J A_Redacted.pdf

MICC Control No. 2015-17 West Point-2015-2

JUSTIFICATION DOCUMENT

FOR OTHER THAN FULL AND OPEN COMPETITION

DESCRIPTION OF PROGRAM: BIOMETRICS

Authority: 10 U.S.C. 2304(c)(1); as implemented by FAR 6.302-1, Only One Responsible Source and No Other Supplies or Services Will Satisfy Agency Requirements

Amount: $3,000,000.00

Reviews: I have reviewed this justification and find it adequate to support other than full and open competition.

JUSTIFICATION DOCUMENT

FOR OTHER THAN FULL AND OPEN COMPETITION

BIOMETRICS

1. CONTRACTING AGENCY: Mission and Installation Contracting Command – West Point

2. DESCRIPTION OF ACTION: This justification authorizes and approves a firm fixed price contract for research and development of a Biometric Application Program Interface (API) at West Point, NY. Fiscal Year 2014 RDT&E funding has been provided for the base period of this contract. The Option period may be funded with Fiscal Year 2015 RDT&E funding.

3. DESCRIPTION OF SUPPLIES/SERVICES: The Information and Educational Technology Division (IETD) at West Point, in support of the Defense Advanced Research Projects Agency (DARPA) Active Authentication Program, has a requirement for research and development of a Biometrics Application Program Interface (API) consisting of: (1) A secure container for behavioral/cognitive-based and traditional biometric sensors and analysis engine applications; (2) Sensor data fusion algorithms to support a multi-modality Active Authentication (AA) platform; (3) Cryptographic algorithms and protocols using biometric features to support the ability to transmit and receive data security using a key exchange that is client-verified; and (4) Data collection support for specific biometric sensors that are part of the DARPA Desktop and Mobile Active Authentication Program. In addition, the effort will include technical subject matter expertise support for emerging behavioral based biometric capabilities and platforms. The total performance period will be 18 months.

4. AUTHORITY CITED: This action is authorized under provisions of 10 U.S.C.

2304(c)(1) as implemented by Federal Acquisition Regulation (FAR) 6.302-1, Only One Responsible Source and No Other Supplies or Services will satisfy Agency Requirements.

5. REASON FOR AUTHORITY CITED:

In accordance with FAR 6.302-1(a)(2), International Biometric Group (IBG), LLC (a Novetta Solutions Company) is uniquely qualified to support the requirements of this effort. As described in the following sections, the experience and knowledge that IBG possesses is critically important to meeting cost, performance, and timing required of West Point. The research conducted by this effort is integrated with two

(2) other DoD organizations (DARPA and CERDEC) under a firmly established timeline. The approved deadline for the integrated work is July 2016. Award to any other source would result in the failure in the program for West Point and the partner organizations or introduce unacceptable delays in fulfilling requirements. Once the research is complete, the Government can competitively award all follow-on efforts to take the results and build a production capability on future Army platforms.

a. Background:

The West Point contribution to the biometric field is based on a deep technical and operational understanding of the Army operational environment, Army policy requirements, biometric technologies, and current novel research into stylometric/behavioral biometrics. West Point has supported a collection of program requirements that provide the foundation and integration components for a broader DARPA program focused on expanding research and development of biometrics that can validate an individual’s identity without interrupting what they are doing. The focus of West Point’s work is on “cognitive fingerprints” rather than physical biometrics. The biometrics program is creating a next generation biometric capability built from multiple stylometric/behavioral modalities using standard Department of Defense (DoD) computer hardware capabilities and incorporating Army operating environments. Just as when you touch something with your finger you leave behind a fingerprint, when you interact with technology you do so in a pattern based on how your mind processes information, leaving behind a “cognitive fingerprint.” The new biometrics must support capture using hardware technologies already part of a standard Army office environment. A heavy emphasis is placed on validating these new and novel biometrics with empirical tests to ensure they would be effective in large-scale deployments.

The intent is that multiple modalities will be used to collectively develop and aggregate attestation of identity.

This requirement supports West Point’s third and fourth phases of a multi-phase effort. The objective of West Point’s work during theses phases is to provide platform development which includes: implementation of an “alpha” version of a secure container for process execution; development of the software design document for a biometrics based encryption for data communication; implementation and validations of an “alpha” version for sensor fusion, and subject matter expertise to include researcher engagement and empirical data collection and analysis in support of revolutionary technologies regarding software-based biometric modalities that can capture aspects of the cognitive fingerprint.

