1.02f PWS - DSpace Support.docx

Performance Work Statement DSpace Institutional Repository Support Services Dudley Knox Library Naval Postgraduate School

1.0 Background/Introduction:

The Naval Postgraduate School (NPS), located in Monterey, California, supports the U.S. Navy, other military branches, and foreign military services with postgraduate education for their personnel. Additionally, NPS provides significant research capabilities to the Department of Defense, Department of Homeland Security, and others. Dudley Knox Library (DKL) is the academic library at NPS and provides research scholarly content relevant to NPS instructional and research needs. Some of this content is housed and delivered via Calhoun, a centralized repository for the NPS scholarly record and archival materials.

The Naval Postgraduate School's Dudley Knox Library requires a Registered Duraspace Service Provider to provide software upgrades, customizations and maintenance for its DSpace-based institutional repository, Calhoun. (https://calhoun.nps.edu). Calhoun is built on DSpace open-source software loaded on internal NPS servers. Calhoun runs DSpace v.7.6 with customizations and integration with 3rd party services including handle server and backup of content into Internet Archive and AWS cloud storage. DKL has a second server that mirrors Calhoun for the purpose of testing batch ingests before they enter the Calhoun repository. Calhoun uses extended Dublin Core metadata, contains over 71,000 records; ingests at least 2,500 records per year; and has a history of 99.7% annual up time.

2.0 Scope:

The scope of this contract includes DSpace upgrades, configuration and dependency management, customizations, delivered and maintained modules, and technical support and monitoring.

3.0 Tasks:

3.1 Upgrades

The contractor shall support the ongoing lifecycle of the NPS DSpace-based institutional repository (Calhoun), ensuring that the platform remains secure, supported, and aligned with community best practices to include:

· Planning and execution of scheduled platform upgrades

· Coordination of upgrade activities across test and production environments

· Validation of repository functionality following upgrades

· Documentation and administrative handoff

· Upgrade readiness assessments, including dependency analysis and evaluation of impacts to existing customizations and reusable platform features prior to committing to a target release.

· Upgrade to the latest stable DSpace 9 Long-Term Support (LTS) release in 2027

· A subsequent major upgrade in or around 2029, version determination to be based on platform stability, community adoption, and NPS requirements.

During periods between major platform upgrades, the contractor shall support platform stability, configuration updates, dependency maintenance, and incremental improvements, as well as activities that reduce future upgrade risk and support evolving NPS priorities.

3.2 Configuration and Dependency Management

Ongoing configuration management to ensure compatibility with supported versions of underlying software components to include:

· Application configuration updates

· Dependency upgrades (e.g., Java, Tomcat, PostgreSQL, Solr)

· Security patching and configuration hardening.

3.3 Customizations

This task covers customizations and enhancements developed specifically for NPS workflows, policies, and repository use cases.

3.3.1 Repository Architecture and Data Modeling

Support for the evolution and maintenance of the repository’s organizational structure and metadata model to include:

· Maintenance and refinement of DSpace entity-based modeling

· Ongoing support for repository reorganization strategies

· Metadata schema adjustments and governance support.

3.3.2 Identity and Branding

Support for NPS-specific user experience and access requirements to include:

· Maintenance of NPS branding and theming

· Integration with NPS authentication and single sign-on (SSO) systems

3.3.3 Ingest, Submission, and Workflow Enhancements

Support for NPS-defined ingest, submission, and content management processes to include:

· Maintenance of batch ingest workflows (e.g., CSV + ZIP)

· Support for custom submission workflows and input forms

· Support for curation tasks and automated processing

· Workflow improvements driven by NPS operational need

3.3.4 Selective Exports

Search-based metadata and citation export functionality implemented as an NPS-specific customization to include:

· Search-driven export workflows

· Support for multiple output formats

3.3.5 Advanced Replication Task Suite (RTS)

Support for backup, replication, and restore of DSpace items implemented as an NPS-specific customization to include:

· Versioned replication of items and bitstreams

· Restore and recovery capabilities.

