Attachment_A_-_Performance_Work_Statement.pdf

Performance Work Statement

(PWS)

Biomedical Journal Digitization Project

National Institutes of Health National Library of Medicine

Performance Work Statement

Biomedical Journal Digitization Project

Part 1

General Information

1. GENERAL:

This is a non-personnel services contract to provide article level historical journal scanning and XML (Extensible Markup Language) preparation for the National Library of Medicine’s (NLM’s) Biomedical Journal Digitization Project. The Government shall not exercise any supervision or control over the contract service providers performing the services herein. Such contract service providers shall be accountable solely to the Contractor who, in turn is responsible to the Government.

1.1 Description of Services/Introduction: The Contractor shall provide all personnel, equipment, supplies, facilities, transportation, tools, materials, supervision, and other items and non-personal services necessary to perform article level historical journal scanning and XML preparation for NLM’s Biomedical Journal Digitization Project as defined in this Performance Work Statement except for those items specified as government furnished property and services. The Contractor shall perform to the standards set in this contract.

1.2 Background:

The purpose of the project is to perform archival-quality, non-destructive scanning and digitization of an identified set of biomedical journals from their earliest date of publication forward to a specified end date. The digitized content will be added to the National Library of Medicine’s (NLM) PubMed Central database, a digital archive of life sciences journal literature, developed and managed by the National Center for Biotechnology Information (NCBI) at the National Library of Medicine. NLM has been working on this effort in some capacity since 2002.

The project will initially comprise approximately 250,000 pages, but may extend in phases to 1.8 million pages or more. The scope of the project is to scan bound volumes in varying condition from NLM's own collections, produce bibliographic citation data (NISO JATS XML) at the article level, produce full article text (unedited, ASCII OCR), create Section 508-compliant, article-level PDF /A-2b files, and produce archival-quality full page images of each page (TIFF) and each significant figure.

Performance Work Statement

The mission of NLM is to collect, preserve, and disseminate biomedical information. To support its mission, the Library has assembled one of the largest collections of biomedical literature in the world and continues to collect in some forty biomedical areas. NLM digitally reformats older print collection materials to preserve them and make them accessible to the public. The Contractor’s work will support this activity.

The journals selected for this project were primarily published in the 19th century. In most instances the volume to be scanned is the Library’s only copy. Many of the publications are rare and volumes may be irreplaceable. Some materials are in poor and/or fragile condition, including brittle paper, loose pages, detached covers and broken bindings. It is essential that all materials be handled with extreme care and that scanning results in no further damage. The source material must remain in the continental U.S.

1.3 Objectives:

The basic objectives of the digitization project are to produce a "cover-to-cover" facsimile of original journal issues to add to an existing full-text and fully-searchable archive.

1.3.1 Provide archival-quality scanning of bound volumes in varying physical condition in a non-destructive manner; digitizing and metadata creation

1.3.2 The specifications require identification and delivery of the following page-image categories for each issue:

o original table of contents o original issue cover o administrative material o advertisements o all article types (i.e., editorials, corrections, book reviews, research articles, letters, etc., as defined in Attachment 4/Technical Exhibit 4, Section 2.6.5.1).

1.3.3 Identification and capture of the article citation metadata in NISO JATS XML (See Attachment 4/Technical Exhibit 4, “Image Specifications and Functional Requirements for Content Capture”, Sections 5 and 6).

1.3.4 In addition to the citation capture, each article is to be delivered with a package of files consisting of o a scanned image, 400-dpi 24-bit color LZW in TIFF format, for every page in the source material

Performance Work Statement o an ASCII, unedited, optical character recognition (OCR) text file used to build indexes for full-text searching o cropped TIFF images (400-dpi 24-bit color LZW) for all significant figures and illustrations are scanned separately to be displayed for high-resolution viewing o Section 508-compliant PDF/A-2b file including all article pages and the embedded OCR text.

1.4 Scope: The services to be performed are listed below. The Contractor shall accomplish all steps.

A summary of steps 1.4.1-1.4.10 is provided in the Performance Work Statement, Part 5 Specific Tasks, with references to Attachment4/Technical Exhibit 4, “Image Specifications and Functional Requirements for Content Capture”, Version 2.0, January 2018. Other sections of Attachment4/Technical Exhibit 4 may be relevant and the Contractor is expected to have a thorough understanding of all technical requirements for the project.

1.4.1 Pick up of materials in batched shipments from the customer.

1.4.2 Verify the shipment contents against the customer-supplied packing list and ensure that every volume and issue is present.

