USDOE Human Subjects Research Database, Fiscal Year 2004

Sandia National Laboratories

Public Information Contact:

Mr. William R. Geer
Sandia National Laboratories
Public Relations and Communications Center
PO Box 5800, MS 0165
Albuquerque, NM 87185-0165

Phone: 505-844-6601
Fax: 505-844-0645
E-mail: wrgeer@sandia.gov

Institutional Review Board (IRB):

Projects are approved by an IRB located at: Sandia National Laboratories
The approving IRB operates under an OHRP assurance.
OHRP assurance number: FWA00003764

Human Subject Projects:

Number of Human Subjects projects reported: 14

SNL-00-17 "Facial Verification System Evaluation"
SNL-02-05 "Acoustic Biosensors for Bacteria Detection "
SNL-02-15 "The Relationship Between Sleep and Breathing"
SNL-03-01 "FY03-FY05 Micro Optical Radar (MOR) Facial Recognition"
SNL-03-0221 "Integrated Microfluidic System for Oral Diagnostics"
SNL-03-03 "Effectiveness of Augmented Cognition Technology as a Decision Tool: A Validation Study "
SNL-03-04 "FY04 Facial Image Collection Database"
SNL-04-0322 "Understanding Communication in Counterterrorism Crisis Management"
SNL-04-11 "Augmented Musculature Device"
SNL-04-12 "Breaching of a New PIDAS Barrier"
SNL-04-16 "Biometric Evaluation"
SNL-04-18 "Voice Stress Analysis Systems Test and Evaluation"
SNL-04-20 "Factors Influencing Walking Speed in a High Consequence Industrial Environment"
SNL-04-30 "Use of Next Generation Intelligent Systems to Enhance Situation Awareness in Physical Security Scenarios"


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Project Identifier: SNL-00-17

Project Title:
"Facial Verification System Evaluation"

Principal Investigator: Mr. Larry J. Wright, Sandia National Laboratories

Project started in: 2000


Project Funding Information:

This project received funding during fiscal year 2004.
This project did not use human subjects in fiscal year 2004.
Explanation: Earlier phases of the project culminated in a video data set consisting of approximately 52 individuals to be used for evaluation of facial recognition systems. This year's activities used only this video data set.

Funding for Human Subjects Research:

DOE: DOE/Office of Security (SO)
$200,000.00 for: Fiscal Year 2004

Information on Use of Human Subjects:

This project does not involve the use of multiple protocols/subprojects.

Institutional Review Board (IRB) Review:
Type of Review: Expedited
Approving Institution: Sandia National Laboratories
Most recent approval: 07/25/04
IRB approval number: N/A

Number of human subjects who participated in this project/protocol/subproject in the last reporting period: 0
Reporting period for number of human subjects: Fiscal Year 2004

Type(s) of Human Subjects Involvement:

Use of human beings to develop/test instruments, materials, devices, objects, and the like or to investigate the "man-machine interface".
Abstract:
(a. Objectives, b. Methodology, c. Ionizing Radiation, Radioactive Substances, or Chemical Substances to which human subjects are exposed, d. Involvement of Human Subjects [d.1. procedures used, d.2. risks if any])

Facial verification systems use distinguishing characteristics of the face to verify a person's identity in automated entry control applications. An image of the face is captured using a video camera, and distinguishing features are extracted and compared with previously stored features. If the two match within a specified tolerance, a positive identity verification results and the person is allowed to enter the facility.

Although facial systems have been proposed and studied for a number of years, commercial systems have only been available for the last few years. Developers have had to overcome two difficult problems: (1) wide variations in the presentation of the face (e.g., head tilt and rotation, presence or absence of glasses, facial hair changes, facial expression changes) and (2) lighting variations (e.g., day vs. night, location A vs. location B).

The purpose of the test is to determine the performance of the Lau Technologies Portal, a commercial face verification system configured for physical access control. Performance will be characterized in terms of false reject rate, false accept rate, and enrollment and verification times. In addition, user acceptance of the device will be measured by administering a survey to the test participants. Other important characteristics to be observed during the test include ease of setup, resistance to spoofing (attempts to defeat the system), template storage requirements, and system cost. As configured for the test, the system consists of a face terminal, a processor/controller for the portal, and controlled lighting.

Test subjects will be recruited from employees and contractors at Sandia. Although there are no inclusion/exclusion criteria, recruitment of subjects will be limited to a convenient sample of personnel who work in Building 821 or regularly travel through that facility. Participants will be asked to provide their height and whether or not they wear glasses. This information is required to understand how these factors might impact the performance of the system.

There will be no financial compensation for participating in the study, and there are no known health or personal safety risks associated with use of the facial verification system. The activities involved in this study are similar to using an automated teller machine.

To protect the privacy of subjects and the confidentiality of the data, only test project personnel will have access to information that ties image and performance data to particular test subjects, and computer database files will be password protected. The results of the study, may be published for scientific purposes, but such results will be limited to summary data only and will not provide name, picture, or any identifiable references to subjects. However, any records or data obtained in this study may be inspected by the sponsor, by any relevant governmental agency (e.g., DOE), by the Sandia Human Studies Board, or by the persons conducting this study, provided that such inspectors are legally obligated to protect any identifiable information from public disclosure, except as otherwise authorized or required by law.


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Project Identifier: SNL-02-05

Project Title:
"Acoustic Biosensors for Bacteria Detection"

Principal Investigator: Dr. Susan M. Brozik, Sandia National Laboratories

Project started in: 2002
This project ended in fiscal year 2004.


Project Funding Information:

This project received funding during fiscal year 2004.
This project did not use human subjects in fiscal year 2004.
Explanation: SNL Research team continued using cell samples in buffer for testing the sensor platform.

Funding for Human Subjects Research:

Other: Minnesota Mining and Manufacturing Company (3M)
$0.00 for: Fiscal Year 2004

Information on Use of Human Subjects:

This project does not involve the use of multiple protocols/subprojects.

Institutional Review Board (IRB) Review:
Type of Review: Expedited
Approving Institution: Sandia National Laboratories
Most recent approval: 01/05/04

Number of human subjects who participated in this project/protocol/subproject in the last reporting period: 0
Reporting period for number of human subjects: Fiscal Year 2004

Type(s) of Human Subjects Involvement:

Collection of personally identifiable bodily materials (blood or blood products, urine, cells, tissue, teeth, organs, excreta, etc):
Use of human beings to develop/test instruments, materials, devices, objects, and the like or to investigate the "man-machine interface".
Abstract:
(a. Objectives, b. Methodology, c. Ionizing Radiation, Radioactive Substances, or Chemical Substances to which human subjects are exposed, d. Involvement of Human Subjects [d.1. procedures used, d.2. risks if any])

The purpose of this cooperative research agreement between SNL and Minnesota Manufacturing and Mining Company (3M) is to develop a commercially viable prototype of an acoustic biosensor for detecting low levels of bacteria in near real-time. This biosensor will be based on acoustic sensing technology developed by Sandia and will include a handheld electronic device and a disposable fluidic cartridge that houses the sensor transducer.

