MEMORANDUM OF AGREEMENT
Washington Headquarters Services
National Security Commission on Artificial Intelligence
MOA reference number WHS-NCAI-2019
- PURPOSE: The purpose of this Memorandum of Agreement (MOA) is to establish a mutual framework governing the organizational relationships and responsibilities between the Parties for providing necessary support and services.
- AUTHORITY: National Defense Authorization Act for Fiscal Year 2019 (FY 2019 NDAA), §1051; 5 U.S.C. §104; 5 U.S.C. §3161.
- BACKGROUND: Section 1051 of the FY 2019 NDAA established the National Security Commission on Artificial Intelligence (“the Commission”) to review advances in artificial intelligence, related machine learning developments, and associated technologies.
- Pursuant to Section 1051 of the FY 2019 NDAA, the Commission is established in the Executive Branch as an independent commission, and will be considered an independent establishment of the Federal Government as defined by 5 U.S.C. § 104, and a temporary organization under 5 U.S.C. § 3161.
- The Commission was established on August 13, 2018 and terminates not later than October 1, 2020.
- DESCRIPTION OF SERVICES TO BE PROVIDED: DoD will provide certain support and services to the Commission on a reimbursable or non-reimbursable basis as set forth in paragraphs 5 and 6 below. All DoD support and services agreed to and provided to the Commission shall comply with applicable statutes and regulations.
- DoD and Commission employees shall comply with applicable policies and regulations. DoD employees will comply with all DoD policies and regulations.
- The Director, Washington Headquarters Services (WHS), shall provide the Commission with certain DoD administrative support and services as detailed in the paragraphs below.
- COMMISSION FUNDING: The funding level will be $10.0 million provided by DoD and made available to the Commission until expended in a Treasury account. Available funds will be expended under the authority, control, and direction of designated Commission staff. The Commission will be responsible for financing an Independent Public Accounting (IPA) audit upon termination of its activities. The Commission staff is responsible for managing their financial transactions, reconciling with WHS, and conducting schedule Dormant Account Reviews (DARQs) to ensure that Funds Balance with Treasury are mutually agreeable. Upon Commission termination, WHS will assume operational controls of the Treasury account (48X2965) and manage its closure. Upon liquidation of all outstanding obligations, WHS will coordinate the technical account closure with the United States Treasury and the Office of Management and Budget (OMB). The services provided by WHS under this paragraph will be provided on a non-reimbursable basis.
- RESPONSIBILITIES OF THE PARTIES: The following paragraphs identify the responsibilities of the organizations involved.
- Human Resources Support: The Chairman or the Executive Director will identify the Commission’s manpower requirements, including employees and/or individuals or experts to be requested for detail to the Commission from DoD or other agencies or departments of the Federal Government. Pursuant to 5 U.S.C. §§2105, 3109, and 3161, the Chairman of the Commission and Commission’s Executive Director have authority to appoint individuals to positions in the excepted service with the Commission. These individuals are employees of the Commission, and are neither DoD employees, nor detailees. The Commission will employ a Human Resources Liaison who will prepare Request for Personnel Actions (RPAs) and submit them to WHS, Human Resources Directorate (HRD). WHS/ HRD will provide human resources support necessary to execute personnel actions. The Commission will provide WHS with the name and contact information of the Commission Human Resources Liaison for purposes of ensuring that the Commission addresses and resolves human resources-related issues identified by WHS. Similarly, WHS will provide the Commission with a Customer Account Manager, to advise the Commission on all human resources- actions. WHS/HRD will provide human capital support in a variety of areas, including but not limited to, recruitment and placement, classification, employee benefits, labor management, employee relations, and security for the Commission and its employees. Transit benefits for the Commission and its employees are on a reimbursable basis.
- Payroll Services: WHS will authorize the Commission access to and use of the Defense Agency Initiative (DAI) Time and Attendance (T&A) system, and subject to validation/approval of timecards by a senior Commission employee designated to perform this function, WHS will provide payroll service for the civilian members of the Commission staff hired through DoD Human Resources Directorate. The Commission shall implement effective internal controls and provide all necessary documentation to support WHS providing the Commission’s personnel with access to the Time and Attendance system. The Commission and its staff are responsible for entering and approving both leave and payroll details in accordance with established payroll regulations. Failure to properly enter or approve time could result in employees not receiving payment. The Commission is responsible for appointing a payroll Customer Service Representative (CSR). WHS will provide all required training to the Commission’s CSR. The Commission’s CSR will be responsible for ensuring that the Commission effectively validates/approves the timecards of Commissioners and Commission staff on reporting Commission-related T&A in DAI. The Commission will ensure that all the T&A of all Commission personnel is inputted into DAI in accordance with existing DoD regulations, policies, and procedures. The Commission will document all authorized Certifying Officials by providing WHS DD Form 577 (Appointment/Termination Record- Authorized Signature) Similarly, WHS will provide to the Commission, a senior WHS POC who will assist the senior Commission employee designated to validate/approve Commission time cards in addressing T&A and payroll issues.