1.4.3 Prepare an inventory of the customer-supplied source material.

1.4.4 Scan each journal page on a high-quality, industry standard scanner to produce a 400-dpi 24-bit color TIFF.

1.4.5 Create a separate directory for each article that contains all the associated files for the article.

1.4.6 Create an OCR’ed ASCII text file for each article.

1.4.7 Create a Section 508-compliant PDF/A-2b file for each article.

1.4.8 Create XML files for each article.

1.4.9 Deliver all files to the Customer by FTP, organized by journal/volume/issue/article.

1.4.10 Rework: Batches that have been delivered to the customer that are rejected due to quality issues will be rescanned and re-delivered by the Contractor without charge.

1.4.11 The Contractor shall maintain an effective quality control program.

1.4.12 The Contractor shall submit a monthly report including a cumulative summary of statistics indicating the status of scanned volumes/batches.

Performance Work Statement

1.4.13 The Contractor shall submit a final report of the work performed for the entire contract period.

1.5 General Information

1.5.1 Quality Control: The Contractor shall develop and maintain an effective quality control program to ensure services are performed in accordance with this PWS. The Contractor shall develop and implement procedures to identify, prevent, and ensure non-recurrence of defective services. The Contractor’s Quality Control Program (QCP) designed to ensure that the work performed complies with the requirements of the contract and shall be submitted with the Contractor’s proposal. One electronic copy of the comprehensive written QCP shall be submitted to the Contracting Officer (CO) and Contracting Officer’s Representative (COR) within five (5) business days, when changes are made thereafter. After acceptance of the QCP, the Contractor shall receive the Contracting Officer’s acceptance in writing of any proposed change to his quality control system.

1.5.2 Quality Assurance: The government shall evaluate the Contractor’s performance under this contract in accordance with the Quality Assurance Surveillance Plan (QASP). See Attachment B for QASP. This plan is primarily focused on what the Government must do to ensure that the Contractor has performed in accordance with the performance standards. It defines how the performance standards will be applied, the frequency of surveillance, and the minimum acceptable defect rate(s).

1.5.3 Recognized Holidays: The National Library of Medicine is closed on federal holidays established by the Office of Personnel Management. FTP deliveries to NLM and technical inquiries should be scheduled for the next business day.

1.5.4 Place of Performance: The work to be performed under this contract will be performed at the Contractor’s facility.

1.6.5 Type of Contract: The government will award a single award performance based IDIQ with incentives and issue task orders off of the master IDIQ. Task Orders will be based on estimated number of pages.

1.6.6 Physical Security: The Contractor shall be responsible for safeguarding all government equipment, information, and property provided for Contractor use.

1.6.7 Special Qualifications: None.

1.6.8 Post Award Conference/Periodic Progress Meetings: The Contractor agrees to attend any post award conference convened by the contracting activity or contract administration office in accordance with Federal Acquisition Regulation Subpart 42.5. The COR and other Government personnel, as appropriate, may meet periodically with the Contractor to review the Contractor's performance. At these meetings the Contracting Officer and/or the Contracting Officer’s Representative will inform the Contractor of how the government views the Contractor's performance and the Contractor will inform the Government of problems, if any, being experienced. Appropriate action shall be taken to resolve outstanding issues. These meetings shall be at no additional cost to the government.

Performance Work Statement

1.6.9 Contracting Officer’s Representative: The COR will be identified by separate letter. The COR monitors all technical aspects of the contract and assists in contract administration. The COR is authorized to perform the following functions:

Assure that the Contractor performs the technical requirements of the contract.

Perform random quality assurance inspections on deliverables as necessary in connection with contract performance.

Maintain written and oral communications with the Contractor concerning technical aspects of the contract.

Issue written interpretations of technical requirements.

Monitor Contractor's performance and notifies both the Contracting Officer and

Contractor of any deficiencies.

Coordinate availability of government furnished property.

A letter of designation issued to the COR, a copy of which is sent to the Contractor, states the responsibilities and limitations of the COR, especially with regards to changes in cost or price.

The COR is not authorized to change any of the terms and conditions of the contract.

1.6.10 Key Personnel: The following personnel are considered key personnel by the government:

Project Manager. The Contractor shall provide a Project Manager who shall be responsible for the performance of the work and serve as a primary point of contact between NLM and the Contractor. The name of this person and an alternate who shall act for the Contractor when the manager is absent shall be designated in writing to the Contracting Officer and in the contract.