Since a critical need exists for rapid, accurate testing for biological warfare agents, the overall benefit of this project is the development of biosensors for government/national use in detecting anthrax. Secondly, the technology developed will then be applied toward the development of a sensor for the detection of nosocomial infections, a critical need in the health care industry.

Phase 1 (Feasibility) During this phase, Sandia and 3M will ascertain if the shear-horizontal surface acoustic wave (SH-SAW) biosensor is capable of measuring less than 2,000 spores (model of anthrax) per milliliter of fluid in representative samples. Antibodies raised against anthrax spores will be attached to the sensor platform as part of a recognition layer. To test the response of the sensor, B. thuringensis and B. subtilis spores will be used as anthrax simulants. No testing of anthrax spores will take place at Sandia or 3M, nor will any personnel from either establishment handle anthrax spores. Spore samples in water will be introduced to the sensor platform via a microfluidic chamber. For 'real-world' samples, a 'contaminated' sample will be introduced to the sensor. The contaminated sample will be a simulant spore in a solution of protein, dust, or other similar contaminant. We do not anticipate using nasal samples from humans in Phase 1.

Phase 2 (Development) The goal of this phase is a prototype of the SH-SAW sensor system appropriate for clinical testing. During this phase, SNL will continue developing an anthrax detector using simulant spores. In addition, Sandia will begin developing the SH-SAW platform for he detection of Staphylococcus aureus (leading cause of nosocomial infection). As in the above experiments, antibodies and/or other receptors will be attached to the sensor platform as a recognition film. A non-pathogenic strain of Staph aureus will be used to test the device. Initially the bacteria will be introduced to the sensor in a water or buffer sample. SNL will then test 'real-world' samples consisting of nasal swabs obtained from human subjects.

The subjects' anterior nares will be swabbed with a sterile rayon swab. Two swabs will be taken from each subject; one from each nostril. The sampling will be performed by inserting the rayon swab into the anterior tip of the subject's nostril and rotating the swab for six complete revolutions along the nares mucosal surface. The swab will then be placed into a sterile test tube containing one milliliter of room temperature Buffered Peptone Water (BPW; Hardy Diagnostics) and mixed vigorously for 30 seconds using a standard lab vortexer. A known concentration of the test bacteria will be added to some of the samples. The test sample will then be introduced to the sensor device for detection of Staph aureus (non-pathogenic strain).

Because this is a feasibility and prototype study, the subject pool is limited to male and female members of the research team who are in good general health (as self-identified) and have no physical disabilities that would increase risk of harm. Subjects will be recruited verbally. 3M will conduct similar experiments at their facility, recruiting subjects from their personnel who are working on this project.

The duration of this project is 27 months with Phase 2 (human testing) to begin after the first three months of the project. Sample collection of nasal swabs from human subjects will take less than a minute, and collections will occur once or twice a week over a period of two to three months.


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Project Identifier: SNL-02-15

Project Title:
"The Relationship Between Sleep and Breathing"

Principal Investigator: Dr. Barry J. Krakow, Sleep and Human Health Institute (SHHI)

Project started in: 2002
This project ended in fiscal year 2004.


Project Funding Information:

This project did not receive funding during fiscal year 2004.
This project did not use human subjects in fiscal year 2004.
Explanation: Subject recruitment ended in FY2002. Study was kept open only for follow up with existing subjects.

Funding for Human Subjects Research: No Funding Sources Reported


Information on Use of Human Subjects:

This project does not involve the use of multiple protocols/subprojects.

Institutional Review Board (IRB) Review:
Type of Review: Expedited
Approving Institution: Sandia National Laboratories
Most recent approval: 05/07/03
Explanation of IRB approval:
Project was completed 5/6/04. IRB approval was valid until 5/7/04.

Number of human subjects who participated in this project/protocol/subproject in the last reporting period: 0
Reporting period for number of human subjects: Fiscal Year 2004

Type(s) of Human Subjects Involvement:

Use of personally identifiable data from questionnaires, surveys, or epidemiological studies:
Use of human beings to develop/test instruments, materials, devices, objects, and the like or to investigate the "man-machine interface".
Abstract:
(a. Objectives, b. Methodology, c. Ionizing Radiation, Radioactive Substances, or Chemical Substances to which human subjects are exposed, d. Involvement of Human Subjects [d.1. procedures used, d.2. risks if any])

Objectives:
This study investigated the use of nasal strips in human subjects with insomnia and sleep disordered breathing (SDB) symptoms or disorders in a randomized controlled design. It proposed to determine whether the nasal strips, without other treatment, can decrease or eliminate insomnia symptoms.

Potential Benefits:
Entering this protocol is likely to educate the subject on the value of treating insomnia, so it is not likely to delay other treatments that the subject might wish to pursue for sleep problems. Subjects may benefit directly by discovering that nasal strip treatment of SDB leads to improved sleep, and their motivation for further treatment of sleep disorders may be increased. There is no financial compensation for participation.

Methodology:
The study is a randomized controlled trial studying sleep maintenance insomniacs with SDB. Two groups will be studied to contrast the effects of nasal strips versus a control group. The nasal strip (treatment) group will be educated on the relationship between SDB and insomnia and will be instructed in the use of nasal strips. The control group will monitor their sleep and breathing symptoms only. Both groups will prospectively monitor changes in breathing and sleep during a four-week interval, with the option to continue for an additional four to eight weeks. All wait-list control participants will be invited to participate in treatment at the end of their four-week control period.

Involvement of human subjects:
This project will require the direct (in vivo) involvement of human subjects in all aspects of the protocol. These subjects will be recruited from the general population at SNL.

Potential Risks:
Potential physical risks associated with nasal strip use are minimal and include irritation of the skin, either through allergic reaction to the material (fairly rare) to rawness from improper removal of the strips. If subjects are known to have allergies to latex, this may trigger the allergic reaction because latex is included in the packaging of the strips but not on the strips directly. Such individuals can actually use the strips if they can learn how to remove the strips from the packaging without getting latex on their fingers. Removal of strips requires emphasis on water and heat (preferably a shower or warm, wet washcloth) to break the adhesive seal on the skin, followed by gentle tugging on the strip to remove gradually.