3.3.6 NPS-Specific Enhancement Workpackages

The following workpackages represent discrete, independently exercisable NPS-specific enhancements that have been implemented historically and may require ongoing maintenance, refinement, testing, or adaptation during the renewal period. Each workpackage may be scheduled, prioritized, deferred, or exercised independently by NPS during the contract period.

3.4 Modules

Modules are reusable platform components delivered and maintained across supported DSpace versions. Modules represent discrete, reusable software components delivered and maintained as part of the NPS DSpace platform.

3.4.1 Content and Usage Analysis (CUA) Module

Provides insight into repository usage and engagement to include:

· Collection and aggregation of usage metrics

· Item-level and repository-level analytics

· Reporting capabilities aligned with DSpace data models

· Ongoing compatibility with supported DSpace versions

3.5 Operational Support

3.5.1 Technical Support Services

The contractor shall provide ongoing operational support for the NPS DSpace platform to include:

· Incident response and troubleshooting

· Configuration and administrative assistance

· Support for upgrades, change requests, and feature analysis

3.5.2 Monitoring and Reporting

Support for proactive system monitoring and transparency to include:

· Automated monitoring of platform health

· Incident detection and response

· Periodic reporting on system performance and support activity.

3.5.3 Execution Support

The contractor shall provide project management, testing, coordination, and documentation support necessary to successfully execute the scope of work defined in this agreement to include:

· Day-to-day coordination and scheduling of work activities across upgrade, customization, and support efforts

· Support for testing and validation activities associated with upgrades and enhancement workpackages

· Preparation and maintenance of technical and administrative documentation related to delivered work

4.0 Deliverables:

5.0 Performance Requirements Summary:

Element Performance Requirement Surveillance Method Acceptable Quality Level

Project

If performance falls below the AQL defined above, the Contracting Officer’s Representative (COR) shall document the instance(s), coordinate with the Contracting Officer and advise the Contractor. The Contractor will be requested to review the documentation and provide a written response on how performance will be corrected in the future. Re-performance of any work for failure to perform in accordance with the specified AQL or task requirement shall be completed at the Contractor’s own expense and at no additional cost to the Government.

6.0 Minimum Technical Requirements:

6.1 Registered DSpace Service Provider

6.2 Expertise with management and support of DSpace v.7.6 (or higher) in a library setting

6.3 Expertise with Linux Enterprise Systems

6.4 Expertise with Handle.net

6.5 Web and Java server application expertise, i.e. NGINX, Tomcat, Apache

7.0 Period of Performance:

BASE: 9/15/26 – 9/14/27

OY1: 9/15/27 – 9/14/28

OY2: 9/15/28 – 9/14/29

OY3: 9/15/29 – 9/14/30

OY4: 9/15/30 – 9/14/31

8.0 Place of Performance:

All work shall be conducted remotely from the contractor’s place of business.

9.0 Government Furnished Property:

Not applicable.

10.0 Work Week and Hours of Operation:

The Contractor shall provide services during normal working hours excluding federal holidays. Normal working hours are 0700-1700 Pacific Time, Monday through Friday, unless requirements dictate otherwise. Exceptions can be permitted by the TPOC upon request and at the TPOC’s discretion.

Following is a list of holidays observed by the Government.

If any of the above holidays occur on a Saturday or a Sunday, then such holiday shall be observed by the Contractor in accordance with the practice as observed by the assigned Government employees at the using activity

11.0 Transition Activities:

It is essential to the Government that services required under this PWS are performed without interruption. At the conclusion of any performance period, including option periods or extensions, the services provided under this PWS may be awarded to another contractor. The contractor in place shall be required to assist in the transition activities.

12.0 Security Requirements:

Must have a favorably adjudicated T3 security investigation.

This requirement is unclassified. Contractor Key Personnel must be U.S. Citizens. Contractors performing on this contract are required to familiarize themselves with, and participate in, the Naval Postgraduate School’s OPSEC program. Must be familiar with and comply with NAVPGSCOLINST 3432.1B, the NPS Critical Information List, DoDI 5205.2E and their applicable references. The contractor will be required to complete OPSEC and intelligence training within 30 days of beginning the work or provide proof of OPSEC and counterintelligence training completed within the previous 12 months. The contractor may not publicly release any information about developmental work or curriculum at NPS without prior written approval from the Preliminary Investigator (PI).