- Travel Services: WHS, through the use of the Defense Travel System (DTS), will provide government travel services for Commissioners and Commission staff. The Chairman or the Executive Director shall approve, in advance, all travel requests for the Commission. The Commission shall designate a Commission DTS/Travel Program Manager, who will ensure that all Commission travel requests are input into DTS in accordance with existing DoD policies and procedures and that all Commission travel vouchers and reconciliation documents are filed and reconciled properly. The Commission will provide WHS with the name and contact information of the senior Commission employee designated to serve as Commission DTS/Travel Program Manager for purposes of ensuring that the Commission addresses and resolves any travel-related issues identified by WHS. WHS will provide required training for the Commission DTS/Travel Program Manager on DTS. Similarly, WHS will provide to the Commission, a senior WHS POC who will assist the Commission DTS/Travel Administrator in addressing travel-related issues. The Commission’s Travel Administrator is responsible for reconciling all outstanding travel orders that are in excess of 30 days to determine their validity. The Commission’s Travel Administrator is responsible for ensuring that Commission personnel submit travel vouchers and that unsupported obligations do not age past 60 days.
- At the request of the Commission staff and with WHS approval, WHS Financial Management Directorate (WHS/FMD) will make Government Travel Cards (GTC) available for Commissioners and members of the Commission staff. Those Commission personnel issued GTC shall be subject to all DoD regulations, policies, and procedures regarding use of the GTC. The Commission and the Commission DTS/Travel Program Manager are responsible for ensuring Commission compliance with GTC regulations, policies, and procedures. With regard to premium-class travel requests, the Chairman of the Commission shall ensure that Commissioners and Commission staff comply with all guidance issued by the Office of Management and Budget (OMB) pertaining to premium class travel accommodations. The Chairman is the approval authority for premium-class travel accommodations for all Commissioners and Commission staff, except for the Chairman himself and for any Federal Government personnel detailed to the Commission. All request for premium-class travel accommodations for Commissioners or Commission staff personnel will be submitted in writing to the Chairman, in advance of the travel proposed, to the Chairman with appropriate justification. With regard to requests for premium-class travel accommodations for the Chairman, the Chairman, as the head of an independent establishment of the Federal Government, must obtain written approval from the OMB prior to initiating travel planning, orders, and travel. With regard to premium-class travel accommodations for Federal Government personnel detailed to the Commission, any such request must be approved according to the policies and procedures prescribed by the department or agency by which the individual concerned is employed.
- Information Technology (IT): The Commission’s Chairman or Executive Director will identify the Commission’s requirements and the WHS Acquisition Directorate (WHS/AD) will assist in any IT procurement necessary for the Commission. The Commission is responsible for financing any and all IT services to include, but not limited to, telephones, cellphones, computers, fax machines, and any other specialized equipment and applications. The Commission is responsible for requesting and getting all specialized applications approved prior to their implementations.
- Facilities: On a reimbursable basis (i.e., the Commission will be responsible from Commission funds for all rent or other facility occupancy charges), WHS will provide the Commission with government-leased or government-owned office space from existing inventory, if available, at a location to be identified by WHS. If it is necessary to acquire a new leased facility, WHS will facilitate such action through the appropriate leasing agency. As part of any occupancy agreement with DoD or other appropriate leasing agency, the Commission will receive government-approved office furniture, security services, government-approved cleaning services, and overall facilities management through WHS. The Commission shall be responsible for its purchase and utilization of any items not provided by WHS and for the purchase and utilization of expendable supplies. WHS will provide access to a Sensitive Compartmented Information Facility (SCIF) in the Pentagon or at a government leased facility near the Commission offices. Access to the existing SCIF space will be provided on a non-reimbursable basis.