Another potential non-trivial risk is breach of confidentiality; however, several precautions are incorporated into the study design to minimize this risk. All data will be collected by staff at the Sleep and Human Health Institute (SHHI) in Albuquerque. Hard copy data (including questionnaires and email reports) will contain personal identifiers and will be stored in locked file cabinets after the data have been entered into a coded database (stored in password-protected computers). Current SHHI computers are operated through the University of New Mexico (UNM) School of Medicine facilities, which have appropriate firewall protection to prevent unauthorized access from anyone outside UNM. Access to the database will be limited to appropriate SHHI staff. No part of this study is classified, and the data are sensitive to a degree similar to any medical record.


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Project Identifier: SNL-03-01

Project Title:
"FY03-FY05 Micro Optical Radar (MOR) Facial Recognition"

Principal Investigator: Mr. Robert D. Habbit, Sandia National Laboratories

Project started in: 2003


Project Funding Information:

This project received funding during fiscal year 2004.
This project used human subjects in fiscal year 2004.

Funding for Human Subjects Research:

DOE: SNL Lab Directed Research & Development (LDRD)
$200,000.00 (Est.) for: Fiscal Year 2004

Information on Use of Human Subjects:

This project does not involve the use of multiple protocols/subprojects.

Identifier or number: N/A

Institutional Review Board (IRB) Review:
Type of Review: Expedited
Approving Institution: Sandia National Laboratories
Most recent approval: 01/19/04

Number of human subjects who participated in this project/protocol/subproject in the last reporting period: 5
Reporting period for number of human subjects: Fiscal Year 2004

Type(s) of Human Subjects Involvement:

Use of human beings to develop/test instruments, materials, devices, objects, and the like or to investigate the "man-machine interface".
Other types of human subjects involvement. Explanation:
3-D photographic imaging of human faces using LADAR imagers
Abstract:
(a. Objectives, b. Methodology, c. Ionizing Radiation, Radioactive Substances, or Chemical Substances to which human subjects are exposed, d. Involvement of Human Subjects [d.1. procedures used, d.2. risks if any])

The driving factor influencing this effort is the national need for an automated, rapid, non-invasive, personal identification system. Currently, there is no automated system capable of identifying known good actors, known bad actors, or unknown actors at public entry points such as border crossings and mass transit terminals. Thus, everyone is a suspect and subject to screening, resulting in precious screening resources spent on would-be known good actors and less screening of would-be known bad actors and unknown actors. Facial recognition is recognized as the least invasive, quickest method for personal identification. Current facial recognition systems use distinguishing physical characteristics (2D photographs) to identity subjects. Unless the exact parameters of the photo are measured and recorded, it is difficult to compare two different photographic acquisitions in different locations. A 3D imaging system would provide all of the attributes of a 2D photograph plus an accurate 3D geometric image. The 3D images provide all of the necessary information to establish 'control' of the scene as well as additional information such as distance from the tip of the nose to cheek. It is expected that near 100 percent positive identification of known good actors can be achieved and potentially similar results for known bad actors. This study involves collecting and processing 3D images of humans to advance sensor/algorithm technologies for facial biometric identification applications.

Sandia National Laboratories (SNL) has developed a technology capable of acquiring full-scene 3D geometrically accurate images. The base technology was flown on the Space Shuttle to acquire images and modal response of the International Space Station truss structure and solar panels. Prototype sensors have been built to demonstrate acquisition of 3D images of military targets at distance on land and underwater, but none of these sensors are designed for or are capable of obtaining images with the precision necessary for facial recognition. The electronics could be re-designed to meet the requirements for facial recognition; however, the cost of those electronics would render wide-spread application of the sensors cost prohibitive. This project asserts the electronic functions used in the previous systems could be reconfigured into a solid-state application specific integrated circuit (ASIC), thus significantly reducing the cost to produce the sensor while fully meeting or exceeding the precision required for facial recognition. In addition, the research team asserts that robust efficient algorithms can be designed to process, identify, and store images in a near real-time environment. The ultimate goal is to place this sensor in public locations where positive identification of both good and bad actors is required. This would enable faster access for known good actors, positive identification of know bad actors and, most importantly, enable more thorough screening of unknown actors.

All testing will be in vivo. The procedure for acquiring 3D range images is identical to acquiring photographs. The only difference is the illumination (light) source, and the receiver is time encoded such that the time of flight of the light can be measured. This measurement allows the calculation of range. The range information coupled with the optical properties of the lens allow one to calculate the exact position in space of the subject, thus producing an accurate 3D geometric image. 3D imagers use a modulated or pulsed coherent light source. The form of the illumination source can be a laser, laser diode array, or light emitting diode (LED) array. In all cases, the illumination levels are below the safe eye levels established by the SNL Laser Safety Program and/or the Occupational Safety and Health Administration (OSHA).

During the early phases of the project, both Sandia-developed sensors and commercial laser radar systems may be use to acquire images. These initial images are important for algorithm development. Ultimately, the micro optical radar (MOR) sensor will come to fruition and will be used for image acquisition.

Each Participant will be asked to pose and/or walk through identified areas. A typical acquisition session should take no longer than one-half hour. Like early photography, the subject may be asked to pose for up to one minute during each acquisition. The expected project duration is expected to be three years.

To protect the confidentiality of the data, participants will be identified by a number assigned at the initial acquisition and only project personnel with a need-to-know will have access to information that ties image data to a particular test subject's name. Also, computer database files will be password protected. These protection measures will be explained to all participants.


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Project Identifier: SNL-03-0221

Project Title:
"Integrated Microfluidic System for Oral Diagnostics"

Principal Investigator: Dr. Anup K. Singh, Sandia National Laboratories

Project started in: 2003


Project Funding Information:

This project received funding during fiscal year 2004.
This project did not use human subjects in fiscal year 2004.
Explanation: Use of human subjects is slated to begin in FY2005. The first two years of the project were focused on developing the diagnostic methods and device.

Funding for Human Subjects Research:

Federal: National Institute of Dental and Craniofacial Research (NIDCR)
$0.00 for: Fiscal Year 2004

Information on Use of Human Subjects:

This project does not involve the use of multiple protocols/subprojects.

Institutional Review Board (IRB) Review:
Type of Review: Expedited
Approving Institution: Sandia National Laboratories
Most recent approval: 12/09/03

Number of human subjects who participated in this project/protocol/subproject in the last reporting period: 0
Reporting period for number of human subjects: Fiscal Year 2004

Type(s) of Human Subjects Involvement:

Other types of human subjects involvement. Explanation:
The anonymous samples from human subjects will not be used at Sandia until 2005. Until then, we propose to use artificial saliva as our sample matrix.
Abstract:
(a. Objectives, b. Methodology, c. Ionizing Radiation, Radioactive Substances, or Chemical Substances to which human subjects are exposed, d. Involvement of Human Subjects [d.1. procedures used, d.2. risks if any])

Analysis of saliva and other oral fluids has great potential in diagnosis of oral and systemic diseases, in monitoring levels of environmental toxins and drugs-of-abuse, and in preliminary screening for exposure to biological and chemical warfare reagents. The use of saliva and other oral fluids as diagnostic samples may be preferred in many applications over other bodily fluids because of the ability for fast and inexpensive sampling in clinical as well as non-clinical settings. Although, clinical studies have demonstrated usefulness of saliva and other oral fluids in some applications for detection of markers of oral and systemic diseases, the development of diagnostic technology and devices has not met the expectations. Moreover, the current assay techniques are time-consuming, require relatively large amounts of samples, and are not amenable to automation and portability.

