SOW- 16-35mm-FilmDigitization-SOW v4 9-10-2021.pdf

RFQ - 75N97021Q00056

Digital Preservation of 35 mm and 16 mm Film

National Library of Medicine/

History of Medicine Division

Statement of Work

September 2021

STATEMENT OF WORK

TABLE OF CONTENTS

1.0 Introduction 2

1.1 Scope 2

1.2 Objectives 2

2.0 Requirements 3

2.1 General 3

2.2 Shipping and Receiving 3

2.3 Image/Audio Specifications for Digital Files 3

2.4 Metadata 3

2.5 Tasks/Deliverables 3

3.0 Schedule 4

4.0 Government Furnished Property 5

5.0 Security Requirements 5

6.0 COVID-19 Requirements 5

1.0 INTRODUCTION/OVERVIEW

The National Library of Medicine’s film collection consists chiefly of 16 mm elements, but many of our oldest titles are 35 mm. This task centers on the digital preservation of these 35 mm film titles, along with additional

16 mm titles as funding may allow. The library’s most‐requested collection titles have been duplicated multiple times, resulting in wear and tear on the archival originals. To meet patron requests in the future while also preserving our collections, including rare, fragile, and aging films, we wish to create high‐resolution digital preservation and mezzanine files as well as access copies that can be provided to patrons in lieu of allowing further handling and copying of the archival originals/elements.

1.1 SCOPE

The Government anticipates shipping approximately 150‐200 films to Contractor, chiefly 35 mm gauge but also possibly including 16 mm, with an average runtime of 30 minutes per film.

In some cases, film titles include multiple elements and copies. In these instances, the Contractor will assess each element to determine which is most complete and suitable for preservation.

1.2 OBJECTIVES

In procuring these services, the Library’s objective is to contract for out‐sourced professional film digitization services to protect and preserve the Library’s rare and valuable historical film collection.

2.0 REQUIREMENTS

2.1 General

Independently, and not as an agent of the Government, the contractor shall be required to supply all expertise, staffing, and materials and equipment necessary to satisfy all task areas of this requirement.

The contractor will manually inspect, clean, treat, and repair as necessary each film element shipped to the contractor. Not all of these elements will be digitally transferred, but all should receive basic preservation treatment following best practices in the field. in some cases sound/picture synchronization will be necessary, followed by digital transfer according to specifications provided, with accompanying metadata generated. The metadata will consist of some information manually entered into a spreadsheet by both Government and

Contractor, as well as metadata produced through the digitization process and packaged as METS XML files.

The Contractor will use state‐of‐the‐art equipment and processes to convert the original 35 mm or 16 mm film to a high‐resolution FFV1 digital preservation file. The Contractor also will produce from the digital preservation file a ProRes mezzanine file and an MP4 version for access purposes. Specifications for the digital preservation, mezzanine, and access files are attached and will be refined if needed in consultations between the Contractor and the Government.

The Contractor program/project manager will work collaboratively with the Government COR (contracting officer representative). The Contractor’s work product shall be assigned, reviewed, inspected, and accepted by the COR. The COR will consult with the Contractor during all phases of activity, reviewing plans prior to implementation, reviewing work for accuracy, and making recommendations as needed to ensure conformation to NLM specifications and timely completion of the work.

2.2 Shipping and Receiving

The NLM will provide the Contractor with shipments of up to 50 original titles for processing in each batch.

NLM will prepare a manifest with unique IDs, titles, item barcodes, and other information so the contractor and client may accurately track material. The number and length of film titles included in each shipment may vary. NLM anticipates shipping by FedEx, but if the situation warrants, NLM may ask that Contractor arrange pickup/delivery by courier, at Government’s expense.

2.3 Image and Audio Specifications for Digital Files

Please see APPENDIX A for these specifications for both 35 mm and 16 mm film.

2.4 Metadata

The required metadata will consist of descriptive, technical, and digitization process information manually entered into a spreadsheet as well as additional metadata produced or corrected through the reformatting process and packaged as a METS XML for each AV record. NLM anticipates providing an Excel spreadsheet with bibliographic/descriptive data for each NLM collection object included in the project. Note that one collection object with a single unique ID may contain multiple physical objects (for example, a title that includes two film reels, Part 1 and Part 2). The spreadsheet also will contain additional columns specifying standard descriptive and technical metadata to be captured by the Contractor.

Please see APPENDIX B for a sample METS XML file.

2.5 Tasks/Deliverables

All electronic documents, whether a stand‐alone deliverable or provided as part of training, shall be 508‐ compliant. See Accessibility Resources | HHS.gov for accessibility reference guides.

Following receipt and check‐in of each batch shipped by NLM, the Contractor shall carry out the following tasks:

Task 1: Visually and physically assess the type, condition, title, and runtime of individual film elements and confirm or revise that information in the NLM‐provided metadata spreadsheet.

Deliverable: NLM spreadsheet with revised, accurate descriptive data.

Task 2: In cases where multiple copies of film titles have been provided, identify those that are the best candidates for digital preservation based on condition and completeness.

Deliverable: NLM spreadsheet with added notation identifying elements selected.

Task 3: Carry out basic preservation actions on all films, whether selected for digital preservation or not. This includes, as needed, cleaning, repair, rehousing, and adding protective film leader at tail and head.

Deliverable: All films returned to NLM with these actions completed and documented on spreadsheet.

