring rework. In the unlikely event that a rare book is returned for rework, it shall be ready for pick up within 1 week of being notified by HMD that the volume is available for re-preparation. Task 5. Photocopies Includes photocopies made to replace damaged, missing, out-of-sequence, and other problem pages in regular, rush, and rare items. Includes photocopies made for rework purposes. (See SOW Part 1, VIII.6. Collation). Task 6. Foldouts Includes foldout preparation work for brittle books. (See SOW Part 1, IX. Foldouts in brittle books). Task 7. Reels checked in Includes all reel check in procedures for all shipments (see SOW Part 1, XV. Checking in microfilm). Includes each archival, print master, and service copy reel in each shipment. Check in procedures shall be completed and all reels in a shipment delivered to QAU within 3 working days of the receipt of reels from the Filming Contractor. Task 8. Volumes checked in Includes all volume check in procedures (see SOW Part 1, XVI. Checking in brittle volumes and XVII. Checking in rare volumes). For all volumes except borrowed volumes, check in shall be completed and all volumes delivered to CMU within 10 working days of receipt of volumes from the Filming Contractor. Borrowed volumes shall be checked in and delivered to BRU within 2 working days of receipt of volumes from the Filming Contractor. Task 9. Monographs updated Includes bibliographic record update work for brittle and rare monographs (see SOW Part 1, XIX. Updating bibliographic records). Record update procedures shall be completed and the update report delivered to BRU within 5 working days of receipt of film from the Filming Contractor. Task 10. Serials updated Includes record update work for brittle and rare serials (see SOW Part 1, XIX. Updating bibliographic records). Record update procedures shall be completed and the update report delivered to BRU within 5 working days of receipt of film from the Filming Contractor. Task 11. Volumes boxed Includes all boxing procedures for brittle volumes (see SOW Part 1, XVI.7. Boxing volumes with severe damage). Boxes and labels shall be ordered within 4 weeks of the date NLM refers the volumes to be boxed. Boxes shall be assembled, filled, labeled, sorted by shelving location, and delivered to CMU within 4 weeks of receipt of boxes. III. NLM'S ONLINE CATALOG NLM's current online catalog is an Endeavor Information Systems integrated bibliographic database called "Voyager." The primary component of the system is the cataloging module, which is based on bibliographic records in MARC-format . Attached to each bibliographic record are holdings records, one for each shelving location, which include a summary holdings statement. Attached to each holdings record are item records, one for each physical piece. All searching and record updating shall be done in the cataloging module. Other modules are based on data in the bibliographic record. Bibliographic targets shall be derived from the "Details" view in the OPAC module. Checking out and checking in of volumes pulled for filming shall be done in the circulation module. Forms and QC reports can be derived from Voyager using Impromptu software. NLM will create Impromptu queries for use by the Preparation Contractor. The contractor will run the queries and print forms and reports. Instructions related to Voyager are based on the current version of the database and are intended to convey the nature and complexity of the work. Actual procedures may vary. Procedures may need to be changed as the Voyager system is modified and enhanced. IV. REFERRAL OF WORK BY NLM Periodically the PCM Alternate Project Officer refers large batches of brittle regular monographs to be filmed, typically 200 - 400 titles each. Brittle rush monographs (titles which have been requested on interlibrary) are referred when needed in small batches, typically 20 - 50 titles each. The PCM Alternate Project Officer refers regular brittle serials frequently, in small batches or individually. Serials volumes borrowed from other libraries or requested on interlibrary loan are referred individually as needed. For serials, multi-edition monographs, and multi-volume monographs, the Alternate Project Officer provides a form listing the specific volumes to be filmed at this time. For borrowed volumes, the Alternate Project Officer provides a form with the name of the lending library and the number of service copies, if any, to be ordered for the lending library. Periodically, usually 4 - 6 times a year, the HMD Alternate Project Officer refers batches of rare books, usually 20 - 50 titles each. Almost all rare books are monographs. Using an Impromptu query created by NLM, the Preparation Contractor shall generate a set of preparation forms for each title to be filmed. A set of preparation forms includes a Search Form, Description and Disposition Form, Master Problem List (serials only), Targeting Form, and Filmer Instructions Form. For serials and multi-volume monographs, the Contractor shall print (or photocopy) a set of preparation forms for each physical volume to be prepared and write the appropriate volume/part and date on every form in the set. (See SOW Part 1, Appendix A, Examples 4 - 7. These examples are for brittle books. Forms for rare books may vary slightly. Forms may need to be modified over time to accommodate changes in Voyager.). When NLM has items to refer, the Preparation Contractor shall download whatever Voyager data they need for their operation. (See SOW Part 1. Tracking system and data export for minimum data requirements.) Some fields in Voyager records, especially notes field, cannot be searched and therefore cannot be downloaded. The PCM Alternate Project Officer will run an Impromptu query for the desired fields and create a Microsoft Excel file of the resulting data. The Contractor shall load the Excel file into their tracking system. The Contractor may need to edit the Excel file to make the format of the data conform to the requirements of their tracking system. V. SEARCHING UTILITIES TO AVOID DUPLICATE FILMING The Contractor shall determine if titles referred for filming have already been microfilmed by another library or by a publisher, unless the Alternate Project Officer specifically notes on a Search Form that the title need not be searched. The Contractor shall search each title in RLIN, the online bibliographic utility managed by the Research Libraries Group. For all titles for which 35mm microfilm is not found in RLIN, the Contractor shall search a second utility, OCLC. If a title is found to be available on 35mm microfilm from other sources, the Contractor shall print the records for all sources found, and return the preparation form set and printout of source(s) to the Alternate Project Officer. The Alternate Project Officer will determine if available microfilm is acceptable or not. If the available film is acceptable, the Alternate Project Officer will note on the Search Form that the title will not be filmed by NLM and return the form set to the Contractor. The Contractor shall enter this "Do not film" decision in Voyager. (See SOW Part I. XIX. Updating Bibliographic Records) If the available film is unacceptable, the Alternate Project Officer will note this on the Search Form, indicate that the title is to be filmed, and return the form set to the Contractor. The Contractor shall proceed to prepare the item for filming. VI. TRACKING SYSTEM AND DATA EXPORT The Contractor shall develop and maintain a tracking system using Windows-based relational database software (of NLM's choosing) on NLM's shared computer network. Microsoft Access 97 for Windows is the software currently mounted on the network. If in future NLM replaces this software, the Contractor shall use the new/different software for its tracking system. The Contractor shall back-up its tracking system on a zip drive at least once a week. The Contractor shall retain all data in the tracking system for the entire contract period. Tracking system data relating to shipments which have been accepted may be archived if desired, but must remain available for answering questions regarding individual items or for generating special reports. A. Tracking system requirements The tracking system shall be programmed to support the sorting of records by specific data elements. For example, the tracking system shall be capable of generating monthly and cumulative lists (such as a list of all "retain after filming" decisions made during the past month, or made during the first contract year) sorted by a specific field (such as by title or by the unique record identifier number). The tracking system shall contain and provide access to all data necessary for performance of all contract activities, including but not limited to the following: 1. Location and status of all volumes throughout all stages of the preparation process. (Within two hours of receiving a request, the Contractor must be able to provide access to any in-process volume needed by a library patron if the requested volume is still on- site at NLM.) 2. All data necessary to document that all deadlines are met, including dates on which work is received from NLM, referred to/returned by various NLM units, and completed. 3. All data necessary to document the disposition of each item referred to the Contractor by NLM but not sent to the Filming Contractor, for example: a. Already microfilmed by other library or publisher b. Not found on shelf after 3 searches c. Volume is a reprint d. Volume contains more than one title e. Data on bibliographic record (title, call number, description, etc) does not match volume f. "Do not film" per ___ and reason (if any) g. Already filmed by NLM as Film Number ___ 4. All data included in the monthly report. 