The objectives of this application are the following: (1) Develop an integrated microfluidic system for simultaneous multi-analyte detection in saliva and other oral fluids. The prototype will be capable of rapid and sensitive analysis of minute sample volumes and will attain higher selectivity by performing multiplexed analysis. (2) Analysis of mediators of oral and periodontal diseases found in oral fluids (i.e., P. gingivalis endotoxin, interleukins, and bone breakdown fragments) using the proposed device. (3) Validation of the prototype in a longitudinal human trial of patients at low and high risk for the development of periodontal diseases. Success of these objectives should provide for technology transfer and utilization of this device in clinical periodontology as well as potential applications in preliminary screening for systemic diseases and exposure to biological warfare agents.

Subject participation will involve the collection of three different sample fluids called "gingival crevicular fluid" (GCF), GCF rinsing, and saliva. For GCF sampling, a small piece of filter paper will be placed along the gum line, adjacent to the tooth. The paper will be left in place for 30 seconds to collect the fluid, and then removed. GCF rinsing involves rinsing with tap water for 10 seconds, waiting for two minutes and then rinsing with six teaspoons full of dilute saline solution (salt water) for 10 additional seconds. Saliva will also be collected by a small plastic tube via passive drooling (harvesting a total of about four teaspoons of saliva for about five minutes). Subjects will also have measurements made around their gums for a standard examination, and have four different dental x-rays taken at six-month intervals around back (molar) teeth.

Subjects will need to be present for seven visits at two-month intervals. The entire collection and measurement procedures and tooth cleanings (when provided) will take approximately one to two hours per visit.

There are no known risks or discomforts associated with collection of gingival crevicular fluid or saliva. Patients will receive standard gum treatment (tooth cleaning) should the disease progress at a level of greater than or equal to 2 mm of loss of gum attachment at the given tooth. There will be no additional risks beyond those considered for routine dental x-rays taken at six-month intervals.

With this newly developed assay method, clinicians may be able to diagnose and intercept bone disease in its early stages. In addition, patients will receive free cleanings at two-month intervals after the first six months of the study, and their gum condition will be very carefully monitored during the entire study.

Subject identity will be coded, and all data will be kept in a secured, limited access location. Any research data released or published will not identify volunteers by name.

Approximately 100 subjects will participate in this study.


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Project Identifier: SNL-03-03

Project Title:
"Effectiveness of Augmented Cognition Technology as a Decision Tool: A Validation Study"

Principal Investigator: Dr. James C. Forsythe, Sandia National Laboratories

Project started in: 2003
This project ended in fiscal year 2004.


Project Funding Information:

This project did not receive funding during fiscal year 2004.
This project did not use human subjects in fiscal year 2004.
Explanation: Subject involvement ended in FY2003. Data analysis extended into FY2004.

Funding for Human Subjects Research: No Funding Sources Reported


Information on Use of Human Subjects:

This project does not involve the use of multiple protocols/subprojects.

Institutional Review Board (IRB) Review:
Type of Review: Expedited
Approving Institution: Sandia National Laboratories
Most recent approval: 04/21/03
Explanation of IRB approval:
Subject involvement ended in FY2003. Data analysis and IRB approval extended into FY2004.

Number of human subjects who participated in this project/protocol/subproject in the last reporting period: 0
Reporting period for number of human subjects: Fiscal Year 2004

Type(s) of Human Subjects Involvement:

Use of human beings to develop/test instruments, materials, devices, objects, and the like or to investigate the "man-machine interface".
Abstract:
(a. Objectives, b. Methodology, c. Ionizing Radiation, Radioactive Substances, or Chemical Substances to which human subjects are exposed, d. Involvement of Human Subjects [d.1. procedures used, d.2. risks if any])

This study examines whether an augmented cognition decision tool created by Sandia National Laboratories (SNL) can enhance users' ability to make accurate decisions about the potential for insider activity within the electronic environment at Sandia. The approach is based on computational cognitive modeling framework developed at SNL, including the premise that an insider will leave behind clues -- behaviors that, when seen in conjunction with one another, would alert someone to that person's suspicious activities. The problem is that these clues are spread out across time, people, and scenarios, so no one person is able to gather all of the information and put together the 'big picture' of that person's behaviors. The tool being evaluated allows a user to sift through huge volumes of data to spot these suspicious combinations of behaviors more quickly and help human decision makers understand this big picture.

Participants comprise three distinct groups: subject matter experts (SMEs) who consulted on building the model, SMEs who did not assist in building the model, and SNL personnel who have no knowledge of the model and have no particular expertise in detection and/or prevention of insider crimes. Participants will be asked to make decisions about whether or not there should be some concern about the existence of an insider within a given simulated population of people using a year's worth of simulated data for 100 hypothetical SNL employees in a total of 22 different databases. The method by which subjects will encounter this data differs across three tool use conditions (with tool, raw data but no tool, and scenarios but no tool). There will be several dependent variables collected during the course of these sessions including average rate of decision time, accuracy of decisions made, and subjective measures of decision ease. Each of these variables will be measured at the conclusion of each tool use condition.

Subject participation is expected to last approximately eight hours and will occur over three to five sessions, depending on subjects' availability.

Potential risks to subjects include the fatigue normally experienced when engaging in cognitively demanding tasks for given periods of time. In order to counter this fatigue, there will be plenty of opportunities for breaks.

There is no financial compensation or other tangible benefit for participation in this research project. SNL employees and on-site contractors will be provided a project and task number to charge their time spent participating in this project. Overall benefits of this research include the possibility that use of a tool similar to the one you will be using in this study might help detect treasonous or other insider activities against the United States earlier than in the past. In addition, this kind of technology might also be applied in the private sector to prevent insider crimes like embezzlement and workplace violence.


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Project Identifier: SNL-03-04

Project Title:
"FY04 Facial Image Collection Database"

Principal Investigator: Mr. Larry J. Wright, Sandia National Laboratories

Project started in: 2003


Project Funding Information:

This project received funding during fiscal year 2004.
This project used human subjects in fiscal year 2004.

