Scope of Services & General Practices for Vendor Digitization

1. Overview and Operational Framework

This document establishes the standard operational framework for the digitization, metadata creation, text extraction, cataloging, quality control, and delivery of Library collection materials by external vendors. It covers a broad range of image-based formats and professional bibliographic services.

Services are authorized on a project-by-project basis through formal written scopes of work. This framework does not obligate the Library to authorize any specific project, service category, or volume of work. No project work shall begin until specific requirements, schedules, and quotes are approved in writing.

2. Authorized Material Categories

Vendors may be authorized to provide digitization and processing services for the following material categories:

• Microforms: 16mm and 35mm roll film, polyester and acetate film, microfiche, aperture cards, and related microform media.
• Bound Volumes: Books, rare books, periodicals, ledgers, scrapbooks, albums, and other bound or gathered formats.
• Flat Paper & Graphic Materials: Archival folders, loose correspondence, maps, posters, broadsides, oversized items, and related paper collections.
• Photographic Materials: Photographic prints, negatives, transparencies, slides, glass plate negatives, lantern slides, and related reflective or transmissive formats.
• Other Image-Based Materials: Additional specialized formats as defined in project-specific statements of work.

3. Project Workflow and Authorization

3.1 Quotes and Pricing

Before any project begins, the Vendor must provide a detailed written quote. Each quote must identify:

• Detailed project scope, material types, and estimated quantities
• Unit rates, estimated total cost, and not-to-exceed figures (where applicable)
• Required deliverables, project milestones, and estimated production schedule
• Metadata, cataloging, text extraction (OCR), and quality control requirements
• Shipping, handling, insurance, or specialized storage fees

3.2 Change Management

Any change in scope, quantity, technical specifications, handling requirements, cataloging rules, schedule, or cost requires written Library approval before the Vendor proceeds. The Vendor must immediately notify the Library of any discovered physical conditions, inventory discrepancies, or source material issues that impact project delivery.

3.3 Pilot and Test Batches

The Library may require the Vendor to complete a pilot or test batch prior to full production—especially for new material types, complex archival collections, fragile physical objects, or specialized OCR/cataloging workflows. Full production shall not proceed until the Library has reviewed and approved the pilot deliverables in writing.

4. Preservation Handling and Chain of Custody

4.1 Preservation Handling Protocols

Vendors must handle all cultural heritage materials according to institutional preservation standards and any project-specific instructions supplied by the Library.

• No destructive handling is permitted. Disbinding, cutting, trimming, flattening, cleaning, repair, rehousing, fastener removal, or removal from mounts/albums is strictly prohibited without explicit, prior written authorization from the Library.

4.2 Chain of Custody and Mandatory Reporting

The Vendor must maintain documented, end-to-end chain-of-custody tracking for all physical materials in its possession, recording receipt, storage location, production status, and return shipment.

Vendors must immediately halt work and report the following to the Library:

• Missing materials, barcode mismatches, or inventory discrepancies
• Damage discovered at intake or occurring during Vendor custody
• Active mold, pests, vinegar syndrome, or other hazardous/unstable conditions
• Brittle paper, broken glass plates, flaking emulsions, or severely damaged bindings
• Any material that cannot be digitized safely using standard equipment

5. Packaging, Transportation, and Logistics

When authorized by project scope, the Vendor must provide secure transport and on-site packing services that meet the following environmental and security thresholds:

5.1 Secure Transportation Requirements

• Climate & Environmental Control: Transit vehicles must feature functioning climate control systems to maintain stable temperatures (typically 60–70°F) and protect materials from extreme fluctuations. Cargo areas must be weather-tight and free of contaminants or pests.
• Shock & Vibration Mitigation: Vehicles must use air-ride suspension systems to minimize mechanical shock and vibration during transit.
• Security & Custody: Cargo areas must remain locked and alarmed at all times. Materials must never be left unattended in an insecure vehicle.
• Exclusive Use: Unless expressly authorized in writing, transit vehicles must be dedicated exclusively to Library materials; co-mingling collections with commercial freight or third-party cargo is strictly prohibited.