5. Data required to produce lists of preparation decisions and special features (to be generated monthly, or less frequently if so indicated by NLM), including: a. Retain after filming b. Return to [ ] after filming c. Volumes containing color illustrations d. Volumes noted by HMD as containing being listed in the Garrison-Morton bibliography (including citation number and page number) e. Volumes noted by HMD as having a special artifactual characteristic f. Incomplete multi-volume monographs B. Exporting data to NLM's tracking system Before sending a shipment of volumes to the Filming Contractor, the Preparation Contractor shall export data for the items in the shipment to the Quality Assurance Unit's tracking system. QAU's current tracking system is in MS Access 97. If QAU migrates its system to other software, the Preparation Contractor shall, if necessary, modify the format of the data they export to accommodate the data format of the new system. Exported data shall include but is not limited to, the following: 1. For monograph shipments: - Shipment number - Film number - Item/position/reel designation - Bibliographic record ID number - UI number (a unique identifier) - Author - Title - Volume/Part - Year - Types of microfilm produced (e.g. high-contrast black-and-white, continuous-tone black-and-white, or color film) for each generation (e.g. archival, print master, service copy) of each reel - Service Copy data, including number of copies and their destination/location (e.g. NLM or lending library) 2. For serial shipments: - Shipment number - Film number -Reel designations - Bibliographic record ID number - UI or SEQ number (unique identifiers) - Title - Year - Volume/Issue - Types of microfilm produced (e.g. high-contrast black-and-white, continuous-tone black-and-white, or color film) for each generation (e.g. archival, print master, service copy) of each reel - Service Copy data, including number of copies and their destination/location (e.g. name of lending library) Prior to exporting data for a shipment, the Contractor shall print the data and check it for accuracy and completeness. After making corrections, the Contractor shall give the printout to the PCM Alternate Project Officer for review, along with the targets for the shipment. After receiving approval, the Contractor shall export the data. VII. LOCATING AND PULLING BRITTLE BOOKS Note: HMD will locate and pull all rare volumes. A. Location of volumes Almost all materials to be filmed are shelved in closed stacks on underground levels B2 and B3. Occasionally items from the general reference or HMD reference collections or elsewhere are filmed. The B2 level contains monographs and general collection serials with NLM classifications other than "W1." There is a separate filing sequence on B2 for oversized volumes. The B3 level contains mostly core biomedical serials, with an NLM classification of "W1." B3 is divided into two areas, the HMD stacks (in a locked cage area) and the general collection stacks. The HMD stacks contain serials published from 1801 to 1870 and monographs from 1801 to 1913. There are several call number sequences within the HMD stacks. The Contractor shall check all appropriate shelving sequences, as instructed by NLM. The general collection stack area on B3 contains W1 serials from 1871 to 1984, including a separate filing sequence for oversized serials. Since serial titles are split between the HMD and general collection stacks by date, the Contractor may need to pull volumes of a title from both areas. Some materials may not be shelved in HMD and the general collection in strict accordance with their dates of publication. If an item published around 1914 or 1871 is not found in the appropriate stack area, the Contractor shall look for the item in the other area. Occasionally a volume needed for filming is shelved incorrectly. If the Contractor does not find an item in its correct call number location, the Contractor shall check all items on the shelf on which the item should be located and on nearby shelves (those above, below, and to the left and right of the correct shelf). B. Volumes not available for filming The Contractor may find that a volume to be filmed is not on the shelf. 1. Pieces in use A shelf charge or space on the shelf may indicate that the piece is in use. If any part of a monograph or serial is apparently in use, the Contractor shall check the shelf for the piece three additional times, approximately two weeks, six weeks, and six months (or sooner, if instructed) after the initial attempt to pull. If the piece is not found on the last attempt, the Contractor shall return to the Alternate Project Officer the preparation form set annotated to indicate the volume/number and year of each piece apparently in use, the dates on which the stacks were checked, and any other clues as to the status of the item, such as "entire shelf empty." 2. Missing pieces If one or more pieces of a serial or multi-volume set are missing from the shelf with no shelf charge or space on the shelf that might indicate it is in use, the piece may be considered missing from the collection. The Contractor shall check the shelf for the piece again two weeks after the initial attempt to pull. If the piece is not found on the second attempt, the Contractor shall note on the Search Form the volume/number and year of each missing item; the dates on which the stacks were checked; and any other clues as to the status of the item, such as "no volumes with this call number on shelf," and return the form set to the Alternate Project Officer. The Alternate Project Officer will determine if a partial set will be filmed or if filming will be deferred until the missing pieces are obtained. C. Volumes not appropriate for filming Some volumes may not be appropriate for filming or may need additional cataloging before they can be filmed. The Contractor shall stop work on such volumes as soon as they are identified and refer them in batches to the Alternate Project Officer for further review on a monthly basis (or as requested by NLM). 1. Already filmed by NLM Occasionally in the past, volumes were filmed but NLM's online catalog was not updated to reflect the microfilm. Therefore NLM may inadvertently refer a title to the Preparation Contractor which has already been filmed. The Contractor shall check each volume to see if there is an "F" on the spine, a film number handwritten on the verso of the title page, or any other indication that a volume has already been filmed. The Contractor shall refer any volumes that have been or appear to have been filmed to the Alternate Project Officer. 2. "Bound with" titles The Contractor shall identify bibliographic records which mention other publication(s) in addition to the main title. Such additional publications may be noted in the record as "bound with," "issued with," "including," etc. During collation the Contractor shall identify other publications which are bound in the volume being prepared but which are not described in the bibliographic record. The Contractor shall search the Voyager cataloging module to see if the "bound with" title has its own bibliographic record and refer the volume and record (if found) to the Alternate Project Officer. If the "bound with" title has an appropriate bibliographic record, the Alternate Project Officer will queue the volume in Voyager and return it to the Contractor to be prepared for filming. If the "bound with" title needs to be cataloged, the Alternate Project Officer will unqueue the volume in Voyager and notify the Contractor that the volume will be re-referred after it has been cataloged. 3. Reprints The Contractor shall identify bibliographic records which indicate that the work is a reprint. The Contractor shall also identify volumes pulled for filming which state that they are reprints (usually on the title page) or which appear to consist entirely of material previously published elsewhere. The Contractor shall refer such items to the Alternate Project Officer. If the volume is to be filmed, the Alternate Project Officer will return it to the Contractor. If the volume will not be filmed, the Alternate Project Officer will notify the Contractor, who shall update Voyager with "Do not film" information. (See SOW Part 1, XIX. B. Do not film and Retain after filming decisions). 4. Unusual items If an item presents a unique filming problem (such as a scrapbook or a book whose pages are fused together) or has an unusual feature (such as a pocket containing stereoscopic slides and a viewer), the Contractor should refer it to the FPU for a filming/preparation decision. D. Pulling volumes to be filmed The Preparation Contractor shall locate items to be filmed in the stacks and pull them. The Contractor shall compare the bibliographic record of the item to be filmed with the actual piece to make sure author, title, volume/year (if any), and call number match exactly. Any discrepancies shall be referred to the Alternate Project Officer in batches. E. Charging items to the Preparation Contractor The Contractor shall charge out to itself each brittle volume pulled for filming and each rare book referred by HMD in the Voyager circulation module using a "patron name" supplied by NLM. To be charged out, the paper copy must have a holdings and an item record, and in most instances the Contractor will need to update the holdings record and create the item record. The Contractor's patron name will be assigned a bar code, which the contractor shall wand into the circulation record. The Contractor shall also wand the bar code on the piece in hand into Voyager. If an item in the general collection does not have a bar code, the Contractor will affix one to the piece. If a title in the historical collection does not have a bar code, the Contractor shall type the call number and volume/year, if any, on a flyer and affix the bar code to the flyer. NLM will supply the bar codes. Volumes shall be charged out within 1 working day of being pulled. (See SOW Part 1. Appendix A. Example 20.) VIII. COLLATION Collation of brittle books shall be carried out in the Contractor's main work area in PCM. All collation procedures for rare books shall be carried out in the History of Medicine reading room (Bldg. 38, Rm. 1E21) or other HMD work area by the Project Manager or other Contractor staff pre-approved by NLM. The collation process includes examining each volume page-by-page; identifying all physical and bibliographic problems and anomalies; filling out all preparation forms as appropriate (see SOW Part 1, Appendix A, Examples 4 - 8); determining the need for, wording of, and location of all targets noted in SOW Part 1, Appendix B. Targets as being the responsibility of the Preparation Contractor; making photocopies to replace badly damaged and missing pages, if alternate copies of the title are available; requesting replacement of badly damaged and missing pages (see SOW Part 1, Appendix A, Example 5), issues, and volumes for which no alternate copies are available; preparing foldouts (see SOW Part 1, IX. Foldouts in brittle volumes); writing instructions for