Funding for Human Subjects Research:

Federal: DoD Technical Support Working Group
$300,000.00 for: Fiscal Year 2004

Information on Use of Human Subjects:

This project does not involve the use of multiple protocols/subprojects.

Institutional Review Board (IRB) Review:
Type of Review: Expedited
Approving Institution: Sandia National Laboratories
Most recent approval: 04/02/04

Number of human subjects who participated in this project/protocol/subproject in the last reporting period: 291
Reporting period for number of human subjects: Fiscal Year 2004

Type(s) of Human Subjects Involvement:

Use of human beings to develop/test instruments, materials, devices, objects, and the like or to investigate the "man-machine interface".
Abstract:
(a. Objectives, b. Methodology, c. Ionizing Radiation, Radioactive Substances, or Chemical Substances to which human subjects are exposed, d. Involvement of Human Subjects [d.1. procedures used, d.2. risks if any])

As part of work included in Technical Support Working Group (TSWG) Facial Recognition Technology work, Sandia National Laboratories (SNL) will conduct a photographic study in support of the National Institute of Standards and Technology (NIST) Facial Recognition Verification Testing (FRVT) 2004. The goal of the project is to stimulate development of better methods to recognize humans using facial characteristics for use in security system applications. Participants in the study will have their picture recorded on both video and still photography digital cameras. The collected images will become part of a database delivered to NIST for use in evaluating biometric algorithms used for identifying people by matching their different facial images. SNL will use the videotaped data in continued support of biometrics testing for at least the next five to ten years and research projects that are currently in progress, and the digital still images will be delivered to NIST and/or the Defense Advanced Research Projects Agency (DARPA).

Computer algorithms can be used to recognize people in different types of images. For example, a person might be recognized by matching a picture of their face or the iris of their eye against a database of similar images from known persons. This study seeks to develop data sets and performance evaluation methods in support of the NIST FRVT 2004. In order to compare the relative effectiveness of competing approaches to recognition of humans from sensory, or visual input, the FRVT program will need data sets that capture a variety of different source data on the same group of people. For example Algorithm A might use color images of the face to recognize humans, whereas Algorithm B might use a shape model acquired from a video camera image. To compare the relative effectiveness of the methods, it is necessary to have different types of images acquired on the same people.

Briefly, the data collection process is performed as follows: each participant will pose for several pictures of the face taken with two separate digital still cameras under two different lighting conditions, then a video camera will record a walking sequence. Each participant will slowly walk toward the video camera and then stop and pose. The participant will move both his head and then eyes up and down, and from side to side while the camera is recording. The photographic and digital cameras do not pose any risk to the human volunteers, and participants should not experience any discomfort beyond that typically associated with having a picture taken.

To test facial identity algorithms to be used in security related devices, it is necessary to record human volunteers on different days and at different times of day over a period of time. The photographic data collection process is estimated to last approximately one year, with a possible extension of up to five years depending on funding. Each participant's facial features will be measured and the distances between the subject's eyes, for example, will be recorded. This data, along with the original images will be provided to NIST.

The collection of images and associated data from each participant will be given a date and a session identification (ID) number. The ID number will only be used to organize the database information at SNL. No identifying information such as a name, organization number, or social security number will be stored with the data. However, some images from the database may appear as examples in NIST research publications without names attached.

The primary benefit of this study is to the national research community and society as a whole. This study will aid the development of biometric algorithms to be used in security systems for identification of the population, resulting in increased safety for the population. Also, the results of this evaluation will be used in several analytical tools that are currently being used to evaluate and upgrade the physical security of DOE facilities. Lastly, this information will likely be transferred to other federal agencies [e.g., Federal Aviation Administration (FAA), National Institute of Justice (NIJ), DoD, DARPA, etc.] for use in their respective protection activities.


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Project Identifier: SNL-04-0322

Project Title:
"Understanding Communication in Counterterrorism Crisis Management"

Principal Investigator: Ms. Marilyn F. Hawley, Sandia National Laboratories

Project started in: 2004
This project ended in fiscal year 2004.


Project Funding Information:

This project received funding during fiscal year 2004.
This project used human subjects in fiscal year 2004.

Funding for Human Subjects Research:

DOE: SNL Laboratory Directed Research and Development (LDRD)
$127,800.00 (Est.) for: Fiscal Year 2004

Information on Use of Human Subjects:

This project does not involve the use of multiple protocols/subprojects.

Institutional Review Board (IRB) Review:
Type of Review: Expedited
Approving Institution: Sandia National Laboratories
Most recent approval: 08/11/04

Number of human subjects who participated in this project/protocol/subproject in the last reporting period: 138
Reporting period for number of human subjects: Fiscal Year 2004

Type(s) of Human Subjects Involvement:

Use of human beings to develop/test instruments, materials, devices, objects, and the like or to investigate the "man-machine interface".
Other types of human subjects involvement. Explanation:
Human subjects engaged in computer-mediated environments so that we could examine how their communication patterns affect group decision productivity.
Abstract:
(a. Objectives, b. Methodology, c. Ionizing Radiation, Radioactive Substances, or Chemical Substances to which human subjects are exposed, d. Involvement of Human Subjects [d.1. procedures used, d.2. risks if any])

In response to terrorist attacks, joint decisions are required by multiple agencies under conditions of high stress. Teams with diverse membership face issues such as short decision time cycles, high negative consequences, incomplete data, and limited interagency trust. Tabletop and simulation-based exercises have demonstrated that communication barriers between organizations impede an effective response. For example, participant-participant and participant-machine interactions between participants playing distinct roles have a large impact on the outcome of decisions.

The purpose of this project is to examine ways to reduce the time required to detect and confirm a Weapons of Mass Destruction (WMD) agent, such as anthrax, released in the environment and increase the accuracy of such detection.

We propose to investigate communication patterns in a simulation-based exercise by monitoring participant-participant and participant-machine communications as part of the simulation data stream. This project will develop the capability to monitor the quantity and quality of interagency participant communication during interactive simulations in the WMD Decision Analysis Center (DAC), thus increasing its value for WMD terrorism preparedness. This research is not classified and should not pose any legal problems or increased investigator/institutional liability associated with the research.

Three potential subjects will be taken individually to similar, but separate rooms. Each will receive an experiment booklet that will guide them through the research. The experimenter will review the booklet with the subject by pointing out and reading the main points of the protocol. The booklet is divided into three parts: the background/computer attitudes questionnaire, the task scenario, instruction for simulation interface, and the post-experiment questionnaire.

After answering the background/computer attitudes questionnaire, subjects will be provided with one of three task scenarios. One task scenario has them take the role of an FBI agent, another the role of a public health official, and the third the role of a media representative. The assignment of the scenario to the subjects will be randomly chosen. Subjects will be instructed not to reveal their name or gender, which may influence the interactions between subjects.

