Interagency Acquisitions Supplement Determination and Findings! Authority to Enter into an Interagency Acquisition Under the Economy Act Based on the following determination and findings, and according to authority of the Economy Act, 31U.8.C.§1535, a8 implemented in Subpart 17.8 of the Federal Acquisition Regulation (FAR), the requesting agency, U.S, Customs and Border Protection, intends to enter into an interagency agroement (1A) with the: servicing agency, Department of Energy (DOF) Oak idge National Laboratory (ORNL). 1. The requesting agency needs the servicing agency to provide Scientific, Deployment, Strategic, and Management Suppor: Service for testing of biomeirie capture on vehicte travelers exiting the United States at the southern land border. The total cost of the interagency acquisition (LAA) over the performance period of September £, 2016 through April 1, 2017 is $903,500. 2. The supplies or services cannot be obtained as conveniently or eeonomically by eontracting directly with a private source because the work requires broad eccess to sensitive government information including intelligence, program plans, and/or proprietary data from industry tha: is ‘not normally aveilable outside the government. 3, Nothing in this requirement conificts with the authority of the servicing agency. 4. (NOTE: If the agrecment requires contract action by the servicing agency, the determination sand findings (D&F) must inckude one of the following choices, as applicable} ‘The acquisition will appropriately be made uncer an existing contract ofthe servicing agency, entered into before placement of the order, to meet the requirement of the servicing agency for the same or similar supplies or services. ‘The servicing agency has capabilities or expertise to enter into a contract for such supplies or services which is not available within the requesting agency. X The servicing agency is specifically authorized ty law or regulation to purchase such supplies or services on behalf of other agencies, Does not apply DAP is eequred for Economy Act transactions5. Itis in the best interest of the Government 10 supplies or services cannot be obtained as conve witha private source. sue an Interagency Agreement since the tly or economically by contracting dizeetly 6. The requesting agency shall famish a copy of the D&F to the servicing agency with the order, DETERMINATION Based on the above findings, I hereby determine that it is in the best interest of the Goverment to enter into an {A with the servicing agency. cements Official: Neme of the DHS Contracting Officer: (OV). OHCTIC) Signacur Dae: Sf fieFrom: [EEL ONY Date: Monday, August 22 2016 9:50:10 AM tachments: —lahbeadl prorat ‘eo ‘Attached Is the new page 1 of the IAA with the Economy Act Statement, and also the D&F. Thank You [EXE ONT From {BVO ONTI) Sent: Thursday, August 18, 2016 401 PM BLOM) Subject: RE: ECONOMY ACT listed on TAA with DHS/CBP HEEL) ‘Thank you for the quick response. Listing the Economy Act statement in Section 10 will be fine. It won't be necessary to redo the signature page; we will just leave the Program and Funding Officials unsigned. ards, (ENE. 0] PET] ‘Oak Ridge National Laboratory ates Partogrship Project Funding Office (SPPFO) [exer From[O@)PNTNC) Sent: Thursday, RIgUST To: Wilson, Cindy L. Subject: RE: ECONOMY ACT listed on IAA with DHS/CBP “Ie ‘We wil proceed with the Economy Actsnce its already in the IAA, and the requestor did provide a D&F with the requirement already. wil just need to send the D&F back tothe requestor for signature as they did not sign it. | wil just site the full Economy Act Statement in sectian 10 “Scope of Wark" an the first page if that’s okay? ‘The names on the signature page is what was provided, but if Deborah is the only one signing that’s fine. Do you require a new signature page, or can you just white thase names out ar just leave them unsigned? | only ask because to obtain signatures on our end is going to take time, and | know time is running out on this? Unfortunately | don’t do these 1AA’s often, so prior to now | had no knowledge of the Homeland Security Act of 2002 sited below. Good to know for future reference, Thank YouFrom[D OVNI) Sent: Thursday, August 18, 2016 251 PM TofEeLbrre, Subject: FW: ECONOMY ACT listed on IAA with DHS/CBP Importance: High 1eeo lam reviewing and preparing the attached IAA for DOE's approval. | found you listed the Econamy Act 31 USC 1535 & FAR 17.5 in Block 6 and it is referenced on Page 1 of the Terms & Conditions. Typically DHS cites the Homeland Security Act of 2002. 2. Authority Section 309(a)(1)(c) of the Homeland Security Act of 2002 (Public Law 107-296) provides special access to the DOE national laboratories and other facilities on 9 reimbursable basis as implemented in DOE Order 484.1 "Reimbursable Work for the Department of Homeland Security”. I your intent is to send the funds under the Economy Act referenced on the IAA we will need a Determinations & Findings and you will need to list the following full Economy Act Statement on the LAA, This agreement is entered into pursuant to the authority of the Economy Act of 1932, as amended (31 USC 1535) {and adheres to Federal Acquisitions Regulation 6.002. To the best of our knowledge the work requested will not place OOF and its contractor in drect competition with the domestic private sector. ‘Also, | noticed on page 3 you listed an ORNL Program Official and Funding Offical along with Deborah Garland. Deborah Garland will be the only one signing the IAA. Please let me know how you wish to proceed regarding the Economy Act Statement. Thankyou, (GIGK pean] ‘Oak Ridge National Laboratory Strategie Partnership Projects Funding Ofice (SPPFO} [EXG.ONTH From: Garland, Deborah L. Sent: Thursday, August 