13.0 Identification of Contractor Employees:

In accordance with DFAR 211.106, there shall be a clear distinction between Government employees and service contractor employees. Service contractor employees shall identify themselves as contractor personnel by introducing themselves or being introduced as contractor personnel. Contractor personnel will be required to obtain and wear badges or other visible identification for meetings with Government personnel to provide a clear distinction between service contractor employees and Government personnel. In addition, contractor personnel shall appropriately identify themselves as contractor employees in telephone conversations and in formal and informal written correspondence. They must also ensure that all documents or reports produced by contractors are suitably marked as contractor products or that contractor participation is appropriately disclosed.

14.0 Non-Personal Services Statement:

Contractor employees performing services under this order will be controlled, directed, and supervised at all times by management personnel of the contractor. Contractor management will insure that employees properly comply with the performance work standards outlined in the PWS. Contractor employees will perform their duties independent of, and without the supervision of, any Government official or other Defense Contractor. The tasks, duties, and responsibilities set forth in the task order may not be interpreted or implemented in any manner that results in any contractor employee creating or modifying Federal policy, obligating the appropriated funds of the United States Government, overseeing the work of Federal employees, or otherwise violating the prohibitions set forth in Parts 7.5 and 37.1 of the Federal Acquisition Regulation (FAR). The Government will control access to the facility and will perform the inspection and acceptance of the completed work.

15.0 SUPTXT 204-9400 (4-22) CONTRACTOR UNCLASSIFIED ACCESS TO FEDERALLY CONTROLLED FACILITIES, SENSITIVE INFORMATION, INFORMATION TECHNOLOGY SYSTEMS OR PROTECTED HEALTH INFORMATION The following shall be inserted in full text in all solicitations and contracts (including commercial acquisitions) which require contractor unclassified access to federally controlled facilities, sensitive information, Information Technology (IT) systems or protected health information. For commercial acquisitions, this text shall be incorporated into either the PWS or PWS.

The security text does not apply in cases where the contractor/vendor does not have access to Navy Marine Corps Intranet (NMCI) computers, is not issued a Common Access Card (CAC) and is involved in training or other short term duties of less than 30 days’ duration that allow for the use of a visitor request. In these cases, the government employee must submit a Visitor Access Request (VAR) to the main gate or applicable processing entity for your facility and assume responsibility to escort those without CAC Credentials.

This local text does not apply to non-United States (U.S.) Nationals (foreign nationals) who are contactor employees performing work overseas. The local text is applicable to the U.S. Nationals living in the U.S. or overseas who are performing work on a Navy contract.

The investigation of a non-U.S. national at a foreign location must be consistent with a National Agency Check with Written Inquiries (NACI), to the extent possible and include a fingerprint check against the Federal Bureau of Investigation (FBI) criminal history database, an FBI investigations file (name check) search and a name check against the terrorist screening database. Also, the above cited reference notes that Foreign Nationals may not be granted CAC credentials until completion of their investigation and not in the interim.

Per Department of Defense Memorandum (DoDM) 5200.2, Department of Defense (DoD) components must initiate and ensure completion of a background investigation before applying the credentialing standards to a non-U.S. national at a foreign location. The background investigation must be favorably adjudicated before a CAC can be issued to a non-U.S. national at a foreign location. The type of background investigation may vary based on standing reciprocity treaties concerning identity assurance and information exchanges that exist between the U.S. and its allies or agency agreements with the host country.

CONTRACTOR UNCLASSIFIED ACCESS TO FEDERALLY CONTROLLED FACILITIES, SENSITIVE INFORMATION, IT SYSTEMS OR PROTECTED HEALTH INFORMATION Executive Order 13467, Reforming Processes Related to Suitability for Government Employee, Fitness for Contractor Employees and Eligibility for Access to Classified National Security Information, Homeland Security Presidential Directive (HSPD)-12, requires government agencies to develop and implement Federal security standards for Federal employees and contractors. The 5 CFR 32 Part 157 in concert with DoD Manual 1000.13, Vol 1, implements the Federal Standards.