The experiment will consist of three sessions for each of the three group members. The first session, will last approximately two hours, and the second and third sessions will last approximately one hour. Including mandatory breaks between each session, total time required of each subject should not exceed five hours and will be scheduled to take place in one day.

After the test director has started the simulation, the subjects will begin to interact with the simulation and communicate according to their task scenario. Subjects will communicate with each other until the simulation is completed or the simulation time ended. During the simulation, subjects can pause the scenario when time is needed to formulate individual decisions. The test director will pause the simulation for a specific amount of time for the two pre-determined team decision points (see the team decision point attachment for greater details) allowing the team time to interact before making the decisions.

At the conclusion of the simulation, subjects will answer the post-experiment questionnaire.

This study will not involve any physical or psychological risks greater than those encountered in daily life (minimal risk). Participants may benefit from helping in some small way with Sandia's Homeland Defense efforts and from learning part of the experimental process first hand. The potential benefits to society are great. Understanding how communication patterns affect team decisions could be a valuable training tool. Understanding how people communicate effectively in these environments may reduce the time taken to effectively deal with crisis situations.

Participants will be drawn from the SNL student pool and general Sandia employee population. The only exclusionary provision will be that subjects must be college students and have at least one year computer experience.

Subjects will only be identified by identification numbers. There will be no association between their name, or any other subject characteristics, and their identification numbers. All data will be maintained on computers with standard Sandia access protection and/or stored for three years in a locked filing cabinet in a secure building at SNL.


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Project Identifier: SNL-04-11

Project Title:
"Augmented Musculature Device"

Principal Investigator: Mr. Brandon R. Rohrer, Sandia National Laboratories

Project started in: 2004


Project Funding Information:

This project received funding during fiscal year 2004.
This project used human subjects in fiscal year 2004.

Funding for Human Subjects Research:

DOE: SNL Laboratory Directed Research and Development
$1,000.00 (Est.) for: Fiscal Year 2004

Information on Use of Human Subjects:

This project does not involve the use of multiple protocols/subprojects.

Institutional Review Board (IRB) Review:
Type of Review: Full Board
Approving Institution: Sandia National Laboratories
Most recent approval: 02/23/04

Number of human subjects who participated in this project/protocol/subproject in the last reporting period: 3
Reporting period for number of human subjects: Fiscal Year 2004

Type(s) of Human Subjects Involvement:

Use of human beings to develop/test instruments, materials, devices, objects, and the like or to investigate the "man-machine interface".
Abstract:
(a. Objectives, b. Methodology, c. Ionizing Radiation, Radioactive Substances, or Chemical Substances to which human subjects are exposed, d. Involvement of Human Subjects [d.1. procedures used, d.2. risks if any])

This project proposes to develop an Augmented Musculature Device (AMD) that assists the movements of its wearer. It could be directly applied to aiding military and law enforcement personnel, the neurologically impaired, or those requiring any type of cybernetic assistance. As proposed, the AMD consists of a collection of artificial muscles, each individually actuated, strategically placed along the surface of the human body. Well-fitted, heavy-duty nylon clothing would provide a framework for attaching the artificial muscles to the body.

The actuators are known as "air muscles" and operate pneumatically. They are commercially available from several vendors, are relatively inexpensive, and have a remarkably high force-to-weight ratio (as high as 400:1 [as compared to 16:1 typical of DC motors]). They are flexible and elastic, even when powered, making them ideal for interaction with humans.

A number of human performance enhancing devices have been proposed, but to date, few have been realized in any practical application. This is due in part to the weight of the exoskeleton and actuators. In contrast, the AMD relies on the human skeletal system to kinematically constrain motion, eliminating the need of an exoskeleton. Also, the low weight of air muscles allows much greater assist from much less hardware. For instance, an air muscle 30 mm in diameter and 290 mm long weighs 80 g and can lift as much as 70 kg -- nearly 1,000 times its own weight. With these light, powerful actuators augmenting users' motions, the AMD could become the first practical human assist device.

This project proposes to develop a benchtop prototype upper-extremity AMD. This effort will include:

1. Characterization of air muscle dynamic properties, including impulse response and bandwidth;
2. Design of electrical and compressed air subsystems for powering muscles, switching valves, supplying sensors, and running control hardware;
3. Fabrication of a wearable air muscle network, consisting of a number of air muscles securely sewn into a heavy-duty nylon shirt, each with its own three-way valve for alternately supplying compressed air and venting to the atmosphere; and
4. Integration with data acquisition and controller hardware, comprised of a personal computer and appropriate analog-to-digital and analog-output boards.

In this study, subjects will don the AMD and interact with it both passively (providing no intentional movement) and actively (intentionally moving with and against the device). A computer program will command the AMD to assist subjects in performing a large number and variety of pre-programmed movements. Information about the extent to which the AMD is able to assist subjects will be gathered. The verbal information they provide will be recorded by hand and will identified only by gender and age. This information will be used to improve the construction and operation of the AMD. This testing is experimental in its entirety; it is the first instance in which a user will wear the AMD.

There will be no set regimen for how often the testing will take place, nor how long each session will last. It is anticipated that using the AMD for 15 minutes will be more than sufficient for obtaining the ease of use and ergonomics information that are the goal of this pilot study. However, subjects may withdraw from participation at any point during the study. Also, they may wear the AMD for a longer period, if they wish to, at the discretion of the Principal Investigator (PI). During the testing, the PI will be present at all times, actively monitoring both the subject and the device.

The AMD has been designed so as to be inherently safe. It has no rigid members. The air muscles are soft and compliant. There are no pinch points and no sharp corners. It is lightweight. The air muscles' limited range of motion keeps the AMD in a natural configuration. Remaining potential risks and discomforts are judged to be minor.

There are no known benefits to participating in this research, aside from the potential benefits to the PI and members of the research team stemming from successful completion of the development project. It is anticipated that the device resulting from this testing, however, will be beneficial in rehabilitating children with varying types and degrees of neurological damage. It will be capable of perceiving and assisting motion with greater flexibility, precision, and stamina than an unassisted human therapist would be able to. In addition, it is anticipated that subsequent generations of the AMD may be able to assist soldiers and security personnel in performing their duties.


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Project Identifier: SNL-04-12

Project Title:
"Breaching of a New PIDAS Barrier"

Principal Investigator: Mr. David J. Swahlan, Sandia National Laboratories

Project started in: 2004
This project ended in fiscal year 2004.


Project Funding Information:

This project received funding during fiscal year 2004.
This project used human subjects in fiscal year 2004.