The Project Manager or alternate shall have full authority to act for the Contractor on all contract matters relating to daily operation of this contract. The Project manager or alternate shall be available between 8:00 a.m. to 4:30 p.m., Monday thru Friday except Federal holidays or when the government facility is closed for administrative reasons. Qualifications for all key personnel are listed below:

The Project Manager should have at least three years of recent experience in managing library digitization projects. In addition, the Project Manager shall have at least three years supervisory or project management experience. The COR has the right to evaluate and approve key staff assigned to work on this contract. The COR must be notified of and approve all changes in staffing after the award. If the Project Manager leaves the project, then their replacement shall be onboard within two (2) weeks or a bi-laterally agreed upon timeframe.

When key personnel are used as an evaluation factor in best value procurement, an offer can be rejected if it does not have a firm commitment from the persons that are listed in the proposal.

1.6.11 Identification of Contractor Employees: All contract personnel attending meetings, where their contractor status is not obvious to third parties are required to identify themselves as such to avoid creating an impression in the minds of members of the public that they are Government officials. They must also ensure that all documents or reports produced by

Performance Work Statement contractors are suitably marked as contractor products or that contractor participation is appropriately disclosed.

1.6.12 Data Rights: The Government has unlimited rights to all documents/material produced under this contract. All documents and materials produced under this contract shall be Government owned and are the property of the Government with all rights and privileges of ownership/copyright belonging exclusively to the Government. These documents and materials may not be used or sold by the Contractor without written permission from the Contracting Officer. All materials supplied to the Government shall be the sole property of the Government and may not be used for any other purpose. The Contractor shall not retain a copy (in any form) of the scanned images once the three months retention period is over. NLM shall be the sole owner of the images and files produced under this contract. This right does not abrogate any other Government rights.

1.6.12.1 Retention Period for Electronic Archive. NLM expects the Contractor to retain all electronic files created for the project for a period of three months after the final acceptance of each batch.

1.6.13 PHASE IN PERIOD: NLM plans for a period of six months at the beginning of the contract for both parties to test, improve, and possibly change technical requirements. Contractor deliveries made during this time that do not meet quality standards will be accepted without penalty and will be paid for, although the Contractor will be expected to re-work them until they meet NLM’s quality expectations. After the initial six-month period is over, NLM will determine whether an additional six months pilot period is needed to improve any technical requirements that are not being achieved. After the pilot period is over, NLM will expect the Contractor to routinely meet quality specifications, and re-work batches without charge.

If the incumbent Contractor is awarded the contract, then the “Phase in Period” will be shortened to three months.

Performance Work Statement

PART 2

DEFINITIONS & ACRONYMS

2. DEFINITIONS AND ACRONYMS:

2.1. DEFINITIONS:

2.1.1. CONTRACTOR. A supplier or vendor awarded a contract to provide specific supplies or service to the government. The term used in this contract refers to the prime and any of its subcontractors performing work for the prime on this contract.

2.1.2. CONTRACTING OFFICER (CO). An employee of the U.S. Government with authority to enter into, administer, and or terminate contracts, and make related determinations and findings on behalf of the government. Note: The only individual who can legally bind the government.

2.1.3. CONTRACTING OFFICER'S REPRESENTATIVE (COR). An employee of the U.S.

Government appointed by the contracting officer to administer the contract. Such appointment shall be in writing and shall state the scope of authority and limitations. This individual has authority to provide technical direction to the Contractor as long as that direction is within the scope of the contract, does not constitute a change, and has no funding implications. This individual does NOT have authority to change the terms and conditions of the contract.

2.1.4. DELIVERABLE. Anything that can be physically delivered but may include non-manufactured things such as meeting minutes or reports.

2.1.5. KEY PERSONNEL. Contractor personnel that are evaluated in a source selection process and that may be required to be used in the performance of a contract. The roles and responsibilities, as well as, details of replacing key personnel are outlined in PWS.

2.1.6. PHYSICAL SECURITY. Actions that prevent the loss/damage of Government property.

2.1.7. QUALITY ASSURANCE. The government procedures to verify that services being performed by the Contractor are performed according to acceptable standards.

2.1.8. QUALITY ASSURANCE SURVEILLANCE PLAN (QASP). An organized, written document specifying the surveillance methodology to be used for surveillance of contractor performance.

Performance Work Statement

2.1.9. QUALITY CONTROL. All necessary measures taken by the Contractor to assure that the quality of an end product or service meet contract requirements.