18, 2016 8:51 AM To: DOE-SPP. Ce: Wilson, Cindy L. ‘Subject: FW: IMA with DHS/CBP Importance: High ‘ORNL Deborah L. Garland U.S. Department of Energy ORNL Site Office Phone: (865) 241-9566 garlandDL@ornlgavImportance: High all, ‘Attached is an IAA between DHS & DOE for review and signature. If you could review and provide signatures that ‘would be great, because | know this isa priority for both agencies to get in place by the end of the month, ''m not sure if ll of you are the correct folks that need to sign for your agency, but your names were provided ‘within DHS as the signees for the IAA. If any of the names are incorrect please just pen in the correct names and 'pass on for signature, One completed signed page would be preferable, but if | get individual signed pages back that's fine as well lonly need the signature page returned, and once it’s returned | willbe able to obligate the funds. Thank you, bon Contracting Officer Department of Homeland Security US. Customs & Border Protection perce. ceNryicy= [BOC = awed onthscret er suber pons Pen ar (UR Fn Canaan PONE OR aR Fae Pa ‘oot cna compas reve or 21 206 16, oe mStar eguramans er Fsl Danae Ve rp Ln Bd Pas oxoBatyours US Chane ad err sein ea en tn Deport alse NS ges emsaicmparert wins ponty mien eens OE oa ie te La OIL ht eerie epee wih Neh peormine compre HFCL acing sed eis, dt mere ann, fetalsegy andcomatatonalrgig org ORC tans bund pete and ones a say, oar lope formats on Ome tao roe oeesane es map reeacton ert OM wl Hone Cw cass owotre sd rebel researc at iting ge ecnlegy ot ata sped thant anche ai ana Sto arnt boner icais eae. ‘Taster ok (SH ncaa te pe conc etn OO nd Ute iC athe rape snopes crac fr ORNL Thecnat owas true seg waustan str nop: sneer art Stn See ote Para Sy Mt 0 Mec 0 0) are Distt he OO: Naarlltrtrtsona “Sata Fateh roe ney war ae Cr nage sips facie Leni crop ote ng set zoe ca rte sneer shalt euteper ot mer Danas cyst ogarsforaparseleniy Toisent OOo it BP inthe evetaren oaysondaiesneno etree frac ets ee a nde thesszoe ony nthe znern cor Ts ret thoes wth econ moms neds ria Cogs one tet ash “etaleytem Csietion [pet Cons eaarerent ol New Serttes Ths ase ropemnamns ee cl orp wth pcs readies zw erprepaton Tf US tes hale a Dario ehae var tths raed oy rie emi robin wc pean te park eli odes Fens mk Teepe eertsitontor oni pe of wale unre eprint Cra ee Mit enelaecton wo i unde Destin steer ran) Forsin ationl ebenert Th Popes wang on spe ms nny te ORM Expr Care Depa 2 fg zor wb woo poe ey eps x SAO lan fearon Sec Pee el Denne apt cose mi ogae sry the Param Marne recep rind ee atl ORNL eet ale oqtory Segoe nace Regaatory Commesion (| unr 10 CFR Pa 130, er Departmen f Ener {DQE| LOCFR Par 830 larg wih che pote lens and equates retest expert i pereeto clan aera a ap gary fr hiro prt Cor Compr S len a epltn rte wr oustencee foes mt hngam eae uct ortan ns got aestclpleaten senses sve etranon al tesa {elsbonton enna jens ag par coals nsrenton age Fateh epic want igre onitengtne esos Feradns eteraton aa fran lene ott 7 Corl Wed Page he a CoMPLSONS SecNANCY Soe A TET Ca ee TT ma TBD) inane paces [2)(6).(oN7 VC) w eae arash fo HP Ones ang ne Con Re vocmoposinas CZ Propel: Arie Sch ita Regret eile resend ate Pao ey Sowornone: wine otsnd nr) Us custane ae Uae Patan ‘sttnert ors stsned teria ((5)(6),(0)¢7) [o. “Sener TTD hates er Oe tomer arr oe) Oat ec hen ton,Page 1 of 4 DEPARTMENT OF HOMELAND SECURITY U.S, CUSTOMS AND BORDER PROTECTION INTERAGENCY AGREEMENT (aay FT Aaraement No, HSBP1016x00137 2 Modification No. Order No, 4 Requisition No. onon94ans [5. Period of Performance | 6. Statutory Authority 7. Date IAA Prepared From ony016 To ouounory | oman Ast 21 USC. 155.8 HAR ITS wie 8. Roquosting Agency 8, Servicing Agency 10. Scope of Work Provide technical and sccoifc support to CBP for the aivancement andr development oftheir biameticsentyfeit programs forall ports of ‘ent. See SOW for requirements ‘This agreement is entered into pursunt tothe authority of the Beonomy Act of 1932, 8 amended (31 USC 1535) and adheres to Feder ‘Aequistions Regultion 6.02. To th best ef eur knowledge the work requested will not place DOE and its contactor in cect enmpeition with the domestic private sector, 11. Delivery/Shipping Schedule ‘Agen Name: DHS - Customs & Border Protection ‘Agony Name: DEPT OF ENERGY Offcebivsen: _ CHP, Procweren Dest Oftewbivsn oo DHE). BUTI) roe Deborah Gund “Ro eet 20ce es fess: HOMON Ho Mase STO Kad ‘ ORNL Site OFF ICR Yea eidge wesesee— POC Phone No POC Phone No. 855-241-9565 IN 37830 72. 1AA Amount 73. Billing and Payment avo Pitco of AA $908,500.00 Requesting Agency Servicing Ageney Mean $0.00 | Sone Cade: otto Ceaser Coder mor nount DUNS Dunsreroea4 DUNS #: oamsrss ae faddwes: DHS -Curmns ode risuen [Adoes: — POen 208 Faaied ‘Comme Acuna Sendcing Fa $0.00 mae [(Y(6).(B TNC) onesies nea1-0@ Teta AAP 209 500.0 [PO Pho POC Pron CLP ot me ” POC Fax i: POC Faxtt 365-241-6861 PoC Ema POC Ema peo _ +414, Requesting Agency TAS No, FS Servicing Agency TAS No. 10 7020162046. 