the camera operator (see SOW Part 1, Appendix A, Example 7), etc. Occasionally more than one copy of a volume may be available, such as when a borrowed book contains a volume also held by NLM. In such cases the Contractor shall examine the physical condition, bibliographic completeness, and legibility of the copies to determine which copy should be sent for filming. Within the framework of contract specifications and of guidelines provided by NLM, the Contractor is responsible for developing specific internal procedures and forms for those aspects of collation which do not directly involve NLM staff. The Contractor shall also collaborate with the Project Officer and Alternate Project Officers to develop joint procedures and forms for those aspects of collation that involve both Contractor and NLM staff. The Contractor shall identify problems with current joint procedures and forms and suggest specific ways to improve them. The Contractor shall use independent judgement in deciding how best to apply established guidelines and procedures to the wide range of individual collation problems presented by the materials being microfilmed. After initial training, the Contractor shall be expected to resolve most collation "problems" independently. Only volumes which present problems not previously encountered or unusually complex problems shall be referred to FPU or the HMD Alternate Project Officer for a collation decision. When making such referrals, the Contractor shall describe the problem fully, make specific recommendations on ways the problem might be handled, and perform all collation procedures needed to carry out the decisions make by NLM. The Contractor shall charge out individual problem volumes referred to FPU, the PCM Alternate Project Officer, the HMD Alternate Project Officer, or other NLM unit in the the Voyager circulation module. (See SOW Part 1, Appendix A, Examples 20-21.) Before returning the volume to the Contractor, NLM will charge the item out to the Contractor. The Preparation Contractor shall ensure that each volume is as complete as possible and in camera-ready condition when it is shipped to the Filming Contractor. The Contractor is responsible for performing all collation steps necessary to meet this goal, including but not limited to those listed below. 1. Examine all volumes page-by-page and determine if all pages are present, legible, and bound in the correct order. Note damaged/illegible text problems; missing, misnumbered, and out-of-order pages, issues, and volumes; and other problems and anomalies on the appropriate preparation form. Note also damage and physical problems which are likely to occur or be worsened during filming (such as binding already breaking or pages likely to become detached) or to interfere with the legibility or completeness of the images captured on the microfilm (such as volumes too tightly bound or text loss in the gutter margin). Indicate on the appropriate forms proposed notes for the Irregularities Target, eye-legible target, Filmer Instruction Form, etc. 2. Highlight for later review by NLM items whose text may not be able to be fully captured on microfilm due to the physical condition of the items, such as items which are too tightly bound, have text loss in the gutter margin, cannot be opened fully, or are likely to crumble into the text when handled during filming. (The Contractor shall not cut stitches, detach pages, or perform any other actions which may cause damage to a volume in order to permit text to be captured more fully.) 3. Highlight for later review by NLM items with unusual characteristics (not listed on the preparation forms) which may make filming difficult or require special targeting and/or instructions to the camera operator (such as actual photographs glued into text, numerous identical blank forms, uncut pages, pages folded and caught in the binding, unusually poor contrast, etc.). When unsure whether or not a volume can or should be microfilmed, refer the problem to NLM. 4. Determine the existence of individual bibliographic units, as evidenced by separate pagination, separate title pages, or other clues. Bibliographically separate units include monograph titles bound together, each of which has its own bibliographic record; separately paged journal issues and serial numbers; and regularly or irregularly occurring supplements, indexes, and other special issues. If a volume has more than one bibliographic part, determine if any or all of the parts should be described in a note on the Irregularities Target which pertains to the entire volume or if any or all parts should have their own separate Eye- legible Bibliographic and Irregularities Targets (see SOW Part 1, Appendix B, Targets 7 and 8.2). 5. Note the need for Eye-Legible Bibliographic Targets on the Targeting Form and mark the locations at which the Filming Contractor should film each Eye-Legible Bibliographic Target (other than the first one on a reel) by inserting the appropriate flyer (paper streamer coded to indicate a particular target) in the volume at the page where the target is to be filmed. For multi-volume monographs, insert a flyer to mark the location of the End of Title target and note "multi-volume monograph" on the Description and Disposition Form. 6. If needed, and if alternate copies of the title are available, make photocopies to replace missing and badly damaged pages. Alternate copies may include paper copies and microfilm copies held by NLM and borrowed volumes and photocopies supplied by other libraries. Produce photocopies which are as legible and as much like the original as possible. This may require trimming black edges, separating pages which were copied with two pages per sheet, shifting text to center it on the page, resizing text to match the original, testing different digital copier settings, etc. Stamp "photocopy" on the front (text side) of each photocopy in a margin, positioning the stamp so as not to cover any text or illustrations. For each continuous sequence of photocopied pages, write in pencil on the verso (blank side) of the first page in the sequence the call number and, for multi-part titles, the issue/number and volume/year. If the photocopies lack page numbers, but are "counted" in the volumes page number sequence, write the appropriate page number in brackets on the photocopies, for example [27], [28], etc. If the photocopies lack page numbers and are not "counted" in the volumes page number sequence, write sequential numbers starting with [1] on the photocopies. Place all photocopies which accompany a physical volume in a folder and label the folder with the call number and, for multi-volume titles, the volume and year. Determine whether replacement photocopies are to be filmed instead of or in addition to original pages. (If a replacement photocopy is complete and has good legibility, it will be filmed instead of the original page. If a replacement photocopy has missing or illegible text but can be used in combination with the original page to provide complete and legible text, it will be filmed in addition to the original page.) Write the appropriate instruction to the camera operator on the Filmer Instructions Form. Insert the appropriate flyer in the volume at each place where one or more photocopies are to be filmed. 7. Fill out a Replace Pages/Volumes Form for missing and badly damaged pages, issues, and volumes of titles for which no alternate copies are available (See SOW Part 1, Appendix A. Example 8). Also fill out this form if a replacement photocopy and original page together do not provide complete and legible text. Mark "Refer to Borrowing and Replacements Unit" on the Description and Disposition Form. 8. If pages or issues are bound out-of-sequence, determine the best way to prepare the item so that materials appear in sequence on the microfilm, based on guidelines developed in consultation with the Filming Contractor and the PCM and HMD Alternate Project Officers. One possible solution is to write instructions to the camera operator for filming items in the proper sequence. Another solution is to photocopy the out-of-sequence pages and instruct the camera operator to film from the photocopies. If such solutions do not seem appropriate, refer the item to FPU, who will decide how the Preparation Contractor should proceed. In some cases FPU may disbind or detach pages from the item, so that the Preparation Contractor can then put them into the proper sequence. 9. Determine the need for eye-legible targets for irregular pagination, irregular numbering, missing advertisement pages, etc. Note the required targets on the Targeting Form and insert the appropriate flyers in the volume. 10. Write on the Targeting Form the proposed wording of notes to appear on the Irregularities Target. Most problems and anomalies cannot adequately be resolved with eye- legible targets and require an explanatory note on the Irregularities Target. 11. For volumes to be filmed in whole or in part on color or continuous tone microfilm as well as on high contrast film, write explicit directions on the Filmer Instruction Form describing what material to be film on each type of film. 12. Identify multi-layered articulated illustrations and mark the location of the illustration with a flyer to alert the camera operator of the need for a "layered illustration, too fragile to film" in-text target. 13. Identify illustrations consisting of a base illustration on paper preceded or followed by one or more transparent pages which convey additional information when placed over the base illustration. Mark the location of such illustrations with a flyer to alert the camera operator of the need to follow special procedures when filming the illustration. 14. For brittle books, examine all foldouts for condition and size. For each foldout which will need to be detached, repaired, or reinforced, insert a special flyer so that FPU can readily distinguished them from foldouts which will not require further preparation. (See SOW Part 1. IX. Foldouts in brittle volumes). For rare books, flag all foldouts and note their location, condition, and size on the Description and Disposition Form. 15. Fill out the "Contractor" section of the Filmer Instructions Form as appropriate, for example writing instructions for filming photocopies, detached foldouts, materials bound out of sequence, reduction ratios other than the normal 12:1, etc. (See SOW Part 1. Appendix A, Example 7.) 