2.1.10. SUBCONTRACTOR. One that enters into a contract with a prime contractor. The Government does not have privity of contract with the subcontractor.

2.1.11. WORK DAY. The range of hours per day the Contractor provides services in accordance with the contract.

2.1.12. WORK WEEK. Monday through Friday, unless specified otherwise.

2.2. ACRONYMS:

ASCII American Standard Code for Information Interchange

CO Contracting Officer

CONUS Continental United States (excludes Alaska and Hawaii)

COR Contracting Officer Representative

COTS Commercial-Off-the-Shelf

DPI Dots per Inch

DTD Document Type Definition

FAR

Federal Acquisition Regulation

FTP

File Transfer Protocol

HHS

Health and Human Services

HHSAR

HHS Acquisition Regulation

JATS

Journal Article Tag Suite

LZW

Lempel-Ziv-Welch lossless data compression

NCBI

National Center Biotechnology Information

NIH

National Institutes of Health

NISO

National Information Standards Organization

Performance Work Statement

OCR Optical Character Recognition

PDF Portable Document Format

POC Point of Contact

PMC PubMed Central

PRS Performance Requirements Summary

PWS Performance Work Statement

QA Quality Assurance

QASP Quality Assurance Surveillance Plan

QC Quality Control

QCP Quality Control Program

TE Technical Exhibit

TIFF Tagged Image File Format

XML Extensible Markup Language

Performance Work Statement

PART 3

GOVERNMENT FURNISHED PROPERTY, EQUIPMENT, AND

SERVICES

3. GOVERNMENT FURNISHED ITEMS AND SERVICES:

3.1 Materials: The Government will provide the items below:

3.1.1 A detailed, written document that describes the image specifications and functional requirements for content capture.

3.1.2 The source material provided for scanning will be original hard-copy journals. Most of them will be bound with hard covers, though some of them may be single issues with soft covers.

3.1.3 Journal Style Guides containing individual instructions for each journal title.

3.1.4 A packing list describing the contents of each shipment.

3.1.5 Schematron that enforces a strict subset of the rules defined in the JATS Archiving and

Interchange v1.1 DTD.

Performance Work Statement

PART 4

CONTRACTOR FURNISHED ITEMS AND SERVICES

4. CONTRACTOR FURNISHED ITEMS AND RESPONSIBILITIES:

4.1 General: The Contractor shall furnish all supplies, equipment, facilities, and services required to perform work under this contract that are not listed under Section 3 of this PWS.

4.2 Equipment. The Contractor shall provide high-quality, industry standard scanners to meet the image quality standard requirements under this PWS, Section 5.2.4.

4.3 Storage. The Contractor shall provide climate-controlled processing and storage areas for NLM source material provided for digitization with temperature maintained in the range of 72°F (+/- 2°F) and relative humidity in the range of 50% (+/- 5%) without uncontrolled fluctuation to extremes outside of these ranges

4.4 Transportation. The Contractor shall provide the transportation to pick up and return NLM’s source material. Storage conditions shall be similarly maintained in climate-controlled spaces of vehicles used to transport NLM material from the Library and back.

Performance Work Statement

PART 5

SPECIFIC TASKS

5. SPECIFIC TASKS:

5.1. Basic Services. The Contractor shall provide services for article level historical journal scanning and XML preparation for National Library of Medicine’s (NLM’s) Biomedical Journal Digitization Project.

5.2. Summary of Work

There are ten basic steps associated with completing the work of this proposed project: The details of each step are included in Attachment 4/Technical Exhibit 4, “Image Specifications and Functional Requirements for Content Capture”, Version 2.0, January 2018. Other sections of Attachment 4/Technical Exhibit 4 may be relevant and the Contractor is expected to have a thorough understanding of all technical requirements for the project.

5.2.1 Pick up of materials in batched shipments from the National Library of Medicine.

a. The materials provided will be original hardcopy journals. Most of them will be bound with hard covers, though some may be single issues with soft covers.

b. The Contractor will arrange for pick-up of materials, which will be boxed and labeled for shipment by NLM. Shipments will vary in size, but the Contractor will be notified how many boxes are included in a shipment prior to a scheduled pick up at NLM. The customer will provide both an electronic and paper packing list describing the contents of each shipment to the Contractor. (See Attachment 6/Technical Exhibit 6 and Performance Work Statement, Part 5, Section 5.5.3.)