Funding for Human Subjects Research:

DOE: DOE Security Office (SO)
$100,000.00 (Est.) for: Fiscal Year 2004

Information on Use of Human Subjects:

This project does not involve the use of multiple protocols/subprojects.

Institutional Review Board (IRB) Review:
Type of Review: Expedited
Approving Institution: Sandia National Laboratories
Most recent approval: 03/23/04

Number of human subjects who participated in this project/protocol/subproject in the last reporting period: 11
Reporting period for number of human subjects: Fiscal Year 2004

Type(s) of Human Subjects Involvement:

Other types of human subjects involvement. Explanation:
Special Operations Forces were employed to determine the access delay times for a new Perimeter Intrusion Detection and Assessment System (PIDAS) Barrier.
Abstract:
(a. Objectives, b. Methodology, c. Ionizing Radiation, Radioactive Substances, or Chemical Substances to which human subjects are exposed, d. Involvement of Human Subjects [d.1. procedures used, d.2. risks if any])

The DOE Security Office has tasked Sandia National Laboratories (SNL) to conduct adversary breaching tests on a new PIDAS barrier design. The barrier consists of multiple chain link fences with a large concrete barrier next to the innermost fence.

A team of volunteers from the U.S. Army, Special Operations Command (SOCOM), and the DOE office of assessment will be asked to breach the barrier system multiple times, using a variety of different techniques. The teams will be allowed to practice their techniques prior to the actual timed event. Recruitment of subjects will be limited to these personnel because they have the specialized training, experience, and physical ability needed to perform the activities in this study both safely and efficiently.

Safety of the volunteers is of the utmost importance. Spotters will be located at multiple points to observe the tests and stop the activities if anomalous activities are observed. Each spotter will be equipped with a small air horn, which can be activated to stop all activities if a safety issue arises. An Emergency Medical Technician (EMT) and an ambulance will be stationed at the test site during any testing or practice activities. Additionally, a "cherry-picker" will be on-site to aid in extraction of personnel from the barrier in case of an accident.

All test participants will wear, at a minimum, leather gloves, coveralls over heavy jeans, hard-soled leather boots, eye protection, and a hardhat or helmet. If thermal tools are used the operator will also be equipped with a leather coat, chaps, and welding goggles.

Risks include a chance of personal injury; however, the expertise of the subject pool and the above safety methods render this activity no more dangerous than the daily routine of these particular subjects.

Subjects will gain experience in breaching techniques, and the results of this study will benefit other SNL and DOE efforts.


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Project Identifier: SNL-04-16

Project Title:
"Biometric Evaluation"

Principal Investigator: Mr. Larry J. Wright, Sandia National Laboratories

Project started in: 2004
This project ended in fiscal year 2004.


Project Funding Information:

This project received funding during fiscal year 2004.
This project used human subjects in fiscal year 2004.

Funding for Human Subjects Research:

DOE: DOE Security Office (SO)
$200,000.00 for: Fiscal Year 2004

Information on Use of Human Subjects:

This project does not involve the use of multiple protocols/subprojects.

Institutional Review Board (IRB) Review:
Type of Review: Expedited
Approving Institution: Sandia National Laboratories
Most recent approval: 04/07/04

Number of human subjects who participated in this project/protocol/subproject in the last reporting period: 61
Reporting period for number of human subjects: Fiscal Year 2004

Type(s) of Human Subjects Involvement:

Use of human beings to develop/test instruments, materials, devices, objects, and the like or to investigate the "man-machine interface".
Abstract:
(a. Objectives, b. Methodology, c. Ionizing Radiation, Radioactive Substances, or Chemical Substances to which human subjects are exposed, d. Involvement of Human Subjects [d.1. procedures used, d.2. risks if any])

This proposed test involves evaluating two biometric verification systems at Sandia National Laboratories (SNL). Biometric verification systems use distinguishing physical characteristics of an individual to verify identity in automated entry control applications. Briefly, the verification process is performed as follows: an image or recording of the biometric feature is captured by the appropriate terminal; distinguishing features are extracted from the image; and then compared with previously stored features. If the two match within a specified tolerance, identity is verified, and the person is allowed to enter the facility.

This test will determine the performance characteristics of two biometric identification systems: Crossmatch's Access Control Reader (ACR) System and Bioscrypt's Veriflex. Both of these systems are configured for physical access control. Performance will be characterized in terms of false reject rate, false accept rate, enrollment and verification times. In addition, user acceptance of the devices will be measured by administering a survey to the test participants. Other important characteristics to be observed during the test include ease of setup, resistance to spoofing (attempts to defeat the system), template storage requirements, and system cost.

Each participant will be assigned a personal identification number (PIN) to input a claim of identity to each device, issued a card (similar to a credit card but containing only the four-digit PIN) and then enrolled on the system with the help of the tester. Each system consists of a card reader and key pad (to input the ID number), a terminal (to acquire the biometric feature), and a computer (to record the data).

Enrollment consists of swiping the card through the card reader for registration and standing in place while the system captures the data (fingerprints) needed to form a template. These data are stored on the computer for use as reference data during the verification process. For testing the fingerprint systems, subjects will be asked to enroll the index finger from the right hand. If that finger cannot be enrolled, another finger will be selected.

Once enrolled, subjects will be asked to use each verification to simulate requesting access to a locked room. Requesting access entails entering the PIN via the card reader to each device, standing in place while the system captures the appropriate data (fingerprints) and compares it with stored data (from enrollment), and waiting for the "access allowed" or "access denied" indication. Participants will perform verification trials on the device once or twice a day for 3three to four weeks (desired number of trials is at least 20 per participant). Verification trials will include both true user and imposter attempts (e.g., non-enrolled subjects or enrolled subjects using incorrect ID number). Each verification trial takes only a few seconds per machine. After subjects have concluded testing, each subject will be asked to complete a very brief, one-page survey to gauge customer acceptance of the devices.

For this test, the target sample size is 50 to 100 people. Subjects will be recruited from the SNL employee and contractor population.

All volunteers will be included in this test. The only reason for exclusion from testing on any one device would be an inability to enroll and/or verify on that device (e.g. worn or badly scarred fingers). Where temporary physical conditions impair a users ability to use a system(s), the user will be requested to continue to use the system(s) but report the inability to verify and the reason.

There are no known health or personal safety risks associated with the use of any of the verification devices that will be tested or in any of the study procedures.


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Project Identifier: SNL-04-18

Project Title:
"Voice Stress Analysis Systems Test and Evaluation"

Principal Investigator: Mr. Frank L. Lucero, Sandia National Laboratories

Project started in: 2004


Project Funding Information:

This project received funding during fiscal year 2004.
This project did not use human subjects in fiscal year 2004.
Explanation: FY2004 was spent establishing the protocol, determining which systems to evaluate, and obtaing sponsor approval for the systems selected. Subject participation will begin in FY2005.