16. For serials, indicate on a form to be developed by the Contractor how volumes will be programmed (grouped) onto reels. 17. Insert special flyers in borrowed volumes, so they are easy to differentiate from NLM volumes. 18. For rare books, insert into the volume flyers indicating specific pages, e.g. locations of foldouts, eye-legible targets, in-frame targets, etc. Insert all other preparation forms between the front cover and first page, unless such insertion will damage the volume. In such cases, wrap the forms around the outside of the volume and tie them with white cotton tape or put them in an envelope, write the call number on the envelope, and place the envelope adjacent to the volume on the truck. 19. For rare books, remove call number slips from volumes, clip them together and hold them until checking in the filmed volumes. The Contractor shall retain preparation forms for serials for the entire contract period. The Contractor shall retain preparation forms for monographs for at least one year after the corresponding microfilm has been accepted. The Preparation Contractor shall retain targets produced by the Preparation Contractor, Filmer Instructions forms, and photocopies at least until the corresponding microfilm has been accepted. IX. FOLDOUTS IN BRITTLE BOOKS The Preparation Contractor shall work with the Filming Contractor to develop specific procedures for foldouts, such as how to insert flyers to mark the locations of attached and detached foldouts and how to fill out Filmer Instruction forms. The dimensions given be low may change if the Filming Contractor changes their equipment or camera operator procedures. In general, foldouts in volumes which do not need to be reviewed by HMD shall be prepared before the volumes are referred to FPU for review, and foldouts in volumes which must be reviewed by HMD shall be prepared after HMD's review but before FPU's review. Special care must be taken in handling foldouts to prevent new or additional damage. A. Refer to FPU staff The Contractor shall refer to FPU all foldouts larger than 3.5' wide or 2' high. FPU may photocopy or section the foldouts or give the Contractor special preparation instructions. If HMD marked "Film, No Damage Allowed" or gave specific instructions regarding foldouts on the Description and Disposition form, the Contractor shall refer the volumes to FPU for instructions before starting to prepare the foldouts. B. Do not detach If a foldout is in good condition, and the book and opened foldout together measure 22" wide and 12" high or less, the Contractor shall not detach it. C. Detach, program on regular reel A foldout, regardless of its condition, must be detached if the opened book and foldout measure more than 22" wide or 12" high. If the foldout alone is not more than 3.5' (42") wide and 2' (24") high, and is in good enough condition to be folded back in half widthwise and flattened, it does not require special programming. (The Filming Contractor will film these at the regular camera stand in sections. The foldout will be back-folded widthwise in order to film the bottom row of images, because of the limitation caused by the camera support.) D. Detach, program as fragile If a detached foldout which is unlikely to be able to withstand folding back is, however, flexible enough to be opened out flat and refolded and is not larger than 3.5' wide or 2' high, it is considered fragile but filmable. The Preparation Contractor shall program volumes containing such foldouts together on separate reels and shall flag the reels as containing fragile foldouts. The Filming Contractor will film these flat, without folding back, at oversized camera stands at 12:1 reduction ratio. E. Damaged and likely to be damaged foldouts If foldouts are torn, fragile, brittle, or likely to be damaged in filming, regardless of size, the Contractor shall repair or reinforce them with archival-quality document repair tape (supplied by NLM). Tape shall be applied on the back side of the foldout whenever feasible. If tape must be applied to the front side, the Contractor shall use the smallest amount of tape possible, and shall place it so as not to obscure any text or illustration. If a foldout is small enough to be left attached (that is, foldout and book measure 22" wide by 12" high, or less) but cannot be neatly repaired or reinforced without causing further damage, the foldout may be detached before treatment. If a foldout cannot be made strong enough to film by repairing/reinforcing, cannot be repaired without text loss, is so large or fragile that it cannot be repaired or reinforced without causing further damage, is printed on both sides, or has some unusual problem, the volume shall be referred to FPU for photocopying, replacement, or other special treatment. F. Labeling a. Detached foldouts The Contractor shall label each detached foldout in pencil on the back side with call number, page number (or other designation if pages are unnumbered), and, if more than one foldout follows the page, its position in the sequence. Additional information shall be noted if necessary to enable the foldout to be replaced in the correct location. If the foldout is printed on both sides, it shall be labeled so as not to obscure text or illustrations. b. Undetached foldouts in volumes approved for disbinding The Contractor shall label all undetached foldouts in volumes marked on the Filmer Instruction form by FPU as "OK to Disbind," following the instruction above. G. Enveloping If there are a small number of thin detached foldouts in a volume, they may be reinserted neatly in the volume providing they are not likely to be damaged by reinsertion, the edges do not protrude beyond the textblock, and the shape of the volume is not distorted. In such cases, the foldouts shall be reinserted at the correct locations volumes and the volumes shall be tied with acid-free tying tape (supplied by NLM). In all other instances, foldouts shall be enveloped. Volumes and envelopes shall not be tied together. Detached foldouts shall be left folded as originally folded in the volume and placed in sleeves and envelopes (supplied by NLM). If foldouts are thin more than one may be placed in an envelope, but no more than the number which can be well protected by the sleeve when removed/inserted and well supported by the envelope when shelved. Foldouts shall be in proper sequence in the envelopes. Envelopes and sleeves shall be large enough to allow foldouts to be inserted and removed without damage. Each envelope shall be labeled in the upper left corner in pencil with call number; volume/part and date(s) as appropriate; NLM record ID number, and total number of foldouts in the envelope. H. Filmer instructions The Contractor shall note on the Filmer Instructions form under "Film detached foldouts" each page number following which a foldout must be filmed, and the number of foldouts which follow the page, if more than one. X. NLM REVIEW OF BRITTLE BOOK COLLATION Once a group of brittle books has been collated, the Contractor shall refer them to HMD, if needed, and then to the Filming Preparation Unit. Each volume shall be accompanied by a completed set of preparation forms, a copy of the bibliographic record, an indication of reel programming (for serials), and a folder of photocopied replacement pages (if any). All volumes of a serial title should be delivered together on a truck, unless the number of volumes being filmed is very large. Rush items shall be delivered as soon as they are ready for review. Rush items shall be delivered separately from regular work and shall be clearly flagged as such. A. HMD review of brittle monographs The Contractor shall refer to HMD for review any monograph, regardless of its physical condition, which a) consists primarily of illustrations and has little or no text, or b) contains illustrations of an extraordinary nature. The Contractor shall also refer to HMD for review any monograph which has one or more of the following characteristics denoting artifactual value and one or more of the following indications of existing or likely damage (as noted on the Description and Disposition Form): 1. Artifactual value characteristics a) color illustration b) illustration with grey shading (such as half-tones) c) book plate d) significant handwritten notes accompanied by a signature e) other unusual feature 2. Damage indicators a) too tightly bound b) pages breaking or likely to break c) binding breaking or likely to break d) foldouts which will need to be detached, reinforced, or repaired e) other signs that volume may be damaged during filming For serials, if any one volume of a title meets the requirements for referral to HMD, the Contractor shall refer all volumes of the title to HMD. The Contractor shall mark the Description and Disposition Form "Refer to HMD" for each volume which requires HMD review and deliver such volumes to the HMD office once a week, unless requested to deliver materials more frequently. HMD will complete its section of the Description and Disposition Form in approximately one week and will notify the Contractor when materials are ready to be picked up. B. Filming Preparation Unit review The Contractor shall deliver to FPU volumes which have been reviewed by HMD or which do not require HMD review. In general, FPU's role is a) to QC the completed collation work of the Contractor; b) to perform preparation actions which will/may cause physical damage, such as cutting stitches, detaching pages, or disbinding; and c) to complete FPU's sections of the Description and Disposition and Filmer Instructions Forms. For volumes flagged as containing unique or unusually complex problems, FPU will review the Contractor's recommended solution(s) and decide how the Contractor should proceed. If FPU identifies a problem with the collation of a volume, FPU will note the nature of the problem and give general instructions for corrections. It is the Contractor's responsibility to review the problem in detail and revise information on the preparation forms or take other appropriate actions. If FPU's review indicates that a truck was not carefully reviewed before being referred, FPU will return it to the Contractor for additional QC. C. Disposition decisions Based on decisions noted by HMD and FPU on the Description and Disposition Form, the Contractor shall take appropriate action. 