5.2.2 Verify the shipment contents against the customer-supplied packing list and ensure that every volume and issue is present. The Contractor will follow customer-specified procedures related to reporting missing issues against the packing list (See Attachment 4/Technical Exhibit 4, Section 1.7.6 and Section 2.5.3).

5.2.3 Prepare an inventory of the customer-supplied source material. (See Attachment

4/Technical Exhibit 4, Section 1.7.5-1.7.6)

Performance Work Statement

5.2.4 Scan each journal page on a high-quality, industry standard scanner to produce a 400-dpi 24-bit color TIFF. NLM requires the use of non-damaging devices to capture images from historical journals that are in fragile and poor condition and have limited “openability.” A V-cradle scanner (capable of holding books open in the range of 120- 140 degrees) is the most appropriate device for meeting this requirement. Use of a book support on a flatbed type scanner can achieve the desired non-damaging result, but would double-scanning time, since a book opened 90 degrees can only be scanned one page at a time. The Contractor must be able to scan books up to 5 inches thick and 15 inches tall. The Contractor must be able to scan book foldouts or inserts up to 38 inches in length. NLM will provide images for foldouts or inserts exceeding 38 inches in length that will be processed by the Contractor. The Contractor will make every effort to produce journal page scans without inflicting damage to old, brittle volumes and will communicate with the customer when or if the Contractor believes it is impossible to scan a volume without damaging the volume. Follow instructions in Attachment 4/Technical Exhibit 4 for all scanning tasks, in particular Attachment 4/Technical Exhibit 4, Section 2, Target: General Specifications and Attachment 4/Technical Exhibit 4, Section 3, Target Specification- Images.

5.2.5 Create a separate directory for each article that contains all the associated files for the article. When a page contains more than one article, include a copy of the TIFF file for that page in the directory for each article. Use a consistent naming scheme for all files based on the journal, volume/issue, and page number and a suffix (*.tif, *.txt) identifying the type of file –TIFF or ASCII text. When a page contains more than one article, add an alphabetic suffix to the page number (e.g., 124a, 123b) to differentiate between articles.

(See Attachment 4/Technical Exhibit 4, Section 1.9).

5.2.6 Create an OCR’ed ASCII text file for each article. (See Attachment 4/Technical Exhibit

4, Section 1.4.4 and 2.8).

5.2.7 Create a Section 508-compliant PDF/A-2b file for each article. (See Attachment 4/Technical Exhibit 4, Sections 1.4.3 and 4.1).

5.2.8 Create XML files for each article. (See Attachment 4/Technical Exhibit 4, Sections 1.4.5 and 6.).

5.2.9 Deliver all files to the customer by FTP, organized by journal/volume/issue/article. (See Attachment 4/Technical Exhibit 4, Sections 1.7.8 and 1.9).

5.2.10 Rework: Batches that have been delivered to the customer that are rejected due to quality issues will be rescanned and re-delivered by the Contractor without charge to the government. (See Performance Work Statement, Part 5 – Specific Tasks, Section 5.6 Quality Control).

Performance Work Statement

5.3. Body of Work to Scan

Attachment 7/Technical Exhibit 7 is a spreadsheet listing the initial journal titles to be scanned for this project. Several of these titles are (or once were) indexed for MEDLINE, NLM’s premier bibliographic database that contains over 11 million references to journal articles in life sciences with a concentration on biomedicine. The list includes title variations for many journals. Each version of a title is listed separately for the purpose of tracking and handling.

Example: “The Georgia Medical Companion” and “Southern Medical Record” are the titles of the same journal at different times in the journal’s publication history and both have entries with different dates of publication.

The Contractor may refer to either the inventory packing list or the journal style guides to detect the exact range of dates to scan, regardless of the begin and end dates of the entire publication.

Attachment 8/Technical Exhibit 8 is a short description of the columns listed on the journal title spreadsheet, some of which are of no concern to the vendor, but provide useful information to NLM. The vendor will want to take note of the Title, Publication Years, and estimated volume counts in order to make crosschecks against the journals supplied.

5.4. Technical Instructions

Two documents contain the customer’s instructions and overall technical specifications:

(1) “Image Specifications and Functional Requirements for Content Capture”, Version 2.0, January 2018 (Attachment 4/Technical Exhibit 4), containing all requirements for image capture, article identification and citations creation for the materials to be scanned;

(2) Journal Style Guide containing individual instructions for specific journal titles (Attachment 9/Technical Exhibit 9).