Task 4: Digitally preserve each selected title according to the specifications attached, creating an FFV1 preservation file, ProRes mezzanine, and MP4 access file for each title. If separate picture and sound elements exist for a title, digitize both picture and sound elements separately, synchronize, and create composite files.

Retain file‐naming conventions for each digital file, to be specified by NLM. For the preservation file, NLM prefers that outputs be produced using RAWCooked to ensure video and audio conformance as detailed in the specifications but is open to vendor recommendations for other software and methods.

Deliverable: Three digital files for each film title, packaged in separate folders by format and placed on NLM‐ provided portable hard drives.

Task 5: For each title, generate metadata according to schema provided.

Deliverable: Metadata packaged alongside digital files according to schema requirements and placed on NLM‐ provided hard drives as in Task 4.

Task 6: Post‐processing, the Contractor will return all hard drives with digital files and metadata for inspection by the Government. Contractor shall ship via FedEx and bill charges to Government, unless alternative shipping method is requested by Government as noted in section 2.1.

Deliverable: Hard drives with digital files and metadata received and confirmed by Government.

Task 7: Following Government review and identification of reworks needed, Contractor shall correct files at

Contractor expense and return to the Government for second inspection.

Deliverable: Reworked files delivered on NLM‐provided hard drives.

Task 8: Return original films to NLM once products are accepted by Government.

Deliverable: All original films returned to Government by FedEx or other form of shipping agreed to by

Government and billed to Government. If Government ascertains that film elements did not receive preservation treatment as described above, these elements may be returned to vendor for completion of these actions.

3.0 SCHEDULE

The anticipated period of performance shall begin September 27, 2021 and run through September 26, 2022 or a sooner date when as all deliverables are met.

4.0 GOVERNMENT FURNISHED PROPERTY

This contract does not include government‐furnished property.

5.0 SECURITY REQUIREMENTS

Contractor will not work onsite at NLM so NIH identification badge is not required, but information security requirements described in Attachment C must be met.

6.0 COVID-19 REQUIREMENTS

The Contractor must comply with COVID 19 requirements for onsite visits such as courier pickups of material.

Please see attached Stop the Spread NIH Safety Guidance for Return to Physical Workplace. All

Contractors/Vendors must certify that they have read the information and viewed the video. Please sign and date Appendix 1 of the Safety Guidance, Code of Conduct Expectation, certifying that you have completed the training and viewed the video. Contractors/Vendors that don’t require PIV cards will have to view the required video at the following link: https://videocast.nih.gov/watch=37951. See Attachment D for additional guidance.

Appendix A

35 MM Film Specifications

Preservation Mezzanine (Production File)

Streaming (Access/Viewing File)

Video bit depth 10 bit 8 bit 8 bit

Video Bit Rate

8 Mbit/second or higher

Scan Type

Progressive Progressive

Resolution Lock at 4:3, scan at 2.5K (Edge to edge overscan showing both perforation areas, all image, soundtrack, an intraframe marking, and portion of neighboring frames)

Lock at 4:3, scan at 2.5K

(Overscan showing framelines, soundtrack, and some perforation)

Lock to 4:3, scan at HD (underscan / crop to image area only)

Video Codec FFv1 version 3 from DPX ProResHQ H.264

File Wrapper Matroska (.mkv) from DPX Quicktime MPEG-4

Frame Size 5120 x 3840 5120 X 3840 1440 X 1080

Frame Rate Same as source. If not described, please determine on viewing and describe in digitization process notes.

Same as preservation file

Same as preservation file

Pixel Aspect Ratio

1.000 1.000 1.000

Display Aspect Ratio**

4:3 4:3 4:3

Audio Bit Depth 24 bit 24 bit

Audio Bit Rate

2304 kbps 256 Kbs

Audio Sampling Rate

96,000 Hz 48,000 Hz 48,000 Hz

Audio codec / data encoding*

PCM / WAV PCM / WAV AAC

Audio Channels Same as source object Same as preservation file

Same as mezzanine file

Color Space Linear RGB 4:2:2 4:2:0

Color Primaries BT.709

Transfer Characteristics

Printing Density

Image Corrections

No corrections.

If necessary, color correct for dye fading.

If necessary, color correct for dye fading.

Notes Transcoded to FFV1/MKV from DPX using RAWCooked (unless vendor and NLM agree on an alternative process)

16 MM Film Specifications

Preservation Mezzanine (Production File)

Streaming (Access/Viewing File)

Video bit depth 10 bit 8 bit 8 bit

Video Bit Rate

8 Mbit/second or higher

Scan Type

Progressive Progressive

Resolution Lock at 4:3, scan at 2.5K (Edge to edge overscan showing both perforation areas, all image, soundtrack, an intraframe marking, and portion of neighboring frames)

Lock at 4:3, scan at 2.5K

(Overscan showing framelines, soundtrack, and some perforation)

Lock to 4:3, scan at HD (underscan / crop to image area only)

Video Codec FFv1 version 3 from DPX ProResHQ H.264

File Wrapper Matroska (.mkv) from DPX Quicktime MPEG-4

Frame Size 2560 x 1920 2560 X 1920 1440 X 1080

Frame Rate Same as source. If not described, please determine on viewing and describe in digitization process notes.

Same as preservation file

Same as preservation file

Pixel Aspect Ratio

1.000 1.000 1.000

Display Aspect Ratio**

4:3 4:3 4:3

Audio Bit Depth 24 bit 24 bit

Audio Bit Rate

2304 kbps 256 Kbs

Audio Sampling Rate

96,000 Hz 48,000 Hz 48,000 Hz

Audio codec / data encoding*

PCM / WAV PCM / WAV AAC

Audio Channels Same as source object Same as preservation file

Same as mezzanine file

Color Space Linear RGB 4:2:2 4:2:0

Color Primaries BT.709

Transfer Characteristics

Printing Density

Image Corrections

No corrections.