1. Refer to BRU The Contractor shall deliver volumes and forms to the Borrowing and Replacements Unit (BRU) or elsewhere as instructed. The Contractor shall charge the item to BRU in the circulation module; BRU will charge the item to the Contractor before returning it. Items referred to BRU may not be returned for an extended period of time, depending on the difficulty of obtaining a replacement. 2. Do not film The Contractor shall prepare volumes marked "Do not film" for reshelving and deliver them to the appropriate location. 3. Order service copy The Preparation Contractor shall automatically request that the Filming Contractor produce one service copy microfilm for all rush volumes. The Contractor shall also request service copies for other volumes, if so instructed on the Description and Disposition Form or Search Form. Whenever possible, the Contractor shall program on the same reel monographs for which service copies are needed, in order to minimize the number of service copy reels produced. If HMD or FPU have marked "Order Service Copy" on the Disposition and Description Form for any one volume of a serial or multi-volume monograph, the Contractor shall order a service copy for all volumes of the serial or set being filmed at that time, unless instructed otherwise. For some borrowed volumes, BRU will note on the Search Form to order a service copy of specific volumes for the lending library. The Contractor shall request service copies of the specified volumes only, in addition to any service copies requested by HMD or FPU. 4. Prepare foldouts If FPU has marked "Prepare Foldouts" on the Description and Disposition Form, the Contractor shall prepare foldouts as instructed in IX. Foldouts in brittle volumes. 5. Film The Contractor shall proceed with remaining preparation tasks when "Film" is checked on the Description and Disposition Form. XI. HMD REVIEW OF RARE BOOK COLLATION The Contractor shall notify the HMD Alternate Project Officer as soon as collation of a shipment is completed. Each volume shall be accompanied by a completed set of preparation forms, a copy of the bibliographic record, and an indication of reel programming (for serials). All volumes of a serial title should be delivered together as one batch. HMD will complete its section of the Description and Disposition Form in approximately two weeks and will notify the Contractor when materials are ready to be picked up. HMD will a) QC the completed collation work of the Contractor; b) perform preparation actions which will/may cause physical damage, such as cutting stitches, detaching pages, or disbinding; c) repair foldouts, etc. as required; d) find replacements for missing/damaged pages. HMD may add additional notes about the physical condition of the volume to the Description and Disposition Form to further document the pre-filming condition of the volume. For volumes flagged as containing unique or unusually complex problems, HMD will review the Contractor's recommended solution(s) and decide how the Contractor should proceed. Based on decisions noted by HMD on the Description and Disposition Form, the Contractor shall take appropriate action. The Contractor shall remove any form sets marked "Do Not Film" by HMD. (See SOW Part 1, XIX. B. Do not film decisions and VI. Tracking system and data export for tracking requirements.) XII. REEL PROGRAMMING A. Factors which affect reel programming Most materials will be filmed at a reduction ratio of 12:1 in the "IIB" position (see SOW Part 1, Appendix A, Example 22). At the beginning of the contract the Preparation Contractor and Filming Contractor shall work together to develop guidelines for determining how many pages/targets should be programmed on a reel. The Preparation Contractor shall also consider the following factors in determining which volumes will be included on a particular reel of film and the order in which they will appear. 1. Monographs/serials The Contractor shall program monographs and serials on separate reels. The Contractor shall combine several monograph titles on a reel so as to fill the reel as full as possible. However, the Contractor shall not split one monograph title between two reels unless the title is so long that it cannot fit on one reel. In general, the Contractor shall combine several volumes of one serial title on a reel so as to fill the reel as full as possible without splitting one volume between two reels, unless the volume is so long that it cannot fit on one reel. However, more than one short serial may be combined on one reel. If it is necessary to split a monograph title or serial volume between two reels, the Contractor shall choose a logical place at which to place the reel break, such as at the end of an issue, month, part, chapter, or other subsection appropriate to the volume being filmed. The Contractor shall ensure that the reel contents and eye-legible bibliographic targets and the target folder label indicate clearly what portion of the title or volume is on each reel. If the reel break occurs somewhere other than the beginning of a numbered part, it may be necessary to specify pages contained on each reel. 2. Copyright All works published in 1922 or earlier are in the public domain. Works published in 1923 may be subject to copyright restrictions. Therefore, in general, copyrighted and non-copyrighted volumes shall not be mixed on a reel. However, when programming serials and multi-volume monographs other considerations may take precedence over copyright in determining which volumes shall be programmed on a reel. 3. Reduction ratio Reduction ratio is the ratio of the original page size to the size of the page on microfilm. The reduction ratio employed will be 12:1 in most cases, but never lower than 8:1 or higher than 18:1. Lower reduction ratios may be needed in order to achieve legibility if the volume has small print; higher ratios may be needed for oversized volumes. Reduction ratio may not be changed within a reel. At the beginning of the contract, the Preparation Contractor and Filming Contractor shall work out guidelines, to be approved by NLM, for determining how oversized materials will be filmed (such as one page at a time or in the IA or IIA position) and when reduction ratios other than 12:1 are needed. The Preparation Contractor shall apply the established guidelines when programming items with small print and oversized items, consulting with the Filming Contractor and FPU about unusual problems. 4. Interlibrary loan requests Only one ILL monograph will be programmed on a reel. The ILL title should be the first item on the reel, unless the volume requested is part of a multi-volume set or serial, in which case the volumes will be filmed in proper sequence. Non-ILL monographs will be programmed following the ILL title to fill the reel. When programming borrowed and ILL serial volumes, it may be necessary to create reels that are less full than normal in order to complete and ship the rush item within the required turnaround time. For example, if preparation of a volume intended to be programmed with a borrowed serial volume is delayed (because of missing pages or other problems), it may be necessary to program fewer items on the reel containing the borrowed volume than normal. The Contractor shall consult the Project Officer when uncertain how incomplete rush materials should be handled. 5. Fragile foldouts The Contractor shall program volumes containing fragile but filmable foldouts on separate reels and shall flag the reels as such. 6. Materials with very poor contrast The contractor shall program volumes with very poor contrast on separate reels and shall flag the reels as such. B. Assigning film numbers Microfilms are assigned accession-type film numbers to facilitate storage and retrieval. (The call number of the original volume is not used for the microfilm copy.) The Contractor shall assign serial and monograph film numbers from number sequences provided by the Project Officer. The Contractor will flag each group of programmed volumes with their film assigned film number. 1. Serials Film numbers for serials are preceded by an "S", such as S04583. For titles which have not yet been filmed, NLM will assign a film number. If a portion of a serial title was filmed in the past and, therefore, has already been assigned a film number, the Contractor shall use that number for all other volumes of the title. The film number will appear on the Search Form. 2. Monographs Film numbers for monographs have no letter prefix, for example 9749. The Contractor shall assign the same film number to all monographs programmed together on one reel. When a multi-volume monograph requires more than one reel, the Contractor shall assign the same number to all the reels of the title. Preparing targets The Preparation Contractor shall perform all targeting tasks designated as the Preparation Contractor's responsibility in SOW Part 1, Appendix B. Targets. C. Item number flyers The Contractor shall insert in each volume an item number flyer which indicates the sequential position of that volume on the reel. For monographs, the number on the item number flyer shall match the item number which appears on the Reel Contents target. Item number flyers shall be visible when the book is closed. Item Number flyers do not need to be noted on the Targeting form. D. Filmer instructions form Contractor shall put a copy of the Filmer Instructions form, if any, with the full set of targets and a copy with the extra Reel Contents and Irregularities Target provided for the Filming Contractor's use during inspection. E. Data for film box labels The Preparation Contractor shall supply the Filming Contractor with the data that is to be printed on film box labels, including film number, title (shortened in title is too long for the label and edited if the initial words in the title are generic), volumes and years for serials and volumes or editions for monographs. This data should correspond with the way the data appears in Voyager. It may be supplied on paper or transmitted to the Filming Contractor electronically. XIII. NLM REVIEW OF PROGRAMMED VOLUMES The Preparation Contractor shall group together programmed volumes which constitute a reel, place target folders vertically next to their corresponding volumes. Brittle books shall be referred to FPU for review; rare books shall be referred to HMD. NLM will review programmed reels within approximately 1 week. If NLM identifies any collation or reel programming problems, the Contractor