- Contract Services: WHS/AD will provide the Commission with contract support for any legally authorized contracts that the Commission requires. The General Counsel assigned to WHS will provide contract legal support, as needed. All contracts issued by the WHS/AD on behalf of the Commission will be funded by the Commission. In addition, the Commission is responsible for developing Statements of Work and independent government cost estimates. The WHS/AD, on behalf of the Commission, will oversee the review, solicitation, and award of contracts, grants, or cooperative agreements as well as contract management. The Commission will designate a senior, fully qualified employee to serve as Contracting Officer Representative. All WHS or DoD contracting personnel performing contracting services for the Commission will comply with all applicable statutes, regulations, and DoD policies/practices. The Commission will provide WHS with the name and contact information of the Commission Contracting Officer Representative for purposes of ensuring that the Commission addresses and resolves any contract-related issues identified by WHS. Similarly, WHS will provide to the Commission, a senior WHS POC who will assist the Contracting Officer Representative Human Resources Officer in addressing Commission contract-related issues. Upon request of the Commission, WHS will provide Government Purchase Card(s) (GPC) to Commission staff. The Commission will ensure appointment of approving officials in accordance with DoD policies for the GPC program. The Commission is responsible for appointing a certifying official to review and validate all contractor submitted invoices. The Commission is responsible for ensuring that invoices are reviewed and approved within the terms of the contract. The Commission is responsible for financing any and all interest penalty payments resulting from late vendor payments.
- Legal Services: Except for legal support provided to WHS by WHS OGC in connection with the services and support provided by WHS under this MOA, all legal services pertaining to the Commission will be performed by the Commission’s General Counsel.
- Administrative Services: WHS will provide Common Access Cards for all Commissioners and staff members. Upon request from the Commission staff, WHS will provide unescorted access to the Pentagon and Mark Center for Commissioners and for Commission staff members conducting regular business in DoD facilities. At the request of the Commission staff, select building passes granted to staff members will include escort privileges. Issuance of a DoD Pentagon Building Pass is contingent upon the individual recipient meeting DoD requirements for the issuance of said Building Pass and complying with applicable Pentagon Force Protection Agency rules. The Commission is responsible for ensuring that authorized personnel and guest comply with established Pentagon Reservation policy and procedures. The administrative services identified in this section will be provided on a non-reimbursable basis.
- Access to DoD Office or Facilities: All Commission requests to access any DoD office or facility will be submitted through the DoD Component Head concerned or his/her designated representative.
- Freedom of Information Act (FOIA)/Privacy Act (PA) Requests: The Commission is responsible for any FOIA/PA requests pertaining to the Commission’s work, information, and filing systems. DoD is not responsible for any FOIA/PA requests pertaining to work, information, or filing systems of the Commission, Commissioners, or Commission staff. WHS will provide, on a non-reimbursable basis, a POC who can provide incidental advice on FOIA/PA issues. The Commission will consult with the Office of the Chief Management Officer, Directorate of Oversight and Compliance, on matters concerning FOIA appeals, and with the DoD Office of the General Counsel on FOIA litigation matters. The Commission will collect program metrics for its annual FOIA report to the Department of Justice, Office of Information Policy.
- Financial and Budget: WHS/FMD will assist the Commission with budget execution activities utilizing its established accounting and reporting system and processes. FMD will coordinate with the OMB and the Defense Finance and Accounting Services (DFAS) to ensure that approved funding is accepted and made available for the Commission to use in accordance with their governing statute. FMD will ensure that a summary of funds executed through its accounting system is provided monthly. The Commission will be responsible for: ensuring that executed funds comply with governing policies and regulations managing commitments, obligations, and disbursements (as part of the Tri-Annual Review); budget reconciliation; preparing Military Interdepartmental Purchase Requests (MIPRs); coordinating resource allocations to travel and purchase cards; preparing related financial/budgetary data calls; and preparing periodic financial reports (e.g., status of funds, open commitments, and disbursements) for use by, or on behalf of the Commission, as needed. The Commission will identify a contact who will prepare budget and finance actions for submission to WHS. The Commission will provide WHS with the name and contact information and submit the requisite system access documentation, for purposes of ensuring that the Commission addresses and resolves any budget and finance-related issues identified by WHS. Similarly, WHS FMD will provide to the Commission, a WHS POC who will assist the Commission in addressing Commission budget and finance-related issues. The Commission will be responsible for ensuring the orderly shutdown/closure of this account to include any required financial audits. Account closure will ensure that the resources and procedures are available and put in-place to address any future liabilities associated with contracting or other financial transactions. The Commission is also responsible for funding an Independent Public Accountant (IPA) to examine the financial records. Upon disestablishment of the Commission, WHS will continue monitoring and managing unliquidated obligations until all outstanding actions are finalized and the account can be reported as closed to the US Treasury.