If necessary, color correct for dye fading.

If necessary, color correct for dye fading.

Notes Transcoded to FFV1/MKV from DPX using RAWCooked (unless vendor and NLM agree on an alternative process)

Appendix B—Sample NLM METS XML

<?xml version="1.0" encoding="utf-8"?> <mets:mets xmlns:mets="http://www.loc.gov/METS/" xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance" xmlns:xlink="http://www.w3.org/1999/xlink" xmlns:fn="http://www.w3.org/TR/xpath-functions/" xmlns:pb="http://www.pbcore.org/PBCore/PBCoreNamespace.html" xmlns:dc="http://purl.org/dc/elements/1.1" xmlns:premis="http://www.loc.gov/premis/v3" xsi:schemaLocation="http://www.loc.gov/METS/ http://www.loc.gov/standards/mets/version15/mets.xsd http://www.w3.org/1999/xlink https://www.w3.org/1999/xlink.xsd http://pbcore.org/xsd/pbcore-2.0.xsd https://www.loc.gov/standards/premis/v3/premis-v3-0.xsd" TYPE="MOVING IMAGE" OBJID="hmdvid-101772544_kinetta_sample">

<mets:metsHdr CREATEDATE="2021-03-07T13:27:28.347"> <mets:agent ROLE="CREATOR" TYPE="ORGANIZATION"> <mets:name>Vendor</mets:name> </mets:agent> <mets:agent ROLE="CUSTODIAN" TYPE="ORGANIZATION"> <mets:name>US National Library of Medicine</mets:name> </mets:agent> </mets:metsHdr>

<mets:dmdSec ID="DMD1"> <mets:mdWrap MDTYPE="OTHER" LABEL="Dublin Core Metadata"> <mets:xmlData> <dc:title>Interview with Professor Erikson</dc:title> <dc:date>1972</dc:date> <dc:format>16 mm film</dc:format> <dc:format.extent>00:03:00</dc:format.extent> <dc:identifier>hmdvid-101772544_kinetta_sample</dc:identifier> <dc:language>English</dc:language> </mets:xmlData> </mets:mdWrap> </mets:dmdSec> <mets:amdSec>

<!--Preservation Master--> <!--PBCore Data--> <mets:techMD ID="TECHMD1"> <mets:mdWrap MDTYPE="OTHER" OTHERMDTYPE="pbcoreInstantiation"> <mets:xmlData> <pb:pbcoreInstantiation> <pb:instantiationIdentifier source="Vendor" annotation="Filename">hmdvid- 101772544_kinetta_sample.mkv</pb:instantiationIdentifier> <pb:instantiationDate>2021-04-06T20:18:43</pb:instantiationDate> <pb:instantiationDigital source="PRONOM Technical Registry">fmt/569</pb:instantiationDigital> <pb:instantiationStandard>mkv</pb:instantiationStandard> <pb:instantiationLocation>U.S. National Library of Medicine</pb:instantiationLocation> <pb:instantiationMediaType>Moving Image</pb:instantiationMediaType> <pb:instantiationGenerations>Preservation Master</pb:instantiationGenerations> <pb:instantiationDuration>00:03:00</pb:instantiationDuration> <pb:instantiationColors>Black and White</pb:instantiationColors> <pb:instantiationTracks>2</pb:instantiationTracks> <pb:instantiationEssenceTrack> <pb:essenceTrackType>Video</pb:essenceTrackType> <pb:essenceTrackEncoding>10-bit RGB ffv1 version 3.4 - RAWcooked</pb:essenceTrackEncoding> <pb:essenceTrackFrameRate unitsOfMeasure="fps">24</pb:essenceTrackFrameRate> <pb:essenceTrackBitDepth>10</pb:essenceTrackBitDepth> <pb:essenceTrackAspectRatio>4:3</pb:essenceTrackAspectRatio> <pb:essenceTrackDuration>00:03:00</pb:essenceTrackDuration> <pb:essenceTrackAnnotation annotationType="Frame Count">4321</pb:essenceTrackAnnotation> <pb:essenceTrackAnnotation annotationType="Scan Type">Progressive</pb:essenceTrackAnnotation> <pb:essenceTrackAnnotation annotationType="Color Sampling">4:4:4</pb:essenceTrackAnnotation>