In the event that a conflict arises regarding the customer’s instructions represented by these two documents, the Contractor will follow this hierarchy to resolve the conflict (See Attachment 4/Technical Exhibit 4, Section 2.1, Specifications Hierarchy):

1. First, Journal Style Guide for the specific title being scanned;

2. Second, “Image Specifications and Functional Requirements for Content Capture”, Version 2.0, January 2018 (Attachment 4/Technical Exhibit 4).

5.5. Logistics

5.5.1 All work shall be performed on the Contractor’s premises.

5.5.2 Transport of NLM source materials will be arranged at the Contractor’s expense.

Performance Work Statement

5.5.3

Most source materials will come from NLM’s own collection and will have been reviewed for completeness and usability for scanning. They will be collated, boxed and labeled for Contractor pickup. The materials will be supplied to the vendor in numbered batches or shipments. Each shipment will include a packing list of the contents, with volume/part/year data, the total number of volumes and/or issues, and an estimate of the total pages in each item. If, in the collation process, NLM staff find that issues or pages are missing, those will be so noted in the packing list.

NLM will also provide the Contractor with an electronic copy of the packing list.

5.5.4

The Contractor will pick up the materials on pre-arranged dates from a specified location at NLM, between the hours of 8:30 am and 4:00 pm, Monday through Friday. It is the responsibility of the Contractor to provide insurance covering any damage to or loss of the source material that might occur in shipment or at the Contractor facility such as water and humidity damage, physical damage from being dropped or mishandled, or loss from misplacement.

5.5.5

The Contractor shall provide a secure, environmentally appropriate area to store the source materials while they are being transported and scanned (See Attachment 4/Technical Exhibit 4, Sect. 1.7.4).

5.5.6

All source material should be returned to the NLM within 5 days of delivery of the electronic files associated with those materials.

Performance Work Statement

5.6. Quality Control

5.6.1 The following Quality Control Criteria shall be applied by NLM in the review and acceptance of scanned images and XML. See Attachment 4/Technical Exhibit 4, Section 1.11, “Quality Assurance Criteria”.

Item

Error Category

Acceptance Criteria

1 Character accuracy 99.995%

2 Tag content accuracy Incorrect application of XML element Incorrect Article Type (see Section 2.6.5.1)

99.95%

3 Structural integrity of tags XML not valid per DTD XML not valid per Schematron

100%

4 Image quality – Page or illustration image Image skewed on visual inspection Image not consistent with source (e.g., inconsistent boundaries, pixilation, distortion, lack of sharpness and detail, etc.)

99%

5A Inventory error Missing or duplicate file (XML, OCR, image, etc.)

Missing citation Images not sequenced in “reading order” PDF is not Section 508-compliant PDF is not PDF/A-2b compliant PDF exceeds 60-page limit for non-exempt article type.

OCR text does not correspond to article boundary Individual graphic delivered as multiple images

100%

5B Inventory error Incorrect article boundaries Article boundaries do not conform to specifications and procedures outlined in this document or Style Guide, whichever is applicable

Incorrect assignment into adm, adv, art, cov and toc directories as per specifications outlined in Section 1.9

99.5%

Performance Work Statement

5.7. Standards of Performance

5.7.1

All specifications and requirements in the Performance Work Statement are met.

5.7.2

Source materials flow smoothly between NLM and the Contractor scanning work sites in a timely fashion. Routine questions are resolved without assistance from the Contracting Officer’s Representative at NLM.

5.7.3

NLM is kept informed of problems; new procedures are approved by NLM before they are implemented.

5.7.3.1

The Contractor makes thoughtful, well-informed suggestions for solving workflow and procedural problems.

5.7.3.2

The Contractor makes every reasonable effort to resolve problems promptly so as to minimize contact with NLM regarding procedural problems.

5.7.4

Risk of damage to NLM provided source material is reduced as much as possible.

5.7.5

All completed deliverables meet all technical and physical requirements.

a. The Contractor follows all technical specifications as provided in the Performance Work Statement and Technical Exhibits.

b. The Contractor identifies and corrects all errors before deliverables are sent to NLM.

c. All boxes containing source material returned to NLM are labeled accurately and legibly.

5.8 Acceptance and Rejection Procedures, Testing Period

5.8.1

NLM plans for a period of six months at the beginning of the contract for both parties to test, improve and possibly change technical requirements. Contractor deliveries made during this time that do not meet quality standards will be accepted without penalty and will be paid for although the Contractor will be expected to re-work them until they meet NLM’s quality expectations.