0530000_ 10 ‘90000000_0240_ e4¥ 0240 (CBP Form 236 (10/13)ajo Sof 18. Appravals Program Ofeala Foquadting Agoney Bervcing Agoney Leia EXO. (EON) Tie © sesitvs Derr, PAB Youmans fea Peer Fex.No, HeSS1G0D. bales FEXE).CICC) OCH senate Funding Ofte 5 Nene PLO (EVENT) Ti PEABButg Oboe TetepheneNo, i f@N@).10) ENO) NT) Feiho, . RSSTEREA Frat BE) ONTNC) BHC) ENC] - sie Mlb Contac Ome Ning (mem eter |e" | Contrseing Offi Contrantng OMe (ob Form 29 (10118)Page 2014 [Te TavalealPaymont iethiod 77. Bling Frequency [Z| Requesting Agency Iitate PAC Monty Ey servicing Agoncy Inst PAC Dy ovatany (Di crwat cara ‘Sembennvally Eo otter xpiain bolow) Anal [2] Aavancad Payment (oxpiin below) Dot inbolow) 48. Requesting Agony Accounting and Appropriation Data 0 too 2525 UScSGL.CS00S61£00002i00{G4004PO 19020500 6O15t2525 ‘TaS# 07020162016 0520 ‘CBP Fom 298 (10113)Page 40f4 DEPARTMENT OF HOMELAND SECURITY U.S. CUSTOMS AND BORDER PROTECTION INTERAGENCY AGREEMENT (aay INSTRUGTIONS Block 4: Ince TAA number (automatic system populated). Block 2: Insert modification number of the IAA (automatic systom populated). Block 3: Insert IAA order number (automatic system populated). [Block 4: Insert LAA requlslion rurnber (automatic system populated). ‘Block 8: Insart period of performance for the IAA. Block 6: Insert statutory authority for the IAA, Block 7: Insert date the IMA wes prepared (automatic system populated). Block 8: Insert requesting sgency Information. Block 9: Insert seevicing agency Information. Block 10: Ingerta brief description ofthe IAA requirements (seope of work) and lst the applicable attachmonts In this ‘lock, Ata minimum, the atlachments should include tre IAA terms and conditions, slaternent of work, ard enelysis of alterative, W applcabie. Block 1: Incr re delvery nr sipping schedule othe IAA or reste where he celsrysipsing sees may und. Block 42: Insert the base price of the INA, modification amount, aslsted acquisition servicing fee, and total IAA price automatic system popucted. Block 12: Insert th biling and payment information forthe requosting and servicing agancy (requesting agency Information automatic system populated). [Block 14; Insert the requesting agency TAS rumber for each lire tem (automatic system populated). Block 48; Insert the servicing agency TAS number for each tho tom (automatic system populated). Block 16: Check the Involce/payment method for the WA and explain IF‘other"is selected. [Block 47: Chack the iling frequency for the IAA and explain If “advanced payrnent” or ‘olher" is selected, ‘Block 18; Insert the requesting agency accouniing and appropriation data por ine tom (automate system populated). Block 49: Insert LAA approval information forthe requesting and serviclng agency pertaining to program officials, funding offcais, and contracting ofcers. Include the date for each signature. (CBP Form 236 (1013)Page 1 of 4 DEPARTMENT OF HOMELAND SECURITY U.S, CUSTOMS AND BORDER PROTECTION INTERAGENCY AGREEMENT (aa) F-Rgreoment No, |Z Wodllication Wo. 3. Order Ne, Requisition No. Hsapro1exoots7 |Poc001 020094425 5. Poriod of Performance | 6. Statutory Authority 7. Date IAA Propared From oxvzoreTe osrcreony | Enemy AerS1 USC. ISISAEAR ITS anne | 8. Requesting Agency 9. Servicing Agency ‘Agency Name: DHS Customs & Border Protection ‘Agonoy Name: DEPTOFENERGY ‘OfcerDisln: CBP, Procurement Directorate, OfcobWson Poo: BNE) Poo: Deborsh Garland coe eNE-BNT HCY a Cahorth Got ORNL SITE OFFICE akRidge 1 37830 [POC Phone No POG Phone No. 865-241-9566 10, Scope of Work “The purpose ofthis no cost modification I to extend the above stated IAA end date perio of performance from 04/01/17 to 09/30/17. ‘other requirements remain the same, 411. Delivery/Shipping Schedule 12, AA Amount 13. Billing and Payment [Base Price of AA $803,600.00 Requesting Agency Servicing Agency Tfcaton 390,00 | -oeaer Code: 7080000 Locator Code: wo000007 Amount 1.00 | DUNS DUNS 879824824 DUNS 012075755 oe Address: DHS -Customs order Protection |AdGress: PO Box2008, parol wine CCommardel Accounts Sec. Servicing Fee wareat-c268 oc: tal IMA Pico POG Phone Total IAA Pri ‘$903,600.00 POC Prone POC Emal 14, Requesting Agency TAS No. 10 (07020162016_0530000__ ooo00000_o240_ (CBP Form 236 (10/13)Page 2 of 4 TE ivolee/Paymiont Mathod 7. Billing Frequency [RJ Requesting Agonoy inate IPAC [i] Montnty [D] Semvcing Agency Initiate IPAC Dy ouarterty (Ey Gredit Cara [DJ semiannually [EJ other foxplain below) (Ey Annual [7] Advanced Paymont fexplain below) LD Sire erpiain Below 18, Requesting Agency Accounting and Appropriation Data 40 16{00,2525USCSGLCS0G361 0000000 16400AP0' 13020800 601812525 “ASH 07020162016 0530 CBP Form 236 (10/13)Page 3 of 4 18. Approvals Program Officials Requesting Agency Servicing Agency Name Ti Telephone No. Fax No. Email Signature Date! Date: Funding Officials Name Title Telephone No. Fax No. Email Signature, Date: Bate: Contracting Officials Name (ONE).OKTC Deborah Garand Title Contracting Officer Contracting Officer Telephone No. Fax No. Email Signature (Bren ENT KC) 265-241-9568 865-574-9275 andlor gov Date: whl CBP Form 236 (10/13)Page 4 of 4 DEPARTMENT OF HOMELAND SECURITY U.S. GUSTOMS AND BORDER PROTECTION INTERAGENCY AGREEMENT (AA) INSTRUCTIONS Block 1: laser: JAA number (automatic systeen populated). Block 2: Insert modiication number of the IAA (automatic system populated). Block 3: Insort IAA order number (automatic system populated), Block 4: Insert IAA requisition nunber (automatic sysiem populated). Block §: Insert period of performance for the WA. Block 6: Insert statutory authority for the JAA. Block 7: Insert date the IAA was prepared (automatic system populated), Block 8: Insert requesting agency information, Block 9: Insert servicing agency information. Block 10: Insert a brlef description of the IAA recuitements (scope of work) and list the applicable attachments in this block. Ata minimum, the attachments shauld include the IAA terms end conditions, stetement of work, and analysis of allervative, applicable. Block “4: Insert the delivery andfor shipping schedule for the IAA or indicate where the dalivery’shipping échedule may be foun, Block 12: Insert the base prog of the IAA, mocification amount, assisted acquisition servicing fee, and total INA price-~ auiomatic system populated. Block 13: Insert the biling and payment information for the requesting and servicing agency (requesting agency Infermation automatic system populated). Block 14: insert the requesting agency TAS number for each tine item {automatic system populated), Blook 15: Insort the servicing agency TAS number for each tine tam (autometic system poputated} Block 46: Check the invoicefpayment method for ihe IAA and oxplain If “other Is selectes. Block 47: Check the biling frequency for the #AA and explain if “advanced payment" or “other’ is selected, Block 48; Insert the requesting agency accounting and appropriation data per lina tars (automatic system populated). Block 19; Insert IAA approval Information for the requesting and servicing agency pertaining to program officials, funding officials, and contracting officers. Include the date for each signature, (CBP Foe 226 (#0113)PUN Oak Ridge Site-wide IRB (FWA #0000503 1) July 26, 2016 Title of Study: | Port of Entry Imaging Characterization Investigator: [BVO VO) ‘Type of Review: | Non-Committee Review Exempt Category: | (2) Tests, surveys, interviews, or observation IRB Submission ID: | ORAUO00300 ORSIRB: | ORNL EX(16)-4 Funding: | Department of Homeland Security (DHS) Documents Reviewed: | « Border Vehicle Flow Characterization IRB Application_v2.pdf, Category: IRB Protocol; + 2365-Z061-16_SOW-final.docx, Category: Sponsor Attachment; +CBP.DOE.ORNL IAA Form236.Signed.06.02.16.pdf, Category: Sponsor Attachment; ‘Action: | Approved ‘Approval Date: | 7/20/2016 Expiration Date: | 7/19/2017 ‘Thank you for your submission of New Project materials for this research study. The Oak Ridge Site-Wide IRB has determined this project is EXEMPT FROM IRB REVIEW according to federal regulations as outlined in 10 CFR 745.101(b). Annual follow-up is required on EXEMPT projects. Before the expiration date or within 30 days of study closure, whichever is earlier, you are to submit a continuing review with required explanations, You can submit a continuing review by navigating to the active study and clicking Create Modification / CR. ‘This approval is based on an appropriate risk/benefit ratio and a study design wherein the risks have been minimized. All research must be conducted in accordance with this approved submission, Any revision to previously approved materials must be approved by this office prior to initiation, Please use the appropriate revision forms for this procedure. All unanticipated problems or adverse events must be reported to this office (see DOE Order 443.18). Please use the appropriate form for this procedure. All FDA and sponsor reporting requirements should also be followed. Page | of 2Report all NON-COMPLIANCE issues or COMPLAINTS regarding this study to this office (see DOE Order 443.1), Please note that all research records must be retained for a minimum of three years after the completion of the study. Sincerely, The Oak re Site-wide IRB ORSIRB@orau.org 865-574-4359 Page 2 of 2Department of Energy , ORNL Site Office. P.O. Box 2008 ak Ridge, Tennessee 37831-6269 June 30, 2016 HOTTNEY Exeoutive Director Program Pianaing, Evaluation and Analysis Office of Field Operations U.S. Customs and Border Proteetion Department of Homeland Security 1300 Pennsylvania Avenue, NW Washington, DC 20229 Dea{PVEOW NC) DEPARTMENT O¥ ENERGY (DOF) PROJECT, A PRELIMINARY STUDY OF THE CRITICAL REQUIREMENTS FOR FACIAL BIOMETRICS OF VEHICLE DRIVERS AT LAND-BASED PORTS OF ENTRY (DOE PROPOSAL NUMBER 2365-Z061-16) wi enclosed subject proposal prepared by sf the Oak Ridge National Laboratory (ORNL) for your consideration, ORND is a DOE National Laboratory and a Federally Funded Research and Development Center that is managed and operated by UT-Battelle, LLC (UT-Battelle). As such, any work fanded under this project will be performed by UI-Battelle in accordance with DOE Contract Number DE-ACOS-000R22725. The proposed work has an estimated total project ‘budget of $903,500 through September 30, 2017. You may fund the entire proposal or, if more consistent with your agency’s priorities, choose to fund only specific tasks. Consistent with the DOB's full cost recovery policy, DOE collects, as part of its standard indirect cost rate, a Laboratory Direoted Research and Development (LDRD) cost levied on all monies received af the laboratory. The estimated amount of LDRD costs is identified in the Department of Homeland Security (DHS) proposal cost estimate section, LDRD efforts provide opportunities in research that are instrumental in maintaining cutting-edge science capabilities ‘that benefit all of the customers at the laboratory. DOE recognizes that Section 309(2) of the Homeland Security Act of 2002 (P-L. 107-296), provides that “no fimds authorized to be appropriated or otherwise made availeble to the Department in any fiscal year may be obligated or expended for laboratory directed research end development activities carried out by the Department of Bnergy unless such activities support the missions of the Department of Homeland Security.” In accordance with DOE procedures, DHS will be apprised of the activities conducted under the LDRD program that support DHS missions.