<pb:essenceTrackAnnotation annotationType="Frame Size Vertical">1920</pb:essenceTrackAnnotation> <pb:essenceTrackAnnotation annotationType="Frame Size Horizontal">2560</pb:essenceTrackAnnotation> </pb:instantiationEssenceTrack> <pb:instantiationEssenceTrack> <pb:essenceTrackType>Audio</pb:essenceTrackType> <pb:essenceTrackEncoding>FLAC</pb:essenceTrackEncoding> <pb:essenceTrackSamplingRate unitsOfMeasure="kHz">96</pb:essenceTrackSamplingRate> <pb:essenceTrackBitDepth>24</pb:essenceTrackBitDepth> <pb:essenceTrackAnnotation annotationType="Audio Bit Rate">Variable</pb:essenceTrackAnnotation> <pb:essenceTrackAnnotation annotation="Audio Compression">Lossless</pb:essenceTrackAnnotation> <pb:essenceTrackAnnotation annotation="Channel Configuration">Mono</pb:essenceTrackAnnotation> </pb:instantiationEssenceTrack> <instantiationRelation> <pb:instantiationRelationType source="PBCore relationType">Derived from</pb:instantiationRelationType> <pb:instantiationRelationIdentifier annotation="Object Identifier">hmdvid- 101772544_kinetta_sample</pb:instantiationRelationIdentifier> </instantiationRelation> <pb:instantiationAnnotation annotation="Transfer Comments">For sample purposes only</pb:instantiationAnnotation> <pb:instantiationAnnotation annotation="Studio Transfer Method">Camera Link</pb:instantiationAnnotation> <pb:instantiationAnnotation annotation="Source Deck Type">Archival Film Scanner</pb:instantiationAnnotation> <pb:instantiationAnnotation annotation="Source Deck Manufacturer">Kinetta</pb:instantiationAnnotation> <pb:instantiationAnnotation annotation="Source Deck Model">Archival Scanner</pb:instantiationAnnotation> <pb:instantiationAnnotation annotation="Source Deck Serial Number">D1010</pb:instantiationAnnotation> <pb:instantiationAnnotation annotation="Quality Control">Quality Control was performed by Vendor engineers with Aurora.</pb:instantiationAnnotation> <pb:instantiationAnnotation annotation="Computer Manufacturer">Apple</pb:instantiationAnnotation> <pb:instantiationAnnotation annotation="Host Computer Name">MACPRO</pb:instantiationAnnotation> <pb:instantiationAnnotation annotation="Operating System">MAC OS X</pb:instantiationAnnotation> <pb:instantiationAnnotation annotation="Operating System Version">MacPro5</pb:instantiationAnnotation> <pb:instantiationAnnotation annotation="Encode Software Manufacturer">BlackMagic Design</pb:instantiationAnnotation> <pb:instantiationAnnotation annotation="Encode Software Name">DaVinci Resolve</pb:instantiationAnnotation> <pb:instantiationAnnotation annotation="Encode Software Version">16.2</pb:instantiationAnnotation> </pb:pbcoreInstantiation> </mets:xmlData> </mets:mdWrap> </mets:techMD>

<!--Mezzanine Copy--> <!--PBCore Data--> <mets:techMD ID="TECHMD2"> <mets:mdWrap MDTYPE="OTHER" OTHERMDTYPE="pbcoreInstantiation"> <mets:xmlData> <pb:pbcoreInstantiation> <pb:instantiationIdentifier source="Vendor" annotation="Filename">hmdvid- 101773841_kinetta_sample.mov</pb:instantiationIdentifier> <pb:instantiationDate>2021-04-06T19:31:58</pb:instantiationDate> <pb:instantiationDigital source="PRONOM Technical Registry">fmt/797</pb:instantiationDigital> <pb:instantiationLocation>U.S. National Library of Medicine</pb:instantiationLocation> <pb:instantiationMediaType>Moving Image</pb:instantiationMediaType> <pb:instantiationGenerations>Mezzanine Copy</pb:instantiationGenerations> <pb:instantiationColors>Black and White</pb:instantiationColors> <pb:instantiationEssenceTrack> <pb:essenceTrackType>Video</pb:essenceTrackType> <pb:essenceTrackEncoding>QuickTime Apple ProRes 422 HQ</pb:essenceTrackEncoding> <pb:essenceTrackFrameRate unitsOfMeasure="fps">24</pb:essenceTrackFrameRate> <pb:essenceTrackBitDepth>10</pb:essenceTrackBitDepth> <pb:essenceTrackAspectRatio>16:9</pb:essenceTrackAspectRatio> <pb:essenceTrackDuration>00:03:00</pb:essenceTrackDuration> <pb:essenceTrackAnnotation annotationType="Frame Count">4321</pb:essenceTrackAnnotation> <pb:essenceTrackAnnotation annotationType="Scan Type">Progressive</pb:essenceTrackAnnotation> <pb:essenceTrackAnnotation annotationType="Color Sampling">4:2:2</pb:essenceTrackAnnotation> <pb:essenceTrackAnnotation annotationType="Frame Size Vertical">1920</pb:essenceTrackAnnotation> <pb:essenceTrackAnnotation annotationType="Frame Size Horizontal">2560</pb:essenceTrackAnnotation> </pb:instantiationEssenceTrack> <pb:instantiationEssenceTrack> <pb:essenceTrackType>Audio</pb:essenceTrackType> <pb:essenceTrackEncoding>PCM</pb:essenceTrackEncoding> <pb:essenceTrackSamplingRate unitsOfMeasure="kHz">48</pb:essenceTrackSamplingRate>