shall make the necessary corrections. XIV. SHIPMENTS TO FILMING FACILITIES After completing preparation tasks and exporting data to QAU's tracking system, the Preparation Contractor shall arrange for delivery of the shipment to the appropriate Filming Contractor. The Contractor shall prepare a shipping list which itemizes the contents of each shipment. If a shipment fills more than one box, the Contractor shall annotate the shipping list to indicate the contents of each box. A copy of the shipping list shall be included in each box shipped to the Filming Contractor and a copy will be retained by the Preparation Contractor. Each shipping list shall include titles; volume/part designations, if appropriate; year; the total number of volumes; and the total number of envelopes (containing detached foldouts, pages, etc.). Target folders, photocopies, and envelopes containing detached materials must be packed in the same box as the volumes they accompany. A. Brittle Books The Contractor shall make arrangements for shipping brittle materials to the Filming Contractor with a reliable shipping agent approved by NLM. Books must be wrapped securely in packing material approved by NLM and packed in sturdy containers surrounded by additional packing materials so that there is no risk of damage from items shifting in the boxes during transit. (See also SOW Part 1, I.E. Preventing damage to books and microfilm.) The Preparation Contractor shall supply the boxes and packing materials used for shipping materials to the Filming Contractor. If preparation and filming are awarded to separate organizations, the Preparation Contractor may invoice NLM for the cost of shipping materials to the Filming Contractor. The Filming Contractor will inventory each shipment of volumes/rework and notify the Preparation Contractor by telephone, e-mail, or fax within 3 working days of receipt that the shipment was received and whether or not there are discrepancies between the shipping list and the contents. B. Rare books The HMD Alternate Project Officer will notify the Preparation Contractor of the exact date on which the Filming Contractor will pick up the next rare book shipment at least 14 working days before the pick up date. The Contractor shall finish packing the volumes for the shipment at least 2 working days before the pick up date. The Preparation Contractor shall supply the boxes and packing materials, pre-approved by the HMD Alternate Project Officer, for shipping materials to the Filming Contractor. Working in the HMD Reading Room or other HMD work area, the Contractor shall wrap each volume in protective bubble wrap, arrange wrapped volumes in boxes so as to prevent shifting, and follow any special instructions given by the HMD Alternate Project Officer. No tape shall be used to secure bubble wrap around volumes. The Filming Contractor will inventory each shipment of volumes/rework and notify the HMD Alternate Project Officer and the preparation contractor by telephone, e-mail, or fax within 3 working days of receipt that the shipment was received and whether or not there are discrepancies between the shipping list and the contents. XV. CHECKING IN MICROFILM The Filming Contractor(s) will return film and corresponding paperwork to the Preparation Contractor as one lot. Incomplete shipments shall not be returned to the Preparation Contractor unless the Project Officer has given special permission to do so. The Filming Contractor will pack each film generation in a separate box and label the outside of each box with the shipment number and film generation. The Filming Contractor will enclose in the print master box the shipment's target folders, certified methylene blue test results, inspection forms, and a shipping list which includes reel numbers with volume/part/year designations, total number of reels, and total number of exposures. The Contractor will enclose in the service copy box a shipping list which includes reel numbers with volume/part/year designations, the number of services copies for each reel, and the total number of service copies. The Preparation Contractor shall inventory each film shipment to determine that the archival, print master, and service copy reels received match both the Preparation Contractor's record of the number of archival, print master, and service copy reels to be delivered and the Filming Contractor's shipping list. The Preparation Contractor shall also determine if the appropriate target folders, methylene blue test results, and inspection forms have been received. Within 3 working days of receipt, the Preparation Contractor shall notify the Filming Contractor by phone, e-mail, or fax of the date on which the film was received and whether or not all items were received. (The Filming Contractor shall ship the corresponding filmed books as soon as possible, but at most within one week after the Preparation Contractor's receipt of the film shipment has been confirmed, thus ensuring that film and corresponding books are not in transit at the same time.) If a microfilm shipment is found to be incomplete, the Contractor shall also notify QAU and the Project Officer by e-mail of the problem and hold the microfilm until the problem has been resolved. If a microfilm shipment is complete, the Preparation Contractor shall deliver it to the Quality Assurance Unit (QAU) within 3 working days of receipt from the Filming Contractor. The same day that a shipment is delivered to QAU, the Contractor shall notify QAU and the Project Officer by e-mail that the shipment has been delivered, the number of archival, print master, and service copy reels, and the total number of frames received. XVI. CHECKING IN BRITTLE BOOKS The Preparation Contractor shall inventory the volumes in each returned shipment. If there are any discrepancies between the shipping list and the volumes received, the Contractor shall notify the Filming Contractor and the Project Officer of the problem within 3 working days of receipt of the volumes. The Contractor shall remove all papers inserted in the volumes during the course of collating and filming. A. Borrowed volumes The Contractor shall deliver borrowed volumes to BRU within 1 working day of receipt. B. NLM volumes The Contractor shall complete the following check in procedures for all NLM volumes in a shipment within 10 working days of receipt. 1. Marking volumes The Contractor shall mark volumes and envelopes as follows: a) Serials: Write an "F" at the top of the spine using a marking stylus and white ink approved by NLM. If the spine is not wide enough to accommodate an "F," place it on the upper left corner of the front cover. b) Monographs: For general collection monographs (those published 1914 and later), write an "F" at the top of the spine using a marking stylus and white ink approved by NLM. For all monographs (general collection and HMD) neatly print the film number and item number in pencil below the call number on the verso of the title page, including the words "Film" and "Item," for example: Film 5089, Item 3. 2. Detached foldouts If the number of foldouts detached from a volume is small and if the foldouts can be reinserted neatly in the volume so that no further damage is caused and so that the foldouts' edges do not extend beyond the covers of the volume, the Contractor shall reinsert the foldouts at their correct location within volumes and tie the volume with tying tape (supplied by NLM) as instructed by NLM. If there are many foldouts or if further damage is likely if they were reinserted in the volume, the foldouts shall be left in their envelopes. (Envelopes and volumes should not be tied together.) 3. Tying or enveloping items with minor damage If an item has minor damage (such as loose but still attached covers, partially detached covers, loose stitching but all or almost all pages still attached, only a few pages detached, only a few pages likely to become detached, can still be used by patrons), determine if the item needs to be tied or enveloped. If the item is rigid enough to stand upright on the shelf without additional support, tie the item with tying tape (provided by NLM) according to NLM instruction. If the item is too flexible to stand upright on the shelf without additional support or is very thin, place it in acid-free envelope with an inner sleeve (provided by NLM) and write the call number and volume/date designation, if any, in pencil in upper left corner of the envelope. 4. Making call number flyers HMD items: For 1913 and earlier monographs which lacking a call number label, the Contractor shall type the call number at the top of a white flyer of acid-free paper (provided by NLM) and insert the flyer so that it extends 1.25 inches above the volume to allow HMD room to put a bar code on the verso. For 1870 and earlier serials, the Contractor shall type the call number, volume/part, and year on the flyer. These items will be shelved as is; no call number label will be made General collection items: For 1914 and later monographs which lack a call number label, the Contractor shall type the call number at the top of a white flyer of acid-free paper (provided by NLM) and insert the flyer so that the call number extends above the volume. For 1871 and later serials, the Contractor shall type the call number, volume/part, and year on the flyer. General collection monographs and serials in useable condition shall be referred to CMU, who will make a new call number label. Items with severe damage which cannot be reshelved will not receive a call number label. 5. Return to [ ] after filming If the Description and Disposition Form indicates that a volume is to be returned to a particular unit or person, the Contractor shall deliver the volume as indicated. 6. Discharging and sorting volumes The Contractor shall discharge each filmed volume in the Voyager circulation module. The Contractor shall sort volumes into categories based on shelving location and whether the item has no/minor damage or severe damage, is a serial or monograph, and has or lacks a call number label. The Contractor shall fill out a reshelving slip, indicating the category, initials, date, and total number of items. Volumes shall be delivered to the Collection Maintenance Unit (CMU) with each category on a separate truck. (See SOW Part 1, Appendix A, Example 9). An item is considered to have minor damage if covers are loose but still attached, if stitching is loose but all or almost all pages are still attached, or if only a few pages are detached or likely to become detached and the detached pages do not protrude beyond the cover. Items with minor damage can be used as is by patrons. An item is considered to have severe damage if covers are partially or completely detached, if stitching is very loose or damaged, if more than a few pages breaking or likely to break, or if pages protrude beyond the cover. Items with severe damage cannot be used by patrons. 