In these new phases of the program, the West Point led team will work closely with other DARPA Biometric researchers, responsible for the development of the behavioral biometrics, and the Communications- Electronics Research, Development and Engineering Center (CERDEC), responsible for the integration platform. Knowledge at the “analysis, synthesis, and evaluation” levels1 of the ongoing West Point Biometrics research, DARPA biometric sensors developed under the Active Authentication Program, and the CERDEC Biometrics platform is essential to success. The tasks to be completed by the contractor under this effort are critically reliant on a detailed understanding of past work, a broad experience in current biometric technologies, a deep experience in developing frame-works, and evaluating current and emerging biometric modalities for effectiveness. The contractor shall provide the expertise to execute the tasks and meet contract deliverable requirements.

b. Alternatives:

i. Performing the required research and development effort using on hand West Point researchers and knowledge. This option is not viable given the lack of available Government personnel in terms of time and availability. If the availability of additional “over hire” personnel were possible, these personnel would not possess in-depth knowledge of the performer technologies including how the modality works.

ii. Not completing the research. This option is not viable as it would cause critical impacts to the highly invested research efforts of the existing research partners at DARPA and CERDEC for the overall Biometrics AA program. The partner organizations have invested significantly to develop components of a solution to securely incorporate multiple behavioral based biometrics into a continuous multi-modal authentication system. The West Point integration effort is essential to a functional end solution. Without the West Point work, the system will not function and in addition to the waste of time and resources already invested, the current Army information systems will continue to be exposed to serious and critical security threats that are correctable under this program.

1 Blooms Taxonomy for Higher Order Thinking, Bloom, B. S.; Engelhart, M. D.; Furst, E. J.; Hill, W. H.;

Krathwohl, D. R. (1956). Taxonomy of educational objectives; The classification of educational goals. Handbook I:

Cognitive domain. New York: David McKay Company.

iii. Competitively awarding this requirement in the open market. As explained in the following justification below, this is not a feasible option. Due to the highly complex technical nature of the research and the very tight integration with other DoD research partners, the specialized and unique capability possessed by IBG provides the only opportunity for the research to succeed under the resources available and in the timeline required by DoD and research partners.

c. Justification:

The Department of Defense (DoD) faces a serious and critical threat to its information systems. The current PKI/CAC infrastructure has been proven to fail at providing the level of identity attestation required by DoD (DoDi 8520.2, AR25-2). This program is designed to provide an alternative authentication process for DoD that addresses the critical flaws in the current system.

Failure to meet the requirements of the West Point research and development effort will seriously impact the delivery of this next generation capability. The timelines established by DARPA require the tight integration of multiple research partners that are reliant on the technologies produced to meet the project requirement. A delay or failure on the part of West Point would critically impact the overall program and the existing research partners at DARPA and CERDEC. The partner organizations have invested significantly to develop components of a solution to securely incorporate multiple behavioral based biometrics into a continuous multi-modal authentication system. West Point has unique capabilities (domain knowledge, technical expertise, and research and development integration experience) to direct the multi-task effort to integrate the sensors and computing platform to result in a functional end solution. Without the West Point work, the system will not function.

A new vendor would require extensive research to be in a position to contribute to: the complex development, modeling, and assessment of new AA protocols; the technical requirements for secure operations; and the use of the data for identity attestation. For an established biometrics vendor, the time required to become familiar with the project’s required experience is not supportable within the time required for supporting the overall development and would cause critical delays or failures.

The required areas of foundational experience/knowledge and estimated time to gain this knowledge include:

i. Knowledge Area 1: Existing state of multi-modal continuous authentication protocols and their applicability in DoD environments. This area includes the biometric effectiveness data taxonomy developed by West Point over the previous contracts and the biometric modalities developed under work conducted during the Biometrics AA Program. The Government estimates that this would take two (2) researchers a total of 400 hours (40 hours per requirement) to gain this knowledge. This is required prior to proceeding in the other knowledge areas.

ii. Knowledge Area 2: The Biometrics Integration platform under development by CERDEC. To gain this knowledge and therefore be capable of evaluating solutions and performance, it would require analysis of the integration platform (coordinated with CERDEC). The Government estimates that it would take two (2) researchers 160 hours (80 hours each) to gain this knowledge.

iii. Knowledge Area 3: The proof of concept development under West Point contract W911SD-14-C-0002 for a secure container to protect the collection, transmission, processing, and storage of all data and processes associated with the biometrics data flow. To gain this knowledge and therefore be capable of evaluating solutions and performance and developing the Software Design Document (SDD) and Interface Control Document (ICD), it would require implementation and analysis of the container prototype developed including understanding the virtualization architecture and custom code. The Government estimates that it would take two (2) researchers 160 hours (80 hours each) and one (1) system administrator (80 hours) a total of 320 hours to gain this knowledge.

iv. Knowledge Area 4: The sensor fusion algorithm designed/developed under W911SD-14-C-0002 to accept any biometric processing module conforming to the communication and data specifications and output a trust rating (identity attestation).

To gain this knowledge and therefore be capable of evaluating effectiveness and performance and developing the Software Design Document (SDD), it would require implementation and analysis of the fusion algorithm prototype developed, including understanding the value of each sensor’s identity ratings for the fusion algorithm and how each sensor communicates to the CERDEC platform. The Government estimates that it would take two (2) researchers (80 hours each) and one (1) software engineer (120 hours) a total of 280 hours to gain this knowledge; and

v. Knowledge Area 5: The state of the art for client-verified key exchange cryptographic algorithms and protocols using biometric features to support the ability to transmit and receive data security.