<pb:essenceTrackBitDepth>24</pb:essenceTrackBitDepth> <pb:essenceTrackAnnotation annotationType="Audio Bit Rate">2304 Kbps</pb:essenceTrackAnnotation> <pb:essenceTrackAnnotation annotation="Audio Compression">Lossless</pb:essenceTrackAnnotation> <pb:essenceTrackAnnotation annotation="Channel Configuration">Mono</pb:essenceTrackAnnotation> </pb:instantiationEssenceTrack> <instantiationRelation> <pb:instantiationRelationType source="PBCore relationType">Derived from</pb:instantiationRelationType> <pb:instantiationRelationIdentifier annotation="Object Identifier">hmdvid- 101772544_kinetta_sample.mkv</pb:instantiationRelationIdentifier> </instantiationRelation> <pb:instantiationAnnotation annotation="Quality Control">Quality Control was performed by Vendor engineers, with Aurora.</pb:instantiationAnnotation> <pb:instantiationAnnotation annotation="Computer Manufacturer">Apple</pb:instantiationAnnotation> <pb:instantiationAnnotation annotation="Host Computer Name">MACPRO</pb:instantiationAnnotation> <pb:instantiationAnnotation annotation="Operating System">MAC OS X</pb:instantiationAnnotation> <pb:instantiationAnnotation annotation="Operating System Version">MacPro5</pb:instantiationAnnotation> <pb:instantiationAnnotation annotation="Encode Software Manufacturer">BlackMagic Design</pb:instantiationAnnotation> <pb:instantiationAnnotation annotation="Encode Software Name">DaVinci Resolve</pb:instantiationAnnotation> <pb:instantiationAnnotation annotation="Encode Software Version">16.2</pb:instantiationAnnotation> </pb:pbcoreInstantiation> </mets:xmlData> </mets:mdWrap> </mets:techMD> <!--Access Copy--> <!--PBCore Data--> <mets:techMD ID="TECHMD3"> <mets:mdWrap MDTYPE="OTHER" OTHERMDTYPE="pbcoreInstantiation"> <mets:xmlData> <pb:pbcoreInstantiation> <pb:instantiationIdentifier source="Vendor" annotation="Filename">hmdvid- 101773841_kinetta_sample.mp4</pb:instantiationIdentifier> <pb:instantiationDate>2021-04-06T19:24:17</pb:instantiationDate> <pb:instantiationDigital source="PRONOM Technical Registry">fmt/199</pb:instantiationDigital> <pb:instantiationLocation>U.S. National Library of Medicine</pb:instantiationLocation> <pb:instantiationMediaType>Moving Image</pb:instantiationMediaType> <pb:instantiationGenerations>Access Copy</pb:instantiationGenerations> <pb:instantiationColors>Black and White</pb:instantiationColors> <pb:instantiationEssenceTrack> <pb:essenceTrackType>Video</pb:essenceTrackType> <pb:essenceTrackEncoding>AVC High@L4 x264</pb:essenceTrackEncoding> <pb:essenceTrackFrameRate unitsOfMeasure="fps">24</pb:essenceTrackFrameRate> <pb:essenceTrackBitDepth>8</pb:essenceTrackBitDepth> <pb:essenceTrackAspectRatio>4:3</pb:essenceTrackAspectRatio> <pb:essenceTrackDuration>00:03:00</pb:essenceTrackDuration> <pb:essenceTrackAnnotation annotationType="Frame Count">8438</pb:essenceTrackAnnotation> <pb:essenceTrackAnnotation annotationType="Scan Type">Progressive</pb:essenceTrackAnnotation> <pb:essenceTrackAnnotation annotationType="Color Sampling">4:2:0</pb:essenceTrackAnnotation> <pb:essenceTrackAnnotation annotationType="Frame Size Vertical">1080</pb:essenceTrackAnnotation> <pb:essenceTrackAnnotation annotationType="Frame Size Horizontal">1440</pb:essenceTrackAnnotation> </pb:instantiationEssenceTrack> <pb:instantiationEssenceTrack> <pb:essenceTrackType>Audio</pb:essenceTrackType> <pb:essenceTrackEncoding>AAC(Low Complexity)</pb:essenceTrackEncoding> <pb:essenceTrackSamplingRate unitsOfMeasure="kHz">48</pb:essenceTrackSamplingRate> <pb:essenceTrackAnnotation annotationType="Audio Bit Rate">256 Kbps</pb:essenceTrackAnnotation> <pb:essenceTrackAnnotation annotation="Audio Compression">Lossy</pb:essenceTrackAnnotation> <pb:essenceTrackAnnotation annotation="Channel Configuration">Mono</pb:essenceTrackAnnotation> </pb:instantiationEssenceTrack> <instantiationRelation> <pb:instantiationRelationType source="PBCore relationType">Derived from</pb:instantiationRelationType> <pb:instantiationRelationIdentifier annotation="Object Identifier">hmdvid- 101772544_kinetta_sample.mkv</pb:instantiationRelationIdentifier> </instantiationRelation> <pb:instantiationAnnotation annotation="Quality Control">Quality Control was performed by Vendor engineers, with Aurora.</pb:instantiationAnnotation> <pb:instantiationAnnotation annotation="Computer Manufacturer">Apple</pb:instantiationAnnotation> <pb:instantiationAnnotation annotation="Host Computer Name">MACPRO</pb:instantiationAnnotation> <pb:instantiationAnnotation annotation="Operating System">MAC OS X</pb:instantiationAnnotation>

<pb:instantiationAnnotation annotation="Operating System Version">MacPro5</pb:instantiationAnnotation> <pb:instantiationAnnotation annotation="Encode Software Manufacturer">BlackMagic Design</pb:instantiationAnnotation> <pb:instantiationAnnotation annotation="Encode Software Name">DaVinci Resolve</pb:instantiationAnnotation> <pb:instantiationAnnotation annotation="Encode Software Version">16.2</pb:instantiationAnnotation> </pb:pbcoreInstantiation> </mets:xmlData> </mets:mdWrap> </mets:techMD>