7. Boxing volumes with severe damage The Preparation Contractor shall arrange for custom-fit boxes to be made for volumes with severe damage. Box making shall be performed by a sub-contractor, Custom Manufacturing Inc. (831 Boyle Road, Fairfield PA 17320, phone 717-642-6304, fax 717-642-6596, cmiboxes@cvn.net). The Preparation Contractor shall measure each volume using an automated box measurer supplied by CMI. The measurer electronically transfers the dimensions of each box to an MS Access file, which the Contractor shall send by email to CMI. The Contractor shall also supply CMI with box label information, including author (monographs only), title, call number and volume/year (serials only). CMI will provide flat, unassembled boxes and sheets of pressure-sensitive author/title and call number labels. The Contractor shall assemble the boxes by folding along scored lines and fitting tabs into slots. The assembly process requires no tools or equipment. The Contractor shall affix the labels to the spine of the box and write "F" at the top of the spine in black ink to denote that the volume has been filmed. The Contractor shall charge out volumes being held for boxing in the circulation module and discharge them when boxing is complete and volumes are delivered to CMU. XVII. CHECKING IN RARE BOOKS Checking in of filmed volumes shall be done in the HMD reading room or other HMD work area by the Project Manager or other Contractor staff pre-approved by NLM. HMD will notify the Preparation Contractor when a rare book shipment is received. The Preparation Contractor shall unpack boxes, remove bubble wrap, and inventory each shipment of volumes. If there are any discrepancies between the shipping list and the volumes received, the Contractor shall notify the Filming Contractor and HMD of the problem immediately. The Contractor shall complete the following check in procedures for all volumes in a shipment within 5 working days of notification by HMD: 1. Remove all papers inserted in the volumes during collation and filming. 2. Replace call number slips, which were removed during collation, in the appropriate volumes. 3. Prepare new call number slips for volumes which have no call number slip or label using archival paper supplied by NLM. 4. Place the appropriate Description and Disposition form in each volume. Insert a flyer in each volume whose Description and Disposition form indicates that post-filming conservation work is required. 5. Deliver the truck of volumes to a location designated by the HMD Alternate Project Officer and notify the HMD Alternate Project Officer that check in is complete. XVIII. REJECTED SHIPMENTS A. Rejection procedure If NLM discovers error(s) in a shipment, NLM will delay acceptance of the entire shipment until all errors have been corrected. NLM will issue a rejection memo, describing the exact reason for the rejection and indicating who is at fault. When rejecting a reel for a preparation error or bibliographic filming error, NLM may give special instructions for how the error is to be corrected. If the Contractor disagrees with NLM's rejection, the Contractor shall bring the matter to the attention of the Project Officer. B. Rework For shipments containing rejected reels, only those reels, volumes, and preparation materials needed to correct errors will be returned to the Filming Contractor. The Preparation Contractor and Filming Contractor shall work together to determine exactly what is needed to perform the required refilming or reprinting. When performing rework, the Preparation Contractor shall follow all contract specification for original Preparation, unless NLM's rejection memo gives special instructions for dealing with the problem. The Contractor shall reevaluate all volumes being re-prepared for rework to determine if the volume now qualifies for referral to HMD because it has both an artifactual characteristic and is damaged or likely to be damaged (see SOW Part 1, X.A. HMD review of brittle volumes). The Contractor shall refer the item to HMD if HMD did not review it during the original preparation process. If a reel is rejected because of an error which involves a borrowed book, the Preparation Contractor will contact the Alternate Project Officer for instructions before beginning any re-collation work. C. Filming errors The Preparation Contractor may invoice for work performed to correct errors attributed by NLM to the Filming Contractor or NLM or for which no blame as been assigned, even though the Contractor has been paid for their original preparation work. Photocopies made during initial collation process and previously collated volumes which must be re-collated for rework purposes may be billed as rework pages. Photocopies made specifically for rework purposes may be invoiced as Task 4. Photocopies. (See Task 4. Rework Pages and Task 5. Photocopies in SOW Part 1, II.B. Task definitions.) D. Preparation errors The Preparation Contractor is responsible for all re-collation, photocopying, reel programming, record update, and other preparation activities required to correct errors attributed by NLM to the Preparation Contractor. The Contractor shall not bill NLM for such rework. XIX. UPDATING BIBLIOGRAPHIC RECORDS See Part 1. SOW Appendix C. Procedures for creating / updating holdings and item records and Appendix A. Examples 10 - 19. A. Microfilm Records There are 3 types of records in the Voyager cataloging module to be updated, bibliographic, holdings, and item records. The MARC bibliographic record shall be updated to reflect items which have been microfilmed. The 583 field, which show volumes queued for filming, shall be updated by deleting the volumes which have been filmed or shall be deleted entirely if all queued volumes have been filmed. A 533 field shall be created (or updated) to indicate volumes which have been filmed. The film number shall be entered in the 060 field for call numbers. A microfilm holdings record for the following shelving locations shall be created or updated: VAULTMF1 for archival reels that are in the process of being inspected; VAULTMF2 for print masters; MICROFORM COLLECTION for service copies, if any; and NUS for archival reels that have been inspected and accepted. For serials, holdings records include a summary statement of volumes filmed in the 866 field. For each holdings location piece-specific item records shall be created for each reel of film. For serials, item records shall be created or updated so as to have volumes display in descending order. 1. Before film is shipped For all shipments ( regular, rare, and rush), record update of the holdings and item records for VAULTMF1 and VAULTMF2 shall be completed before the shipment is sent to the Filming Contractor. 2. When film is received For all shipments, the holding record and item records for MICROFILM COLLECTION shall be completed within 1 week of the date on which the microfilm is received from the Filming Contractor. 3. When film is accepted When a film shipment is accepted by the Quality Assurance Unit, the Preparation Contractor shall update NLM's online catalog to change the location of archival reels from the temporary location VAULTMF1 to the permanent location NUS. For each accepted reel, NLM will supply a bar code number in either handwritten or bar code format. The Contractor shall enter the number in the bar code field in each item record by keying or wanding it in. This record updating shall be completed within 1 week of notification by QAU that a shipment has been accepted. The Preparation Contractor shall review all data entry for accuracy and completeness. The Contractor shall print each bibliographic and holdings record that has been created or updated as well as the "associated records" screens which list the newly created item records. The contractor shall run an Impromptu query (created by NLM) to produce a summary QC report of the Voyager records created or updated. The Contractor shall compare the printed Voyager records, the Voyager QC report, the previously produced tracking system data export QC report, and the reel contents targets. After identifying and correcting all errors and discrepancies the Contractor shall refer the corrected Voyager records and Voyager QC report, along with the reel contents targets and tracking system data export report, to the PCM Alternate Project Officer for review. The Contractor shall correct any errors found by the Alternate Project Officer and give copies of the corrected records to the Alternate Project Officer within 2 days. B. "Do Not Film" decisions "Do Not Film" decisions noted by HMD or BRU on the Description and Disposition form shall be recorded in the item record for the paper copy. If there is no item record for the paper copy, the Contractor shall create one. "Do not film" shall be entered in the item record's notes field and the statistical category "Do not film" shall be selected from a pull down menu. The Contractor shall delete the 583 field in the bibliographic record to indicate that the item is no longer queued for filming. At the end of each month, the Contractor shall generate a list of "Do not film" decisions from their tracking system and shall update and QC Voyager records by the 15th of the following month. The Contractor shall give the tracking system report and copies of the item records to the Alternate Project Officer for review and correct any errors found within 3 days. C. "Retain after filming" decisions "Retain after filming" decisions noted by HMD or BRU on the Description and Disposition form shall be recorded in the item record for the paper copy. If there is no item record for the paper copy, the Contractor shall create one. "Retain after filming" shall be entered in the item record's notes field and the statistical category "Retain after filming" shall be selected from a pull down menu. At the end of each month, the Contractor shall generate a list of "Retain" decisions from their tracking system and shall update and QC Voyager records by the 15th of the following month. The Contractor shall give the tracking system report and copies of the item records to the Alternate Project Officer for review and correct any errors found within 3 days. XX. QUALITY CONTROL BY THE CONTRACTOR Because the Contractor is responsible for accurately and thoroughly reviewing all work and for identifying and correcting all errors for which they are responsible, NLM expects that all work referred to NLM and all work shipped to the Filming Contractor will contain no errors. The Contractor shall inspect all tasks performed, including but not limited to the following: 1. Pulling, to ensure that items actually on the shelves are not reported as being in use or missing. 