After the initial six-month period is over, NLM will expect the Contractor to routinely meet quality specifications, and re-work batches without charge.

Performance Work Statement

5.8.2

Beginning with the first accepted batch after the end of the pilot, NLM will produce a status report for every batch upon completion of quality control and review. See Section 5.6.1 above for Quality Control Criteria. These reports will have a final status of either “accepted” or “rejected”. Each report will indicate what problems exist, if any, with the batch.

5.8.3

After the first six months of the contract, NLM will make its best effort to accept or reject a batch within 60 days after receipt from the Contractor. The Contractor shall not invoice for any batch until an “accepted” batch status report is delivered for the batch.

5.9 Reports

5.9.1 Monthly

The Contractor shall submit a monthly report, including a cumulative summary of statistics, indicating the status of scanned volumes: Title, number of volumes completed, number of volumes in process, number of files delivered, and delivery date.

The report narrative may include a summary of successes or any problems or issues resolved or unresolved. The report is due the fifth (5th) business day after the end of each month.

5.9.2 Final

The Contractor shall submit a final report of the work performed for the entire contract period within 15 business days of the end of the contract period being reported.

Performance Work Statement

PART 6

APPLICABLE PUBLICATIONS

6. APPLICABLE PUBLICATIONS (CURRENT EDITIONS)

6.1 Image Specifications and Functional Requirements for Content Capture, Version 2.0, January 2018 (Attachment 4/Technical Exhibit 4)

6.2 Journal Style Guides (PWS, Section 5.4, Technical Instructions)

6.3 Schematron

6.4 NISO JATS Journal Archiving and Interchange v1.1 DTD

Performance Work Statement

PART 7

ATTACHMENT/TECHNICAL EXHIBIT LISTING

7. Attachment/Technical Exhibit List:

7.1. Attachment 1/Technical Exhibit 1 – Performance Requirements Summary (in this document)

7.2. Attachment 2/Technical Exhibit 2 – Deliverables Schedule (in this document)

7.3 Attachment 3/Technical Exhibit 3 – Estimated Workload Data (in this document)

7.4 Attachment 4/Technical Exhibit 4 – Image Specifications and Functional Requirements for Content Capture, Version 2.0, January 2018 (Attachment C)

7.5 Attachment 5/Technical Exhibit 5 – Image Specification Supplemental Examples (Attachment D)

7.6 Attachment 6/Technical Exhibit 6 – Packing Lists (Attachments E and F)

7.7 Attachment 7/Technical Exhibit 7 – Initial Journal List of Titles to be Scanned (Attachment G)

7.8 Attachment 8/Technical Exhibit 8 - Description of Columns on Journal List (Attachment H)

7.9 Attachment 9/Technical Exhibit 9 - Journal Style Guide Sample (Attachment I)

Performance Work Statement

TECHNICAL EXHIBIT 1

Performance Requirements Summary

The contractor service requirements are summarized into performance objectives that relate directly to mission essential items. The performance threshold briefly describes the minimum acceptable levels of service required for each requirement. These thresholds are critical to mission success.

Performance Objective Standard Performance Threshold Method of

Surveillance

PRS # 1.

The Contractor shall administer the quality control program in accordance with Quality Control

Program (QCP) (PWS Part 1.6.1 and

1.6.2).

The Contractor is in compliance with

QCP 100% of the time

Zero deviation from standard.

Periodic meetings with

COR to review findings from quality control activities

PRS # 2

The Contractor shall submit a monthly report including a cumulative summary of statistics indicating the status of scanned batches: Title, number completed, number in process, number delivered and accepted or rejected on initial delivery, and delivery date (PWS Part 5.9.1).

The report narrative may include a summary of successes or any problems or issues resolved or unresolved

The Contractor provides reports that accurately depict the work performed and delivered 100% of the time.

Reports are due the fifth (5th) business day after the end of each month.

Zero deviation from standard.

Monthly report reviewed by

COR

Performance Work Statement

PRS # 3

The Contractor shall submit a final report of the work performed for the entire contract period (PWS

5.9.2).

The Contractor provides a final report that 100% accurately depicts the work performed for the entire contract period.

Report is due 15 business days after the contract period ends.

Zero deviation from standard.

Final report reviewed by

COR and CO

PRS # 4 The Contractor shall divide source Zero deviation from standard.

COR will review

The Contractor shall prepare an inventory of customer‐supplied source material (PWS 5.2.3) material into batches and provide inventory and schedule information to customer within five (5) business days after receipt. The inventory is 100% deliverable for accuracy and completeness accurate.