- Records Management: WHS, Executive Services Directorate (WHS/ESD) will advise the Commission as to its responsibilities for establishing and maintaining official records as required by United States Code and governing federal regulations; in transferring organizational official records; and in archiving official records when the Commission is terminated. For records management purposes, the Commission falls directly under the National Archives and Records Administration. WHS/ESD will make records management training available to Commission personnel. The Commission will employ a Records Manager who will manage all Commission records. The Commission will provide WHS/ESD with the name and contact information of the Commission Records Manager for purposes of providing guidance when requested. Similarly, WHS/ESD will provide to the Commission, a senior WHS/ESD POC who will advise the Commission Records Manager in addressing Commission records management issues. Records management advice and guidance will be provided on a non-reimbursable basis.
- Security Clearance: The Commission Chairman or the Executive Director will identify requirements for members of the Commission and staff to access to classified data, locations, and/or information. WHS will process security clearance requests for Commissioners and staff needing initial, periodic reinvestigation, or upgrades of their security clearances. Additionally, WHS will maintain the security clearances for the Commission utilizing the Joint Personnel Adjudication System (JPAS) or other security clearance databases as necessary. When requested by the Commission, WHS will pass security clearances to other security offices using standard procedures. The Commission will provide WHS with the name and contact information of their security POC to coordinate security matters. Similarly, WHS will provide to the Commission, the name and contact information of the individual who will function as the security manager on behalf of the Commission and a senior WHS POC who will assist the Commission in addressing security issues. Security clearance services will be provided on a non-reimbursable basis.
- APPLICABLE LAWS: Statutes, regulations, directives, issuances, and policies of both the DoD and the Commission shall govern this MOA, as applicable.
- FUNDS AND MANPOWER: This MOA documents and provides for the commitment to exchange funds between the Parties. All costs and services except for facility rent provided under paragraph 6(f) will be provided by WHS to the Commission on a non-reimbursable basis. Facility rent under paragraph 6(f) shall be provided to WHS by the Commission on a reimbursable basis. Supplemental agreements may be established between the parties that change or amend the designation of a cost or service as reimbursable or non-reimbursable. This MOA does not make any commitment of funds, manpower, or resources other than what is specified in this MOA. Nothing in this MOA will be interpreted in any manner that would cause or require a violation of the Antideficiency Act.
- IMPLEMENTATION OF MOA: No later than 30 days from approval of this MOA, the Executive Director of the Commission and the Director, WHS or their designated representatives will jointly review and publish the necessary policies, procedures, and operating instructions pertaining to DoD support of the Commission. This includes, but is not limited to, contact information for Commission points of contact, and paths for the review and escalation for issues, concerns or disputes that may arise between DoD and the Commission. Taking into consideration the Commission’s unique mission and operations tempo, adjustments to these policies, procedures, and operating instructions may be made with appropriate coordination between the DoD and the Commission should conditions warrant.
- EFFECTIVE DATE, MODIFICATION, AND TERMINATION: This MOA becomes effective upon the date of the last approving signature. Review, amendment, or modification of this MOA may be initiated by either DoD, WHS or the Commission should conditions warrant, but in any event at least annually for financial impacts and triennially in its entirety. Modification or amendment of this MOA must be in writing and approved by both parties. This MOA may be terminated by either party for any reason whatsoever with or without approval by the other party. The termination shall be effective 60-days after the date of the termination notice. Upon termination, the Commission shall pay all outstanding reimbursable costs to WHS and assume liability for all reimbursable costs such as facility lease payments that cannot be resolved by the effective date of the termination.
- TRANSFERABILITY: This MOA is not transferable except with the written consent of the Parties.
- ENTIRE UNDERSTANDING: It is expressly understood and agreed that this MOA embodies the entire understanding between the Parties regarding the MOA’s subject matter.
- EXPIRATION DATE: This MOA expires on October 1, 2020, or earlier if terminated in accordance with paragraph 10.
Sajeel S. Ahmed
Washington Headquarters Services
Honorable Robert O. Work
National Security Commission on Artificial Intelligence
If you would like to access the official copy of the Memorandum of Agreement between the Washington Headquarters Services (Department of Defense) and the National Security Commission on Artificial Intelligence, you can do so here.