2. Searching for available film, to ensure that records of existing filming are identified and referred to NLM. 3. Collation, to ensure that all physical and bibliographic problems and anomalies are identified and addressed appropriately. 4. Photocopies, to ensure that needed copies are made, are as legible as possible, are properly stamped and labeled, and are in the correct order. 5. Foldouts, to ensure that they are properly prepared. 6. Targeting, to ensure that all needed targets are produced and that target information is accurate and free of grammatical and spelling errors. 7. Reel fullness, to ensure that reels are filled as full as possible according to the guidelines provided, but not over-full. 8. Reel programming, to ensure all requirements are met. 9. Check in, to ensure that all reels and volumes are returned by the Filming Contractor and that volumes are correctly sorted, prepared for reshelving, and delivered to the proper NLM Unit. 10. Record updates, to ensure all updates are complete and accurate. 11. Tracking of volumes and preparation decisions, to ensure that all necessary data is entered accurately and that lists generated from the tracking system are error-free. 12. Task completion dates, to ensure that all work is completed within the required time. 13. Monthly report data, to ensure that statistics are accurate. 14. Handling procedures, to ensure that NLM materials are not damaged. XXI. UNACCEPTABLE ERROR RATE NLM will judge the Contractor's quality control operations to be inadequate if the number of reels rejected by NLM due to Preparation Contractor errors exceeds 2% of the total number of reels inspected by NLM in a month. NLM will also judge the Contractor's quality control operations to be inadequate if number of volumes returned by FPU or the number of records returned by BRU for correction exceeds 5% of the total number of volumes/records referred to FPU/BRU that month. If this error rate repeatedly exceeds 5%, FPU and BRU will stop review of any truck of volumes or shipment's worth of updated records as soon as 5% of the volumes/records is discovered to contain errors. NLM will not complete its review of such batches of work, but instead will return them to the Contractor for more thorough review and correction of errors. XXII. REPORTS The Contractor shall submit a monthly report including a statistical summary (see below) and a narrative description of significant aspects of the work performed, such as problems anticipated or encountered, corrective actions proposed or taken, procedural changes, equipment changes, staffing changes, staff training completed, etc. The first monthly report shall cover activities from the beginning of the contract through the 25th of that month. The second monthly report shall cover activities from the 26th of first month through the 25th of the second month. All subsequent reports shall follow this pattern. The Contractor shall submit each monthly report to the Project Officer no later than noon on the last working day of the month. The Contractor shall mail copies of the monthly report on or before the fifth working day of the following month. For reporting purposes, all reel and volume counts shall be physical piece counts. Data reported for individual shipments shall be listed in order by shipment number. An invoice shall be submitted monthly and shall include tasks completed and shipping costs incurred between the 26th of a month through the 25th of the following month, as reported on the most recent monthly report. A. Monthly reports The statistical portion of the monthly report shall include the data listed below. Totals shall be given for the current month, year to date, and contract to date. 1. Work in progress - volumes referred to FPU - volumes returned by FPU - volumes referred to HMD - volumes returned by HMD - volumes referred to BRU - volumes returned by BRU 2. Shipments sent to Filming Contractor For each regular, rush, rare, and rework shipment: - pages - photocopies - foldouts - volumes - reels - service copies 3. Shipments received from Filming Contractor For each shipment received: - volumes - reels (archival only) - service copies 4. Cumulative totals for the current month, current year to date, and contract to date: - regular pages shipped (Task 1), (serials + monographs) - rush pages shipped (Task 2), (serials + monographs) - rare pages shipped (Task 3), (serials + monographs) - rework pages shipped (Task 4), (only those pages required to correct errors made by the Filming Contractor or NLM) - monograph pages shipped (regular + rush + rare) - serial pages shipped (regular + rush + rare) - monograph reels shipped (regular + rush + rare) - serial reels shipped (regular + rush + rare) - photocopies (Task 5) - foldouts (Task 6) - reels checked in (Task 7) - volumes checked in (Task 8) - monographs updated (Task 9) - serials updated (Task 10) - volumes boxed (Task 11) B. Annual reports The Contractor shall submit an annual report including a cumulative summary of statistics in the monthly reports and a narrative summary covering issues such as problems overcome, problems not yet resolved, and recommendations for ways to improve the accuracy, efficiency, or speed of any part of the microfilming project workflow. The first three annual reports are due within twenty calendar days after the completion of each 12 month contract period. The fourth annual report is due on or before the last day of the contract performance period. C. Final report and summary of major accomplishments The Contractor shall submit a final report of the work performed for the entire contract period on or before the last day of the contract performance period. The report shall contain cumulative totals of statistics included in the monthly reports and recommendations concerning methods to improve contract tasks. The Contractor shall submit, with the final report, a summary (not to exceed 200 words) of major accomplishments. XXIII. STANDARDS OF PERFORMANCE 1. All specifications and requirements in the Statement of Work are met. 2. Books and film flow smoothly between the preparation and filming work sites. a. Needed information is shared between staff at the preparation and filming work sites in a timely fashion. b. Routine questions are resolved without assistance from the Project Officer. 3. NLM is kept informed of problems; new procedures are approved by NLM before they are implemented. a. The Contractor identifies problems with current procedures or workflow and reports them promptly. b. The Contractor make thoughtful, well-informed suggestions for solving workflow and procedural problems. c. The Contractor makes every reasonable effort to resolve problems promptly so as to minimize the negative impact on NLM and NLM's other contractors. 4. Risk of damage to NLM books and film is reduced as much as possible. a. All Contractor staff who handle NLM materials receive regular and thorough training in proper care and handling techniques. b. All handling, storage, packing, and shipping procedures specified in the Statement of Work are followed at all times. c. Books likely to be damaged are referred to NLM immediately, unless NLM has given prior permission to proceed. 5. All books are prepared for filming according to the requirements in the Statement of Work. a. Unless instructed otherwise by NLM, each title referred for filming is carefully and thoroughly searched in RLIN, and titles not located in RLIN are searched in OCLC. b. NLM's procedures for locating volumes in the stacks are followed carefully so that items which are on the shelf are not reported to be unavailable for filming. c. Pulled volumes are correctly charged out in a timely manner. d. All bibliographic and physical problems and special characteristics are identified. e. Books are referred to NLM Units for preparation decisions and other actions when appropriate. f. Preparation decisions made by NLM staff about individual books are recorded, if required, and implemented. g. Targets created by the Preparation Contractor contain complete and accurate information. Targets are free from grammatical and spelling errors. Target information is truncated or abbreviated according to guidelines provided by NLM. h. Reel fullness is estimated accurately. Reel breaks are programmed so that bibliographic units are not split between two reels. I. Oversized volumes and volumes with small print are programmed for the appropriate reduction ratio. j. The Preparation Contractor ensures that all required book flyers are inserted at the proper locations and that all required preparation targets, photocopies, detached materials, Filmer Instruction forms, and other preparation paperwork is present and in the proper sequence so that books are camera-ready when received by the Filming Contractor. k. All data entered in NLM online files is complete and accurate. l. The Preparation Contractor's quality assurance procedures at each stage in the preparation process are adequate to ensure that all preparation errors are identified and corrected promptly. In particular, the Preparation Contractor reviews the completeness and accuracy of collation, check in, and file update work before referring materials to NLM and of targeting, flagging filmer instructions, and reel programming before shipping books to the Filming Contractor. 6. All tasks are completed on time, unless the Project Officer has approved an extension or a revised due date. 7. All notifications and reports contain the required information and are received by the Preparation Contractor or NLM on time. Revised 5/21/01 for contract award P:\psd\pressup\contracts\karen\prepsowfy01.wpd D:\ak\contract\prepsowfy01.wpd (Word Perfect 6.1)