[EXER ENTITCY 4 ‘As required under Federal Continuity Directive 1, Federal Executive Branch National Continuity Program and Requirements, federal agencies ate required to develop @ Continuity of Operations (COOP) Program to plan for continuing essential functions in support of the National Essential Functions following a continuity emergency. Unless your organization provides written documentation to indicate otherwise, it is assumed that the work eddressed in this proposal does not support a Mission Essential Funotion (MEF) or Primary Mission Essential Function (PMEE) for your organization. If the proposed work will support a MEF/PMEF as covered in your organization's approved COOP Plan, and ifa delay of up to 30 days in support provided by ORNL as a result of a continuity event would adversely impact your organization's capability to cazry out the MEF/PMEF, please notify the ORNL Principal Investigator as soon as possible. A. review of the applicable postion of your organization's COOP Plan mey be necessary, and the attached proposel will be reviewed for impacts and revised as necessary. June 30, 2016 This work will be done in accordance with the Memorandum of Agreement dated February 28, 2003, between the Secretary of Homeland Security and the Secretary of Energy. ‘The enclosed Administrative Instructions for Interagency Acquisitions are provided to facilitate ‘the processing of finding authorizations for DHS access to DOE laboratories and facilities. The Administrative Instructions veill govern the work that DHS places with DOE laboratories and facilities and contains specific DOE requirements applicable to DHS interagency acquisitions: provides points of contact; and provides details on such matters as authorities, funding, and invoicing of costs, [f there are any limitations associated with the funding provided, please identify on the funding authorization. Your attention is also called to paragraph LC. of the Administrative Instructions, as this item is Fequired by DOE Order on all funding authorizations Suggested wording is highlighted below: This agreement for DOE Proposal Nuunber 2365-2061-16 is entered into pursuant to the authority of Section 309 of the Homeland Security Act af 2002, Public Law 107-296 (6 USC 189). Please read the DOE Administrative Instructions, as they provide additionel information and are important in your consideration of the proposel. Please note tha¢ by accepting this proposal, you agree that the enclosed DOK Administrative Instructions and the DOE Contract Number DE-AC05-000R22725 govern this work. Additionally, please ensure that the person issuing the funding authorization is aware of these requirements,[PEST a June 30, 2016 All correspondence should be adézessed to DOE. For questions conceming the proposal or DOE procedures, contact either me at (865) 576-9902 or ashworthmd@oml.gov, or the ORNL personnel listed in Section X of the enclosed Administrative Instructions. Sinoerely, tig Michael D. Ashworth Contracting Officer Enclosures ce wenclosures: re ee) avid C. Cunningham, SC-OSOSTATEMENT OF WORK A Preliminary Study of the Critical Requirements for Facial Biometrics of Vehicle Drivers at Land-Based Ports of Entry June 2016 Prepared by. Oi) Research and Development Sta Electrical and Electronies Systems Research Division Oak Ridge National Laboratory Oak Ridge, Tennessee 37831 for Department of Homeland Security U.S. Customs and Border Protection 1300 Pennsylvania Ave. NW ‘Washington, DC 20229 Department of Energy DOE) Proposal Number 2365-Z061-16 Prepared Under DOE Contract Number DE-AC05-000R22725 Between the U.S. Department of Energy and UT-Battelle, LLC Page 1 of 8 rrStatement of Work for A Preliminary Study of the Critical Requirements for Facial Biometrics of Vehicle Drivers at Land-Based Ports of Entry U.S. Customs and Border Protection, Department of Homeland Security 1 Background ‘USS. Customs and Border Protection (CBP) is one of the Department of Homeland Seeuzity’s (DHS"s) largest and most complex components, with a priority mission of keeping terrorists and their weapons out of the United States. The execution of this mission makes CBP responsible ‘for securing and facilitating trade and travel while enforcing U.S. immigration laws, Recently, Congress made CBP responsible for developing solutions to infrastructure issues which have become a significant challenge at land border and air ports of entry and exit, Such solutions jnchide the development of innovative technologies integrated with operational process improvements to provide new biometric capabilities at all ports of entry (POEs). DOE's Oak Ridge National Laboratory (ORNL) has extensive experience with high performance computing (HPC), tracking of higa-speed vehicles, standoff biometric recognition, optical design, and comptitational imaging, Using ORNL’s broad-based experience and knowledge of data analytics, sensor development, bioinformatics, biometrics (fingerprint, iris and facial), image processing, and image reconstruction algorithms, ORNL will provide CBP with the capability to capture and process better imaging scenes to enhance security at CBP designated POEs. DUS utilizes the DOE National Laboratories in order to perform researcla and development in the national interest. The Netional Laboratories? role in working with the office of DHS is, to the greatest extent possible, to render cutting edge technology and methodology developed at the ‘National Laboratories and elsewhere ‘routine’ and aid DHS to facilitate its commercialization and transfer to end users as quickly as possible, This statement of work (SOW) is issued pursuant to the prime contract between DOE and UT- Battelle, LLC as the managing and operating contractor for ORNL. The contract provides for research, testing, evalustion, and/or development activities and pursuant to Section 309(2)(1}(©) of the Homeland Security Act of 2002 (Public Law 107-296) authorizes DHS to task the DOE ‘National Laboratories on a “Strategic Partnership Projects (formerly work for others)” basis. Page 2 of §I. Scope of Work. ORNL’s Imaging Signals and Machine Learning Group will provide technicel and scientific support to CBP for the advancement and/or development of their biometics entry/exit programs for all ports of entry. To this end, ORNL will assist CBP in the development, analysis and assessment of critical requirements for facial biomettics of vehicle drivers at land-based ports of entry on the southern border. The results of this scope of work will assist CBP with the information needed for the report to Congress on