APPLICABILITY

This text applies to all DoD sponsored individuals who require CAC eligibility (or login and P/W if acceptable per contract) for: Physical access to DoD facilities or non-DoD facilities on behalf of DoD; Logical access to information systems (whether on site or remotely); or remote access to DoD networks that use only the CAC logon for user authentication, or access to sensitive and protected information. This applies to the Office of the Secretary of Defense (OSD), the Military Departments, the Office of the Chairman of the Joint Chiefs of Staff and the Joint Staff, the Combatant Commands, the Office of the Inspector General of the DoD, the Defense Agencies, the DoD Field Activities and all other organizational entities within the DoD (hereinafter referred to collectively as the "DoD Components").

Each contractor employee providing services at a Navy command under this contract is required to obtain a DoD CAC. Additionally, depending on the level of computer/network access, the contract employee will require a successful investigation as detailed below.

ACCESS TO FEDERAL FACILITIES

Per HSPD-12 and implementing guidance, all contractor employees working at a federally controlled base, facility or activity under this clause will require a DoD DBIDS card. When access to a base, facility or activity is required contractor employees shall in-process with the Command's Security Manager (CSM) upon arrival to the command and shall out-process prior to their departure at the completion of the individual's performance under the contract.

START-UP PERIOD

All contractor resource onboarding documents must be submitted via the prime contractor. The prime contractor shall make all necessary preparations to assume full responsibility for productive performance as of the performance start date.

Definition of "productive":

a. Visit Authorization Request (VAR)

b. Contractor Information Sheet (CIS)

c. FD-258 Fingerprint Card

d. Completed Electronic Investigation (EQIP)

e. All contractor resource(s) must have an active Joint Personnel Adjudication System (JPAS) profile

f. DBIDS Card Note (1): Invoicing by the contractor will begin as of the commencement of the performance period of services and no reimbursement will be paid by the government for efforts expended during the start-up period.

Note (2): Foreign Nationals are not allowed access to the functional/system side of Enterprise Resource Planning (ERP).

ACCESS TO DOD INFORMATION TECHNOLOGY (IT) SYSTEM

In Accordance With (IAW) Secretary of the Navy (SECNAV) M-5510.30, contractor employees who require access to Department of the Navy (DoN) or DoD networks are categorized as IT-I, IT-II, or IT-III. The IT-II level, defined in detail in SECNAV M-5510.30, includes positions which require access to sensitive information. Sensitive information includes information protected under the Privacy Act, to include PHI. All contractor employees under this contract who require access to Privacy Act protected information are therefore categorized no lower than IT-II. IT Levels are determined by the requiring activity's Command Information System Security Manager (ISSM)/Information Assurance Manager (IAM).

Contractor employees requiring privileged or IT-I level access, (when specified by the terms of the contract) require a Single Scope Background Investigation (SSBI) or T5 or T5R equivalent investigation, which is a higher level investigation than the National Agency Check (NAC) with Law and Credit (NACLC)/T3/T3R described below. Due to the privileged system access, an investigation suitable for High Risk national security positions is required. Individuals who have access to system control, monitoring, or administration functions (e.g. system administrator, database administrator) require training and certification to Information Assurance (IA) Technical Level 1, and must be trained and certified on the Operating System (OS) or Computing Environment (CE) they are required to maintain.

Access to sensitive IT systems is contingent upon a favorably adjudicated background investigation. When access to IT systems is required for performance of the contractor employee's duties, such employees shall in-process with the Navy CSM and ISSM/IAM manager upon arrival to the Navy command and shall out-process prior to their departure at the completion of the individual's performance under the contract. Completion and approval of a System Authorization Access Request Navy (SAAR-N) form is required for all individuals accessing Navy IT resources. The decision to authorize access to a government IT system/network is inherently governmental. The contractor supervisor is not authorized to sign the SAAR-N; therefore, the government employee with knowledge of the system/network access required or the Contracting Officers Representative (COR) shall sign the SAAR-N as the supervisor.