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<mets:digiprovMD ID="DIGIPROV1"> <mets:mdWrap MDTYPE="OTHER" OTHERMDTYPE="PREMIS"> <mets:xmlData> <premis:objectIdentifier> <premis:objectIdentifierType>Filename</premis:objectIdentifierType> <premis:objectIdentifierValue>hmdvid-101772544_kinetta_sample.mkv</premis:objectIdentifierValue> </premis:objectIdentifier> <premis:preservationLevel> <premis:preservationLevelValue>Preservation</premis:preservationLevelValue> </premis:preservationLevel> <premis:objectCharacteristics> <premis:compositionLevel>0</premis:compositionLevel> <premis:fixity> <premis:messageDigestAlgorithm>MD5</premis:messageDigestAlgorithm> <premis:messageDigest>4540CE4C7BA29ABDF9B8C564611783BA</premis:messageDigest> </premis:fixity> <premis:size>26507593097</premis:size> <premis:format> <premis:formatDesignation>

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Attachment C: Information and Physical Access Security

A. Baseline Security Requirements

Applicability. The following requirements apply whether the entire contract or order (hereafter “contract”), or portion thereof, includes either or both of the following:

1. Access (Physical or Logical) to Federal Information: A Contractor (and/or any subcontractor) employee will have or will be given the ability to have, physical or logical (electronic) access to federal information that is not in the public domain.

2. Operate a Federal System Containing Information: A Contractor (and/or any subcontractor) will operate a federal system and information technology containing data that directly supports the HHS mission. In addition to the FAR Subpart 2.1 definition of “information technology” (IT), the term as used in this section, includes computers, ancillary equipment (including imaging peripherals, input, output, and storage devices necessary for security and surveillance), peripheral equipment designed to be controlled by the central processing unit of a computer, software, firmware and similar procedures, services (including support services) and related resources. This section does not apply to national security systems as defined by the Federal Information Security Modernization Act (FISMA) (as amended).

Safeguarding Information and Information Systems. The Contractor (and/or any subcontractor) is responsible for the following:

1. On behalf of HHS/OpDiv/StaffDiv, protecting federal information and information systems in order to ensure:

a. Confidentiality, which means preserving authorized restrictions on access and disclosure, including means for protecting personal privacy and proprietary information;

b. Integrity, which means guarding against improper information modification or destruction, and ensuring information non-repudiation and authenticity; and

c. Availability, which means ensuring timely and reliable access to and use of information.

2. Providing security of any Contractor systems, and information contained therein, connected to an HHS network or operated by the Contractor on behalf of HHS regardless of location per clause 52.239-1 of the Federal Acquisition Regulation (FAR) (https://www.acquisition.gov/content/part-52-solicitation-provisions-and-contract-clauses#i1049272).

a. The Contractor is prohibited from subcontracting to companies to conduct HHS business in which foreign governments that support international terrorism have a “significant interest” per 10 U.S.C. § 2327 (https://www.gpo.gov/fdsys/pkg/USCODE-2011-title10/html/USCODE-2011-title10-subtitleA-partIV-chap137-sec2327.htm).

3. Adopting, and implementing the policies, procedures, controls, and standards required by HHS Information Security Program to ensure the confidentiality, integrity, and availability of federal information and federal information systems for which the Contractor is responsible under this contract or to which the Contractor may otherwise have access under this contract. The HHS Information Security Program security requirements are outlined in the HHS IS2P, which is accessible on the HHS Office of the Chief Information Officer’s (OCIO) website (https://www.hhs.gov/about/agencies/asa/ocio/cybersecurity/index.html).

Information Security Categorization. The Contractor/subcontractor will coordinate with the system owner, Contracting Officer Representative (COR) and/or Contracting Officer to categorize the system and information to determine applicable information type(s) and the overall level of risk in accordance with FIPS-199 (http://csrc.nist.gov/publications/fips/fips199/FIPS-PUB-199-final.pdf) and the Federal Information Processing Standard NIST SP 800-60, “Volume II: Appendices to Guide for Mapping Types of Information and Information Systems to Security Categories”, Appendix C, Table C-2 at Vol 2 (http://csrc.nist.gov/publications/nistpubs/800-60-rev1/SP800-60_Vol2-Rev1.pdf). The security categories and risk level shall be documented in the designated System Security Plan (SSP) for all systems within the proposal.

Internet Protocol Version 6 (IPv6). All acquisitions using Internet Protocol must comply with FAR sections: FAR 7.105(b)(5), FAR 11.002(g), and FAR 12.202(e) (https://www.acquisition.gov/?q=browsefar).

Roster. The Contractor (and/or any subcontractor) shall submit a roster by name, position, e-mail address, phone number and responsibility, of all staff working under this acquisition where the Contractor will develop, have the ability to access, or host and/or maintain a federal information system(s). The roster shall be submitted to the Contracting Officer’s Representative (COR), with a copy to the Contracting Officer, within one month of the effective date of this contract. Any revisions to the roster as a result of staffing changes shall be submitted within one month of the change. The COR will notify the Contractor of the appropriate level of investigation required for each staff member.

Contract Documentation. The Contractor shall contact the Contracting Officer and/or COR for any NLM templates, policies, forms and other documents necessary to comply with the requirements of this section. All contract deliverables shall be compliant with Section 508.

Standard for Encryption

1. The Contractor (and/or any subcontractor) shall comply with the HHS Standard for Encryption Language in HHS Contracts (http://www.hhs.gov/ocio/policy/2009-0002.001s.html) to prevent unauthorized access to HHS information.