5.2 Handling and Packaging of Disbound Materials

If the Library grants explicit prior written approval to disbind a volume for capture, the Vendor must adhere to strict return packaging protocols:

1. Absolute Collation Retention: The exact original chronological and physical page order of the leaves must be maintained at all times. A final collation check is required prior to packing.
2. Preservation of Binding Elements: No part of the original object may be discarded. Original boards, spines, flyleaves, sewing threads, and fragments must be gathered in an archival envelope and housed directly alongside the text block.
3. Archival Enclosures: Disbound leaves must be placed into custom-fitted, acid-free, lignin-free four-flap enclosures (phase boxes) that pass the Photographic Activity Test (PAT). Leaves must fit snugly to prevent edge-crumpling.
4. Flat Packing: All enclosures containing disbound materials must be packed completely flat within transit cases. They must never be packed vertically (on edge), and heavy bound volumes must never be stacked on top of loose leaves.
5. Enclosure Labeling: Every enclosure must display the Library barcode, call number, bibliographic ID, and a prominent warning: DISBOUND FOR DIGITIZATION – LOOSE LEAVES.

6. Technical Specifications and Digital Organization

6.1 Technical Capture Standards

Digital files must be created in strict adherence to Library technical specifications, which define acceptable file formats, compression, optical resolution, bit depth, color space (ICC profiles), target usage, and quality thresholds (such as FADGI guidelines).

Vendors must maintain documented procedures for camera/scanner calibration, lighting uniformity, and color management. No substitution of file formats, compression settings, or image processing algorithms is permitted without written approval.

6.2 Text Extraction (OCR)

For text-based collections, project scopes may require optical character recognition (OCR) or structured text extraction. Depending on the project, deliverables may include:

• Searchable PDFs (must not be the sole OCR deliverable unless explicitly approved)
• Plain text (.txt) files
• Structured XML packages (ALTO XML, hOCR, or METS/ALTO)
• OCR confidence scoring and exception reporting for unreadable source text

6.3 Digital File Organization

Deliverables must strictly follow the file naming, zero-padding, and directory structures established by the Library. Vendors must maintain clear separation between preservation masters, production/service copies, access derivatives, OCR files, technical targets, and metadata manifests.

7. Metadata and Cataloging Services

7.1 Metadata Requirements

Vendors are required to generate and deliver structured metadata sufficient to support file validation, ingest, and discovery workflows. Required metadata typically includes:

• Identifiers: Barcodes, call numbers, bibliographic IDs, reel numbers, and frame numbers.
• Descriptive Metadata: Item titles, date ranges, chronology, enumeration, and language.
• Technical Metadata: Filenames, directory paths, file formats, pixel dimensions, bit depth, color space, and cryptographic checksums (MD5 algorithm preferred).
• Process Metadata: Capture dates, hardware/software specifications, operator IDs, and QC status.

7.2 Cataloging Standards

When providing bibliographic services, cataloging work must conform to institutional standards and project-specific cataloging rules (e.g., RDA, MARC21, LCSH, LCNAF, and local Library cataloging guidelines). Vendors must document all cataloging uncertainties, authority conflicts, and local exceptions for Library review.

8. Quality Control, Acceptance, and Rework

8.1 Vendor Quality Control (QC)

Vendors must perform 100% technical automated validation prior to delivery, verifying file presence, naming syntax, directory structure, sequence integrity, format specifications, and checksum completeness.

Vendors must also perform visual quality control (100% or statistical sampling as defined by project scope) to check for:

• Correct focus, exposure, and color/tone balance
• Proper cropping, skew correction, and orientation
• Absence of dust, Newton’s rings, glare, or physical obstructions
• Completeness of capture (no missing pages, clipped margins, or skipped frames)
• Correct polarity/inversion for transmissive negatives

8.2 Library Acceptance Review

Deliverables are not considered accepted until Library staff complete structural, technical, and visual reviews confirming that all digital files, metadata manifests, and returned physical materials conform to agreed specifications.

8.3 Error Correction and Rework

The Vendor must correct all vendor-responsible errors at no additional cost to the Library. Rework may require physical re-digitization, file replacement, metadata remediation, or manifest correction.

Common vendor-responsible errors include missing files, sequence gaps, corrupt data, incorrect file formatting, poor optical focus, cropped content, unauthorized post-processing, and checksum mismatches.

9. Deliverables and Order of Precedence

9.1 Standard Project Deliverables

Depending on the project scope, required deliverables typically include:

9.2 Order of Precedence

In the event of a conflict among project documentation, the following hierarchy applies unless explicitly waived in writing:

1. Approved project-specific Statement of Work, quote, or purchase order
2. This Scope of Services & Practices document
3. Library Digital Asset Specifications & Technical Appendices
4. Library-supplied metadata, cataloging, or handling instructions
5. Vendor-provided documentation or general service descriptions