the efficacy of imaging to support facial recognition of vehicle drivers leaving the Southem border. To develop these critical requirements, ORNL will complete the following tasks: Task 1: Conduct Surveys and Data Collection ORNL will survey two POE sites (a Tier 1 site and a Tier 3 site) to be determined by CBP to collect environmentel and operational data. During the site surveys, ORNL will collect data/information on speed of vehicles, lighting, illumination, infrastructure, traffic How and patterns, observable distance of vehicles approaching the POE, males and procedures, and other environmental and operational matters impacting entry and exit patterns, ORNT. will use imaging technologies to collect data as well as conduct interviews with POE operetors. Specific technologies to be used may include digital single-lens reflex (DSLR) cameras in the visible and infrared, range finders, ambient light sensors, and speedometers. Visible images will be collected for different optics (¢.g., focal lengths) and filters (e.g. attenuation and polarizers). ‘Task 2: Develop Characterization of Vehicle Sets Using the data acquired in Task 1, ORNL will develop segmentations of the vehicle set to understand characteristics (i.e., proportion that could be considered “normal” (typical) to facilitate light field imaging). Image processing techniques will be employed to enhance the quality of the images acquired in Task 1. In addition, statisties for each POE will be generated from the collected datasets. These statistics may includel(O\71E) eNreY ‘ORNL will to verity and ~validate results of the vehicle characterization study with CBP SMBs. ‘Task3: Conduet Feasibility Study ORNL will assess the feasibility to model and to perform laboratory measurements to understand the process and probability of collecting facial biometrics as well as the efficacy of collecting facial biometrics for outbound traffic for the “typical” subset. ORNL will perform computer simulations that tae info account the POE characterization defined in Task 2, these simulations will show the recognition performence of potential imaging systems that can be placed at the border. A report will be prepared for CBP which will include a description of the proposed solutions and their expected performance after computer simulated experiments. ‘Task 4: Prepare Final Report ORNL will prepare a final report detailing the results of Tasks 1-3, The final report will include ey findings from Tasks 1-3 as well as recommendations for the use of facial biometrics to feNTHE) Page 3 of 8Task 5: Project Management ORNL will provide project management functions to manage the scope of the project within budget and schedule; to assure deliverables meet CBP’s expectations; and to minimize risk, ORNL will participate in a project kick-off meeting end will prepare a preliminary plan of actions and milestones (POAM) for the kick-off meeting, A Revised POAM will be submitted to CBP within 15 business days following the kick-off meeting. The POAM, considered to be a living document, will provide a detailed description of planned activities for each funded tesk along with timeline, technical milestones, and a summary of reporting requirements. At minimum, reporting requirements include montaly progress reports highlighting technical ‘progress, potential challenges, and budget status, Task, Milestone/Deliverable | Completion/Due Date Task 1: Conduct Surveys and Data [Environmental and Operational | October 31, 2016 Collection Data for Two POEs “Task 2: Develop Characterization of | Vehicle Set Eligible for Febraary 1, 2017 Vehicle Sets Imaging ‘Task 3: Conduct Feasibility Stady | Assessment of Feasibility to | March 1, 2017 Collect Facial Biometrics Task 4; Prepaie Final Report Final Report: Preliminary Study | April 1, 2017 of the Critical Requirements for Facial Biometrics of Vehicle Drivers at Land-based POEs Task 5: Project Management + Kickoff Meeting + September 8, 2016 + Preliminary POAM + September 8, 2016 + Revised POAM + September 25, 2016 ‘+ Monthly Progress Reports + 15" ofeach month for the preceding ‘month II. Other Reimbursable Agreement Details 1. Place of Performance. ORNL will perform the work under this SOW at their facility in Oak Ridge, TN; however prototypes field testing will be performed at designated CBP POEs, 2. Period of Performance. The period of performance for this SOW is fiom the reimbursable agreement award date to 7 months. DHS may give subsequent extension notices to the DOE in ‘writing for further performance in accordance with the terms of the approved interagency agreement (1A) SOW. 3. DHS-Furnished Facilities, Supplies, and Services. If work at DHS-provided facilities is necessary for the services being performed under this SOW, such facilities will be provided at US. CBP’s office in Washington, D.C. Parking facilities are not provided, however several commercial parking facilities ate located near U.S. CBP’s office. Basic facilities such as work space and associated operating requirements (e.g., phones, desks, utilities, desktop computers, and consumable and general purpose office supplies) will be provided to ORNL personnel working in U.S. CBP’s office. Page 4 of 84. Deliverables. ORNL will provide all deliverables identified in this SOW directly to the DHS Technical Representative with a copy of the transmittal letter to the DHS and DOB Contracting Officer, 5. Program Status Report/Reviews. ORNL will provide monthly progress reports and quarterly program status reviews to DHS. Reports will be provided to the technical representative, contracting officer and DHS resourve manager unless otherwise specified in the sow. 6. Funding Requirements. DHS will provide funding to DOE in accordance with DHS’s appropriations