2. The Contractor (and/or any subcontractor) shall use FIPS 140-2, Security Requirements for Cryptographic

Module (http://csrc.nist.gov/publications/fips/fips140-2/fips1402.pdf) compliant encryption to protect all instances of HHS sensitive information during storage and transmission

(NOTE: The HHS Standard for the Definition of Sensitive Information (http://intranet.hhs.gov/it/cybersecurity/docs/policies_guides/HM/dept_standard_for_def_of_sens_info- 051809.pdf), latest revision, must be used to determine if information under this contract is sensitive).

3. The Contractor (and/or any subcontractor) shall verify that the selected encryption product has been validated under the Cryptographic Module Validation Program (http://csrc.nist.gov/groups/STM/cmvp/) to confirm compliance with FIPS 140-2. The Contractor shall provide a written copy of the validation documentation to the COR and/or Contracting Officer.

4. The Contractor (and/or any subcontractor) shall use the Key Management Key

(http://csrc.nist.gov/publications/fips/fips201-1/FIPS-201-1-chng1.pdf) on the HHS personal identification verification (PIV) card; or alternatively, the Contractor (and/or any subcontractor) shall establish and use a key recovery mechanism to ensure the ability for authorized personnel to decrypt and recover all encrypted information (OMB Encryption Guidance at http://csrc.nist.gov/drivers/documents/ombencryption-guidance.pdf ). The Contractor shall notify the COR and/or Contracting Officer of personnel authorized to decrypt and recover all encrypted information.

5. The Contractor (and/or any subcontractor) shall ensure that their equipment and devices meet HHS and OpDiv specific encryption standard requirements or establish a separate procedure to account for all laptop computers, desktop computers, and other mobile devices and portable media that store or process sensitive HHS information (including PII).

6. The Contractor (and/or any subcontractor) shall ensure that encryption keys are provided to the COR and/or

Contracting Officer upon request and at the conclusion of the contract.

Protection of Sensitive Information. All federal information that may be sensitive (as defined in the Departmental Standard for the Definition of Sensitive Information) shall be protected in accordance with Office of Management and Budget (OMB) Memorandum (M) 06-16 (https://www.whitehouse.gov/sites/whitehouse.gov/files/omb/memoranda/2006/m06-16.pdf), Protection of Sensitive Agency Information and encrypted with Federal Information Processing Standard (FIPS) 140-2 compliant solution.

Contractor Agreement. The Contractor (and/or any subcontractor), performing under this contract, shall not release, publish, or disclose non-public federal information to unauthorized individuals. The confidentiality, integrity, and availability of such information shall be protected by the Contractor in accordance with the governing laws and regulations listed as follows:

- 18 U.S.C. 641 (Criminal Code: Public Money, Property or Records) (https://www.gpo.gov/fdsys/granule/USCODE-2011-title18/USCODE-2011-title18-partI-chap31-sec641/content-detail.html)

- 18 U.S.C. 1905 (Criminal Code: Disclosure of Confidential Information) (https://www.gpo.gov/fdsys/pkg/USCODE-2014-title18/pdf/USCODE-2014-title18-partI-chap93-sec1905.pdf)

- Public Law 96-511 (Paperwork Reduction Act) (https://www.govinfo.gov/content/pkg/STATUTE- 94/pdf/STATUTE-94-Pg2812.pdf#page=14)

Note: “Non-public” in this document refers to information only to be used by authorized individuals including authorized contractors.

Contractor Employee Non-Disclosure Agreement (NDA). Each Contractor (and/or any subcontractor) employee having access to non-public federal information under this contract shall complete the OpDiv Commitment to Protect Non-Public Information – Contractor Employee Agreement. Contractor Employee Non-Disclosure Agreement (NDA) is embedded in the mandatory NIH Information Security and Information Management Training for all Contractors https://irtsectraining.nih.gov/. If applicable, a copy of each signed and witnessed NDA shall be submitted to the COR and/or Contracting Officer prior to performing any work under this acquisition (See Appendix C for the HHS Contractor Non-Disclosure Agreement).

Privacy or Security Safeguards (FAR Clause 48 CFR § 52.239-1). The Contractor (and/or any subcontractor) shall comply with FAR Clause 48 CFR § 52.239-1 privacy and security requirements, which can be located at:

https://www.acquisition.gov/?q=browsefar. If new or unanticipated threats or hazards are discovered by either the agency or contractor, or if existing safeguards have ceased to function, the discoverer shall immediately, within one

(1) hour or less, bring the situation to the attention of the other party.

Confidential Information (HHSAR Clause 48 CFR § 352.224-71). The Contractor (and/or any subcontractor) shall comply with HHSAR Clause 48 CFR § 352.224-71 requirements, which can be located at:

http://www.hhs.gov/grants/contracts/contract-policies-regulations/hhsar/index.html.

(Note: Refer to the Departmental Standard for the Definition of Sensitive Information for assistance in tailoring section b. of this clause).

Privacy Threshold Analysis (PTA) – due within three months after contract award.

1. The Contractor shall assist the Senior Agency Official for Privacy (SAOP) (or his or her designee)1 with conducting a PTA (using the Privacy Impact Assessment [PIA] form) for the information system and/or information collection project to determine whether or not a full PIA needs to be completed (http://intranet.hhs.gov/it/cybersecurity/fisma/sport/faq_pia/).