The SAAR-N shall be forwarded to the CSM at least thirty (30) days prior to the individual's start date. Failure to provide the required documentation at least thirty (30) days prior to the individual's start date may result in delaying the individual's start date.

When required to maintain access to required IT systems or networks, the contractor shall ensure that all employees requiring access complete annual Cyber Awareness training, and maintain a current requisite background investigation. The contractor's security representative shall contact the CSM for guidance when reinvestigations are required.

INTERIM ACCESS

The CSM may authorize issuance of a DoD CAC and interim access to a DoN or DoD unclassified computer/network upon a favorable review of the investigative questionnaire and advance favorable fingerprint results. When the results of the investigation are received and a favorable determination is not made, the contractor employee working on the contract under interim access will be denied access to the computer network and this denial will not relieve the contractor of his/her responsibility to perform.

DENIAL OR TERMINATION OF ACCESS

The potential consequences of any requirement under this clause including denial or termination of physical or system access in no way relieves the contractor from the requirement to execute performance under the contract within the timeframes specified in the contract. Contractors shall plan ahead in processing their employees and subcontractor employees. The contractor shall insert this clause in all subcontracts when the subcontractor is permitted to have unclassified access to a federally controlled facility, federally-controlled information system/network and/or to government information, meaning information not authorized for public release.

CONTRACTOR'S SECURITY REPRESENTATIVE

The contractor shall designate an employee to serve as the contractor's security representative. Within three (3) work days after contract award, the contractor shall provide to the requiring activity's Security Manager and the Contracting Officer, in writing, the name, title, address and phone number for the contractor's security representative. The contractor's security representative shall be the primary point of contact on any security matter. The contractor's security representative shall not be replaced or removed without prior notice to the Contracting Officer and CSM.

BACKGROUND INVESTIGATION REQUIREMENTS AND SECURITY APPROVAL PROCESS FOR CONTRACTORS ASSIGNED TO NATIONAL SECURITY POSITIONS OR PERFORMING SENSITIVE DUTIES Navy security policy requires that all positions be given a sensitivity value based on level of risk factors to ensure appropriate protective measures are applied. Contractor employees under this contract are recognized as Non-Critical Sensitive [ADP/IT-II] positions when the contract scope of work require physical access to a federally controlled base, facility or activity and/or requiring access to a DoD computer/network, to perform unclassified sensitive duties. This designation is also applied to contractor employees who access Privacy Act and PHI, provide support associated with fiduciary duties, or perform duties that have been identified as National Security Positions. At a minimum, each contractor employee must be a US citizen and have a favorably completed NACLC or T3 or T3R equivalent investigation to obtain a favorable determination for assignment to a non-critical sensitive or IT-II position. The investigation consists of a standard NAC and a FBI fingerprint check plus law enforcement checks and credit check. Each contractor employee filling a non-critical sensitive or IT-II position is required to complete:

· SF-86 Questionnaire for National Security Positions (or equivalent Office of Personnel Management (OPM) investigative product)

· Two FD-258 Applicant Fingerprint Cards (or an electronic fingerprint submission

· Original Signed Release Statements Failure to provide the required documentation at least thirty (30) days prior to the individual's start date shall result in delaying the individual's start date. Background investigations shall be reinitiated as required to ensure investigations remain current (not older than ten (10) years) throughout the contract performance period. The contractor's security representative shall contact the CSM for guidance when reinvestigations are required.

Regardless of their duties or IT access requirements ALL contractor employees shall in-process with the CSM upon arrival to the command and shall out-process prior to their departure at the completion of the individual's performance under the contract. Employees requiring IT access shall also check-in and check-out with the Navy command's ISSM/IAM. Completion and approval of a SAAR-N form is required for all individuals accessing Navy IT resources. The SAAR-N shall be forwarded to the Navy CSM at least thirty (30) days prior to the individual's start date. Failure to provide the required documentation at least thirty (30) days prior to the individual's start date shall result in delaying the individual's start date.