and available funds pursuant to the allocation outlined below: Costs: FY 16 Amount FY 17 Amount Total Direct Costs Labor. $ ‘Bavipment $ Travel 3 s 3 (era Overhead TOTAL COSTS 143,380 $760,120 [$903,500 The total amount of funding requested is $903,500 for a performance period of 7 months. This represents ORNL cost alone. (See the Appendix for a farther breakdown of costs.) Included in the above totals are the following estimated LDRD costs: ORNL LDRD [oer 1 (COLDRD is the DOE Laboratory Directed Research and Development charge. The LDRD is anormal component of DOE overhead cherges to both DOE programs and reimbursable work performed for other federal agencies, It is shown above as a conpanent of the overall subtotal charge to the project. The FY 2002 Energy and Water Development Appropriations Conference Report (HR 107-258) requites DOE to notify federal sponsors that the Department charges LDRD. Other details: Consistent with the DOB?s full Gost recovery policy, DOB collects, as part of its standard indirect cost rate, a laboratory-directed research and development (LDRD) cost levied on all monies received at the laboratory. The estimated amount of LDRD costs is identified in the Department of Homeland Security (DHS) proposal cost estimate section. LDRD efforts provide opportunities in research that are instrumental in maintaining cutting-edge science capabilities that benefit all of the customers at the laboratory. DOE recognizes that Section 309(P} of the Homeland Security Act of 2002 (P.L. 107-296), provides that "na funds authorized to be appropriated or otherwise made available to the Department in any fiscal year may be obligated or expended for laboratory directed research and development activities cazried out by the Depertment of Energy unless Page 5 of 8such activities support the missions of the Department of Homeland Security." In accordance ‘with DOE procedures, DHS will be apprised of the ectivities conducted under the LDRD programs that support DHS missions. 7. Other terms and conditions- All other terms and conditions are in secordance with Master Inter-Agency Agreement No. HSHQDC-09-X-00011 between the Department of Energy and the Department of Homeland Security, signed in Ootober 9, 2008, IV. Points of Contact ORNL Points of Contact (POCs) are as follows: + DOE Contractual POC Michael D. Ashwvorth Contracting Officer U. S. Department of Energy Oak Ridge National Laboratory Site Office Building 4500N, MS 6269 Post Office Box 2008 Oak Ridge, Tennessee 37831-6269 Telephone: (865) 576-9902 Bax: (865) 574-9275 Email: ashworthmé@oml.gov * ORNL Technical POC Oak Ridge National Laboratory Post Office Box 2008 Oak Ridge, Tennessee 37831 Telephone: [(6N5). (710) Fax: (865) 576-8993 Email {19).O)7C) * ORNL Financial POC nein, ge oratory Post Office Box 2008, MS-6252 Oak Ridge, Tennessee 37831-6252 Telephone: Fax: (865) 574-8162 Bmail: [BCLOKN ORNL may change the individual designated as a POC upon notice to DHS of such change. Page 6 of 8The DHS POCs are as follows: + DHS Procurement / Contracting Officer (PNE.ENTNC) DHS—US. Customs and Border eodectcn ATIN: CBP, fen), eNTVC) -presentative (P16). N71 ‘Executive Director, Program Planning, Evaluation and Anelysis DHS —U. §. Customs and Border Protection TeNG).BNT HCY DHS may change the individual designated as « POC upon notice to ORNL of such change. Page 7 of 8Appendix: Cost Breakdown. faa ICSI OTE) ie $e Ee Te: onsen cose he nda ctsanored i Toning te DSTI OTE RSS CO freenona cr tel ut at shes inbrany DeacaResearasa ewennans ou surnoutaaree oat eed vot er atta Page 8 of 8IL DEPARTMENT OF ENERGY/OAK RIDGE NATIONAL LABORATORY SITE OFFICE ADMINISTRATIVE INSTRUCTIONS FOR, DEPARTMENT OF HOMELAND SECURITY INTERAGENCY ACQUISITIONS DOE PROPOSAL NUMBER 2365-Z.061-16 ‘Authority, A. IOINT: ‘The Homeland Security Act of 2002 (Act) euthorizes the Department of Homelend Security (DHS) to access the capabilities of the Department of Energy's (DOE's) laboratories and other sites to further DHS mission objectives. In order to ensure tha availability of DOE capabilities under the existing site contracts on Mareh 1, 2003, the Secretary of Energy and the Secretary of Homeland Security entered into a Memorandum of Agreement, dated February 28, 2003, B, DOE: Oak Ridge National Laboratory (ORNL) is a Department of Energy (DOE) National Laboratory and a Federally Funded Research and Development Center that is managed and operated by UT-Battelle, LLC (UT-Battelle). All work will be performed in accordance with the DOE and ‘UT-Batielle Management and Operating (M&O) Contract Number DE-AC0S-000R22725. All such work shall be on @ full cost recovery basis. Appropriations law necessitates thet DOE or its M&O contractor perform this work: on a best effort basis; however, DOE values other agencies’ business and evaluates the Mé&O contractor on cost, schedule, and customer satisfaction, ©. Department of Homeland Security: DOE requires this statement to be placed on the funding authorization document (Basic) prior to acceptance of the funds: This agreement for DOE Proposal Number 2365-Z061-16 is entered into _pursuant to the authority of Secticn 309 of the Homeland Security Act of 2002, Public Law 107-296 (6 USC 189). Information Protection, Control, and Dissemination Procedures A, Sensitive Information Project: Sensitive but unclassified information (e.g., Oflieial Use Only) will be protected in accordance ‘with applicable U.S. government regulations as implemented in DOE Orders, Policies, Notices, Guidelines, or Procedures, ‘The Department of Homeland Security, U.S. Customs and Border Protection (DHS-CBP) will identity any sensitive information required or being transmitted for ‘the conduct of the project, if the DHS-CBP hes specie! protection or