Note: HHS Privacy Officers are listed here: http://intranet.hhs.gov/it/cybersecurity/privacy/#header1. Some of them may also be HHS Privacy Act Contacts, mentioned in Section 3.

a. If the results of the PTA show that a full PIA is needed, the Contractor shall assist the SAOP (or his or her designee) and other designated authorities with completing a PIA for the system or project within three months after completion of the PTA.

b. The PIA shall be completed in accordance with HHS policy, OMB M-03-22, Guidance for Implementing the Privacy Provisions of the E-Government Act of 2002 (https://www.whitehouse.gov/omb/memoranda_m03-22) and shall be revised at each milestone during the system development lifecycle (SDLC).

c. PIAs and PTAs are required in the early stages of system development. PIAs must be reviewed within 3 years of the last PIA approval date and/or updated as needed based on a major change to the system or when new types of PII are collected, that introduces new or increased privacy risks.

Note: At HHS, the same form (i.e., the PIA form) is used for both the Privacy Threshold Analysis (PTA) and the Privacy Impact Assessment (PIA). More questions on the form must be answered when the threshold answers indicate PII is involved.

B. Training

Mandatory Training for All Contractor Staff. All Contractor (and/or any subcontractor) employees shall complete the applicable HHS/OpDiv/Contractor Information Security Awareness, Privacy, and Records Management training [https://irtsectraining.nih.gov/] before performing any work under this contract. Thereafter, the employees shall complete OpDiv specified Information Security Awareness, Privacy, and Records Management training at least annually, during the life of this contract. All Contractor/subcontractor provided training shall be compliant with HHS training policies.

1. Security Awareness and Privacy Training need not be issued by HHS or the OpDiv. These courses may be issued by the contractor.

2. Records Management Training must be issued by HHS/OpDiv.

Role-based Training. All Contractor (and/or any subcontractor) employees with significant security responsibilities must complete role-based training commensurate with their role and responsibilities in accordance with HHS policy and the HHS Memorandum on Role-Based Training Requirement (http://intranet.hhs.gov/it/cybersecurity/policies/index.html), which provides further guidance on the user roles that have significant security responsibilities.

1 HHS Privacy Officers are listed here: http://intranet.hhs.gov/it/cybersecurity/privacy/#header1. Some of them may also be HHS Privacy Act Contacts, mentioned in Section 3.

Training Records. The Contractor (and/or any subcontractor) shall maintain training records for all information security and privacy training completed by all its employees working under this contract, taken at HHS/OpDiv and outside the Department and/or OpDiv training system. The training records shall be provided to the COR and/or Contracting Officer in conjunction with contract award and annually thereafter or upon request and any OpDiv specific rules as applicable. NIH Information Security and Information Management Training – Administration website maintains all training records. The NLM information security compliance team and Information Systems Security Officer (ISSO) can provide the latest training records to COR and/or Contracting Officer if needed.

Note: All training records must be available for the COR and/or the Contracting Officer before contractors (and subcontractors) start performing any work under this contract.

C. Rules of Behavior

1. The Contractor (and/or any subcontractor) shall ensure that all employees comply with the HHS Information Technology General Rules of Behavior (http://intranet.hhs.gov/it/cybersecurity/policies/index.html), and NIH Information Technology General Rules of Behavior is embedded in the mandatory NIH Information Security and Information Management Training for all Contractors https://irtsectraining.nih.gov/.

2. All Contractor employees must read and adhere to the Rules of Behavior before accessing Department data or other information, systems, and/or networks that store/process HHS information initially and at least annually thereafter, which may be done as part of annual OpDiv Information Security Awareness Training. If the training is provided by the contractor, the signed ROB must be provided as a separate deliverable.

D. Incident Response

Per FAR 52.239-1, if new or unanticipated threats or hazards are discovered by either the Government or the Contractor, or if existing safeguards have ceased to function, the discoverer shall immediately bring the situation to the attention of the other party.

The Contractor (and/or any subcontractor) shall report all suspected and confirmed information security and privacy incidents to the NIH Information Security Program <NIHInfoSec@mail.nih.gov>, NIH NLM ISSO nihnlmisso@mail.nih.gov, COR, Contract Officer, SAOP (or his or her designee), and other stakeholders, including incidents involving personally identifiable information (PII), in electronic or physical form, within 1 hour of discovery.

The types of information required in an incident report must include at a minimum: company and point of contact information, contract information, impact classifications/threat vector, and the type of information compromised.

1. Pursuant to 45 C.F.R. § 164.308(a)(6), Business Associates must implement policies and procedures to address security incidents; identify and respond to suspected or known security incidents; mitigate, to the extent practicable, harmful effects of security incidents that are known to the Business Associates; document security incidents and their outcomes; and require their subcontractors to do the same.

Note: More information about Business Associate security requirement within HHS may be found at http://www.hhs.gov/hipaa/for-professionals/security/guidance/guidance-risk-analysis/index.html.

2. Pursuant to 45 C.F.R. § 164.314(a)(2)(i)(C), Business Associates must report to Covered Entities any security incident of which they become aware, including breaches of unsecured protected health information as required by 45 C.F.R. § 164.410. Pursuant to 45 C.F.R. § 164.410(c), such notification must include, to the extent possible, the identification of each individual whose unsecured protected health information has been, or is reasonably believed by the Business Associate to have been accessed, acquired, used, or disclosed during the breach.

Note: More information about Business Associate security requirement within HHS may be found at http://www.hhs.gov/hipaa/for-professionals/security/guidance/guidance-risk-analysis/index.html.

In the event of an information security or privacy incident, the Government may suspend or revoke an existing Authority to Operate (ATO) (either in part or in whole).