PRS #5

The Contractor shall transmit final deliverables to NLM via FTP as a

The Contractor transmits files that are

100% accurate.

Zero deviation from standard.

NCBI ingest the files into a data system for processing.

compressed tar archive, including the conversion report and MD5

If the files fail checksum file (PWS 5.2.9) the processing, then the

Contractor shall correct the data and resubmit.

PRS #6

The Contractor shall transmit sample batches that meet the quality assurance criteria from the

The Contractor transmits files that are

100% accurate.

Zero deviation from standard.

NLM’s Quality Assurance Team conducts 100% QA on each batch

Performance Work Statement table in the “Performance Work

Statement”, Section 5.6‐ Quality

Control Criteria on initial delivery.

delivered in addition to automatic system validations.

NLM’s QA system provides a final analysis of whether each batch reaches 100% acceptance.

PRS #7

The Contractor shall transmit pilot batches that meet the quality assurance criteria from the table in the “Performance

Work Statement”, Section 5.6‐

Quality Control Criteria on initial delivery.

The Contractor transmits files that are

100% accurate.

Zero deviation from standard.

NLM’s Quality

Assurance

Team conducts

100% QA on each batch delivered in addition to automatic system validations.

NLM’s QA system provides a final analysis of whether each batch reaches 100% acceptance.

PRS #8

The Contractor shall transmit production batches that meet the quality assurance criteria

The Contractor transmits files that are

100% accurate.

Zero deviation from standard.

NLM’s Quality Assurance Team reviews representative sample of each

Performance Work Statement from the table in the “Performance Work Statement”, Section 5.6 ‐ Quality Control Criteria on initial delivery.

batch delivered in addition to automatic system validations.

Sample batches are not included in this calculation.

NLM’s QA system provides a final analysis of whether each batch reaches 100% acceptance.

At the end of every three months period, the COR will provide the

Contractor with the number and percentage of batches that have been accepted on initial delivery.

PRS #9 100% Zero deviation from standard.

The COR will

Production batches are delivered to the customer within eight (8) weeks from date of receipt of source material.

verify that expected deliveries are received within eight (8) weeks.

Sample batches are not included in this calculation

Performance Work Statement

PRS #10

The Contractor shall deliver corresponding source documents to

NLM within five (5) business days of transmitting the files to NLM.

100% Zero deviation from standard.

The COR will verify that expected deliveries are received within five (5) business days.

PRS #11

The Contractor shall ensure proper handling of source material during transporting and scanning (PWS, Attachment 4/Technical Exhibit 4, Section 10)

100% Zero deviation from standard.

Prior to shipping to the

Contractor, each bound volume and single issue will be reviewed for its condition and stability for scanning. Each item will be reviewed post‐ scanning to ensure it has not incurred any further damage.

Performance Work Statement

TECHNICAL EXHIBIT 2

DELIVERABLES SCHEDULE

Deliverable Frequency # of Copies Medium/Format Submit To

Monthly Progress

Report

Monthly – Due by the fifth (5th) business day after the end of each month.

1 508 compliant

Word document

Rosalyn Leiderman – leidermr@mail.nlm.nih.

gov; Maryann Meza – maryann.meza@nih.gov

Final Report Submit 15 business days after end of the contract period

1 508 compliant

Word document

Rosalyn Leiderman – leidermr@mail.nlm.nih.

gov; Maryann Meza – maryann.meza@nih.gov

Inventory of the customer‐supplied source material

Within five (5) business days after receipt of shipments

1 Excel file Rosalyn Leiderman – leidermr@mail.nlm.nih.

gov

Tar archive containing all files for one batch.

Files are to be in a consistent naming structure as determined by the customer.

Batches are delivered to the customer within eight (8) weeks from date of receipt of source material.

1 FTP FTP site provided by

NCBI

Source documents shall be returned to the customer when the files are delivered

Within five (5) business days after the files are

FTPed to NLM

N/A Deliver to NLM Rosalyn Leiderman Preservation and Collection Management Section National Library of Medicine Building 38/Room B2W14 8600 Rockville Pike Bethesda, MD 20894

Performance Work Statement

TECHNICAL EXHIBIT 3

Estimated Workload Data

ITEM

NAME

ESTIMATED QUANTITY

1 Estimated monthly production rate for pages scanned and digitized

21,000 –

42,000

2 Estimated number of pages scanned and digitized in a full production year.

250,000 –

500,000