non-disclosure requirements for the project that ate above and beyond DOE protection standards, these must be clearly identified to DOE. Tae DHS-CBP will pay for any additional protection requirements above DOE standards. Feilure to provide guidance on whether information is sensitive but unclassified ‘will zesult in DOE performing the work in a completely non-sensitive information mode,IL B. Clessified Project: Security requirements to be foilowed in performance of classitied work will be in accordance with applicable DOE Orders, which flow down applicable federal regulations, If classified work generates new classified information, DHS-CBP is required to provide to DOE applicable classificstion guidance and any new guides/updates as they are developed. Before work begins or classified matier is received or transmitted, a classified mail and/or shipping channel shall be established and approved by the appropriate DHS-CBP certifying official. Failure to provide classification guidance will result in DOE performing the work according te DOE's existing classification guidance, C. Bxport Control: The DHS-CBP recognizes thet the M&O contractor will perform the work as assigned by DOE vader this project pursuant to provisions of the DOE M&O contract, which inchudes complying ‘with export control laws and regulations. The DHS-CBP must identify to DOE any special pennissions or restriction on export controlled information, equipment, and/or proprietary software. DOB is responsible for ensuring thet the DOE M&O eontractor complies with U.S. government export contro! laws and tegulations. Foreign nationals whe possess VISA status of Legal Permanent Residents (LPR) are treated a5 U.S, citizens with regard to export control requirements. Foreign nationals who do NOT possess LPRs must be reviewed and may require an export and/or deemed export license from the agency having export control jurisdiction. Deemed Export is the trausfer of controlled technology to 2 foreign national within the United States. If this situation arises, the DHS-CEP will be notified by the M&O Contractor's Principal Investigator/Project Manager end if the DHS-CBP concurs with the participation of the foreign national, the appropriate licensing, if required, will be obtained prior to release of such information, equipment, and/or proprietary software. vianagement All DHS-CBP reimbursable funding documents should be sent to the DOE Strategic Partnership Projects (SPP), formerly Work For Others, Contracting Officer for acceptance. See Section X for contact information. A. Funds Obligation: The Treasury appropriation account symbol must be added to the funding authorization, along ‘with the obligational expiration date and a pertod of performance end date. Additionally, if there are any limitations associated with the funding provided, please identify on the funding authorization (2.g., any special concerns with expiration dates, time limited funds, severability or ‘ther restrictions, etc.). Funds shall be considered obligated upon DOE's acceptance of the funds and issuance of direction fo fhe M&O contractor. NOTE: DOB is unable to accopt direct cite funds.B. Pull Funding: ‘Work performed for other federal agencies shall be fully funded for the current fiscal year plus the first three months of the following fiscal year for work that transcends fiscal years, If your agency is unable to provide full funding due to intemal budget allocation processes, you must submit request to weive this full funding sequirement to the DOE SPP Contracting Officer shown in Section X, ©. Financial Policy: ‘DOE will account for and control funds by individual fimdiag document unless specific written instructions to the contrary are received froma a certifying official of DHS-CBP. Multiple funding documents for the same scope of work under this agreement will be felly costed on a ficst-in, first-out basis utilizing cost transfers if authorized. Invoicing Procedures This section incorporates requirements on Intragovernmental Business Rules directed by the Office of Management and Budget on November 13, 2006, AIL billings, collections, and payments releted to reimbursable interagency acquisition (1A) work pesformed ty DOE for other federal agencies will be recorded through the Lntragovernmental Payment and Collection (PAC) System. As expenditures are incurred against a requesting agency's funding authorization, monthly billings will be issued on behalf of DOE by the M&O Contractor's Accounts Receivable Department through the IPAC System, Chargebacks to DOE should not occur unless the requesting agency has agreement with DOE 0 do $0. In addition, sufficient accounting classification ot other fimding informetion required by the requesting agency to property identify the charges should be provided. ‘The DOB Obligating Number (Lc, the sponsor's agreement number [interagency agreement number), funding document number, MIPR number, ete.) shall serve as the common agreement number required by FMS Bulletin Number 2011-04. The DHS-CBP IA should specify information including: Agency Location Code (ALC) ‘Treasury Account Symbol (TAS) Business Event Type Code (BETC) Business Partner Network (BPN) number Contracting and Accounting Points of Contact See FMS Bulletin Number 2011-04 for detailed billing instructions. Intellectual Property Rights Inventions made in performance of this work may fall within the DOB-issued Class Patent Waiver to the M&O contractor and the M&O contractor may elect to retain title to such inventions subject to retention by the Federal Government of march-in-rights and a non-exclusive, nen-transfetrable, irrevocable, paid-up license to practice or have practiced for or on behalf of the United States the invention throughout the world,