The contractor shall ensure that each contract employee requiring access to IT systems or networks complete annual Cyber Awareness training and maintain a current requisite background investigation. Contractor employees shall accurately complete the required investigative forms prior to submission to the CSM. The CSM will review the submitted documentation for completeness prior to submitting it to the OPM; Potential suitability or security issues identified may render the contractor employee ineligible for the assignment. An unfavorable determination is final (subject to SF-86 appeal procedures) and such a determination does not relieve the contractor from meeting any contractual obligation under the contract. The CSM will forward the required forms to OPM for processing. Once the investigation is complete, the results will be forwarded by OPM to the DoD Central Adjudication Facility (CAF) for a determination.

If the contractor employee already possesses a current favorably adjudicated investigation, the contractor shall submit a VAR via the JPAS or a hard copy VAR directly from the contractor's security representative. Although the contractor will take JPAS owning role over the contractor employee, the Navy command will take JPAS "Servicing" role over the contractor employee during the hiring process and for the duration of assignment under that contract. The contractor shall include the IT position category per SECNAV M-5510.30 for each employee designated on a VAR. The VAR requires annual renewal for the duration of the employee's performance under the contract.

BACKGROUND INVESTIGATION REQUIREMENTS AND SECURITY APPROVAL PROCESS FOR CONTRACTORS ASSIGNED TO OR PERFORMING NON-SENSITIVE DUTIES Contractor employee whose work is unclassified and non-sensitive (e.g., performing certain duties such as lawn maintenance, vendor services, etc...) and who require physical access to publicly accessible areas to perform those duties shall meet the following minimum requirements.

· Must be either a U.S. citizen or a U.S. permanent resident with a minimum of 3 years of legal residency in the U.S. (as required by the Deputy Secretary of Defense DTM 08-006 or its subsequent DoD Instruction (INST)) and

· Must have a favorably completed NACI or T1 investigation equivalent including a FBI fingerprint check prior to installation access.

To be considered for a favorable trustworthiness determination, the CSR must submit for all employees each of the following:

· SF-85 Questionnaire for Non-Sensitive Positions

· Two FD-258 Applicant Fingerprint Cards (or an electronic fingerprint submission)

· Original Signed Release Statements The contractor shall ensure each individual employee has a current favorably completed NACI or T1 equivalent investigation or ensure successful FBI fingerprint results have been gained and investigation has been processed with OPM.

Failure to provide the required documentation at least thirty (30) days prior to the individual's start date may result in delaying the individual's start date.

* Consult with your CSM and ISSM/IAM for local policy when IT-III (non-sensitive) access is required for non-U.S. citizens outside the U.S. * **Alternative language which may be included as appropriate:

Contractor and all Contractor personnel with access to or responsibility for XXXXXX of this contract shall comply with DoD Directive 8500.1E IA, DoDI 8510.01 Risk Management Framework (RMF) for DoD IT, DoD Directive 5400.11 DoD Privacy Program, DoD 5200.2-R Personnel Security Program and HSPD 12.

X.1 Be CAC ready at the IT Level II prior to reporting for work.

X.2 At minimum, all contractor personnel must possess/maintain a favorable Tier 3 investigation; formerly a NAC with Local Agency Check and Credit Check (NACLC). This requirement is critical in order to access the data base systems within NAVSUP. It is Contracting Companies; responsibility to ensure that 100% of the contractors have the Tier 3 investigation/IT Level II. In addition, interim approval of clearances is not authorized.

X.3 Be citizens of the U.S.

X.4 If at any time, any contractor person requiring a CAC is unable to possess/maintain an adjudicated Tier 3 investigation, the contractor shall immediately notify the NAVSUP COR to coordinate removal of such a person from work under this contract.

X.5 Contractor personnel with access to or responsibility for nonpublic government data under this contract must comply with HSPD-12 Personal Identity Verification (PIV) issuance requirements, known as the CAC for NAVSUP.

16.0 POINTS OF CONTACT:

NPS Administrative POC: Geoffrey Barnes, Administrative & Program Specialist, gwbarnes@nps.edu

NPS Technical POC: Stacy DeMatteo, Supervisory Librarian, 831-656-7708, scdematt@nps.edu

NPS POC for Deliverables: TPOC

NPS Financial POC: Laura Barnes, Financial Management Analyst, Lorene.barnes@nps.edu, 831-656-2984