This knowledge is dependent on knowledge areas 1 and 3 in order to implement a proof of concept of a biometric based encryption protocol and develop a SDD for the Alpha version. The Government estimates that it would take four (4) researchers 320 hours (80 hours each) to gain this knowledge.

A contractor without existing capability across all five (5) areas would require a total of 1,480 person hours or about $400K and would minimally take an additional four (4) months to acquire the required knowledge. This will also create substantial duplication of cost to the Government that is not expected to be recovered through competition. The greater impact however, would be the critical impact and potential failure to the overall Biometrics AA program thereby continually exposing the Army to serious and critical threats to its information systems.

The Army has determined that IBG is the only company that can meet the base period completion date of 31 July 2015 and the option period completion date of 30 June 2016 based on the foundational experience/knowledge that IBG already possesses from successful completion of the most recent phase of the West Point research program.

d. Prior Acquisitions:

West Point conducted two (2) efforts in the field of stylometric AA biometrics:

The first focusing on a review of the “biometric state of the art” and an additional specific technical report requested near the end of the original period of performance.

i. To support the initial effort, West Point conducted a competitive acquisition. This award went to IBG (W911SD-12-P-0035).

ii. Near the end of the period of performance, West Point conducted an additional technical review of biometric technologies that was an extension of the existing work. As a result, a follow-on sole source contract was awarded to IBG (W911SD-12-P-0424).

The second major effort was a sole source award (W911SD-14-C-0002) based on the technical requirements needed to successfully complete the effort. Like this current effort, this previous sole source established IBG’s unique capability across the spectrum of research areas.

e. Impact:

Should this request be denied, failure or delay in completion of this effort would ultimately delay completion of the larger development effort involving both DARPA and CERDEC. The West Point effort is critical to completion of the larger Biometrics AA program seeking to create a new authentication process for the DoD. This delay translates into a significant loss of progress, potential failure of the broader program, waste of resources dedicated to other tasks of the effort, and the Army’s continual risk of security threats.

6. EFFORTS TO OBTAIN COMPETITION:

A sources sought notice was posted to the Federal Business Opportunities (FedBizOpps or FBO) via the Army Single Face to Industry (ASFI) on 4 August 2014. The notice sought capable and qualified firms to provide capability packages to MICC – West Point on 11 August 2014. A total of four (4) firms responded to the notice; however, only IBG demonstrated the capability required:

Company Name Size Classification Cage Code

American Innovations, Inc. 8(a), HUBZone, EDWOSB 1BUP8 iBeta Quality Assurance SB 49VN7 IBG, a Novetta Solutions Company

Large Business 3CJ25

ImageWare Systems, Inc. SB 0YW98

7. ACTIONS TO INCREASE COMPETITION:

This requirement meets the thresholds in FAR 5.201(b)(1)(i), therefore the notice required in FAR 5.2 was posted to the FBO via the ASFI on 14 November 2014. As required by FAR 5.207(c)(16)(ii), the synopsis included a statement that all responsible sources may submit a capability statement or proposal, which will be considered.

It is anticipated that the Government will obtain use rights for any resulting data generated from this contract effort. As a result, this Open Business Model will allow the Government to fully compete all follow-on efforts to take the research results and build a production capability on future Army platforms.

8. MARKET RESEARCH:

The market research conducted included: a review of FBO, the Small Business Administration’s (SBA) Dynamic Small Business Search (DSBS), GSA Advantage, historical contract information, the DARPA BAAs, and the sources sought posting.

According to the market research conducted, there was only one (1) firm determined capable of performing this requirement.

9. INTERESTED SOURCES:

The only interested sources identified are those listed above. As noted, only IBG demonstrates the required capability across all five segments. Also, the notice required by FAR 5.201, was published on 14 November 2014. To date, no other sources have expressed interest in writing.

10. OTHER FACTS:

a. Procurement History:

Contract Number

Contractor Type of Set-Aside

Contract Amount

Period of Performanc e

Description of Contract

W911SD-14-C-

International Biometrics Group, LLC

Sole Source

$1,329,307.

1/30/14 – 9/30/14

Biometrics API

W911SD-12-P-

International Biometrics Group, LLC

SB $172,400.00 12/13/11 –

9/4/12

Biometrics Research

W911SD-12-P-

International Biometrics Group, LLC

Sole Source

$79,750.00 9/29/12 – 5/29/13

Biometrics SME

b. Acquisition data availability: N/A

c. Unusual and compelling urgency: N/A

d. Subcontracting Competition: N/A

14. PROCURING CONTRACTING OFFICER CERTIFICATION: I certify that this Justification is accurate and complete to the best of my knowledge and belief.

Name:

Title: Signature:

Approval

Based on the foregoing justification, I hereby approve the procurement of Biometrics to International Biometric Group, LLC for an estimated $3M on an other than full and open competition basis pursuant to the authority of 10 USC 2304(c)(1)), as implemented by FAR 6.302-1, subject to the availability of funds, and provided that the services herein described have otherwise been authorized for acquisition.

Signature: __________ Date: ___________________ Dean M Carsello Advocate for Competition US Army Mission and Installation Contracting Command, Ft Sam Houston TX

14 JAN 2015