Funding for Human Subjects Research:

Federal: Department of Defense
$0.00 for: Fiscal Year 2004

Information on Use of Human Subjects:

This project does not involve the use of multiple protocols/subprojects.

Institutional Review Board (IRB) Review:
Type of Review: Expedited
Approving Institution: Sandia National Laboratories
Most recent approval: 05/20/04

Number of human subjects who participated in this project/protocol/subproject in the last reporting period: 0
Reporting period for number of human subjects: Fiscal Year 2004

Type(s) of Human Subjects Involvement:

Use of human beings to develop/test instruments, materials, devices, objects, and the like or to investigate the "man-machine interface".
Abstract:
(a. Objectives, b. Methodology, c. Ionizing Radiation, Radioactive Substances, or Chemical Substances to which human subjects are exposed, d. Involvement of Human Subjects [d.1. procedures used, d.2. risks if any])

Voice Stress Analysis Systems (VSAs) claim to measure stress in a person's voice as an indicator of deception. The National Institute of Justice (NIJ), in conjunction with the Air Force Research Laboratory/Information and Intelligence Exploitation Division (AFRL/IFE), published a report on the evaluation of some of the VSAs commercially available. This report indicated that VSAs do recognize stress through voice analysis; however, system deception detection was not proven for all situations. The authors therefore suggested future work.

Approximately 10 participants will be used to evaluate the validity of the deception detection claims of the various products. Participants will be asked to read typed scripts and voice predetermined answers which will either be true or false. All questions will be designed so no personal information will be required or collected. For example, colored cards will be shown to participants and they will be asked to correctly or incorrectly identify the color of the card. Stress will also be evaluated by rapid reading of typed scripts. Some tape recordings will be made to upload into the computer.

Use of the system will be by two-person password control of the computer that contains the operating software. The systems will be kept in a vault type room (VTR) dedicated to the project; access to the VTR will be limited to the research team, a security consultant, and the appropriate manager. Participants will be identified in the data logs as Participant 1, Participant 2, etc. Voice recordings will be kept for the duration of the project and then degaussed and destroyed. Evaluation of the systems will be tracked as data points of positive or negative detection in a spreadsheet on the computer(s) containing the VSAs.

Participants will be asked to test the systems on a periodic basis, no more than approximately twice a week over a total time span of six months. This frequency may vary and is dependent on the system responses over the course of the project.

Evaluation of the systems in terms of performance and vulnerabilities of the hardware/software will be limited to personnel within Center 05900 who have the required clearance levels. It is necessary for the sponsor that this project be conducted at the Official Use Only (OUO) level and participants must be willing to treat this project at that level. Participation will be strictly voluntary.

Although it will be beneficial to have participants of varying ages and gender, since this is an objective evaluation of whether a commercial product performs as advertised, we will accept volunteers on a first-come, first-served basis. The only inclusion/exclusion criteria will be the clearance level noted above. Participants will be recruited by word-of-mouth via departmental/center meetings.

The risks of participation in this study are minimal and no greater than those encountered in everyday life. There is no financial compensation or other tangible benefit to subjects for participation in this research. Sandia and the sponsor will benefit from this evaluation by determining the reliability of the technology in identifying deception and assessing the state of development of the technology.

Any pair of the listed investigators can collect data. No data will be collected unless there are at least two investigators present. No personal information will be collected or used in the evaluation of the VSAs. Files collected and data points generated will not reflect the actual identification of any of the participants.

The data will be accessible to the investigators and the sponsor both during the study and the subsequent three years that the data are required to be saved. The data will be retained on the electronic media inside an approved GSA safe for the required retention period. The customer will only know participant numbers and will never know the actual identities of the participants. The data will only be at the OUO level. All performance related information of the VSAs from the SNL gathered data would be at the OUO level. Any data provided by the sponsor and the corresponding analysis as well as conclusions on ways to circumvent the systems will be classified.


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Project Identifier: SNL-04-20

Project Title:
"Factors Influencing Walking Speed in a High Consequence Industrial Environment"

Principal Investigator: Dr. Nathan G. Brannon, Sandia National Laboratories

Project started in: 2004


Project Funding Information:

This project received funding during fiscal year 2004.
This project used human subjects in fiscal year 2004.

Funding for Human Subjects Research:

DOE: Defense Programs (DP)
$25,000.00 (Est.) for: Fiscal Year 2004

Information on Use of Human Subjects:

This project does not involve the use of multiple protocols/subprojects.

Institutional Review Board (IRB) Review:
Type of Review: Expedited
Approving Institution: Sandia National Laboratories
Most recent approval: 05/25/04

Number of human subjects who participated in this project/protocol/subproject in the last reporting period: 14
Reporting period for number of human subjects: Fiscal Year 2004

Type(s) of Human Subjects Involvement:

Use of personally identifiable data from questionnaires, surveys, or epidemiological studies:
Abstract:
(a. Objectives, b. Methodology, c. Ionizing Radiation, Radioactive Substances, or Chemical Substances to which human subjects are exposed, d. Involvement of Human Subjects [d.1. procedures used, d.2. risks if any])

The speed at which humans walk while performing their duties in an industrial environment furnishes safety analysts with an essential parameter for calculating mechanical insults to hazardous parts and materials. These forms of analyses are typically encountered at the DOE Pantex Plant; however, values for walking speed that are conventionally applied in practice are suspect in terms of their relevance and applicability to problems having safety implication (BWXT Pantex, 2003). Preliminary investigations suggest that such values were adopted for use above and beyond the originally reported context (Woodson, Tillman, & Tillman,1992). Although a wider and more extensive search for pertinent data on walking speeds produced marginal results, particularly for tasks specific to high consequence activities in the workplace (Brannon, Gilmore, & Brewer, 2004). The apparent lack of meaningful and valid data sources has resulted in a need to conduct a study for collecting walking speeds for conditions that accurately translate to existent operations at the Pantex Plant. It is expected that the walking speeds obtained by this effort would fulfill the demand for parameters that can credibly be used to calculate safety outcomes.

An observational field study will be performed in conjunction with ongoing and previously planned training classes for Production Technicians (PTs) at the Pantex Plant. In the training classes, the PTs execute actual operating procedures on high fidelity mock-ups or trainers with the tools and equipment that they would use in a real world application. The study will be unobtrusive in that no attempt will be made on the part of the research team to intervene on an already prescribed training activity. That is, when a training session begins, the research team will not affect instructional progression by, for example, physically interacting or eliciting conversations with instructors or students. Nor will the research team force experimental factors (manipulations) into the study to regulate or control specific behaviors that would not naturally be encountered during the training sessions. Additionally, the observations will be overt in that all study participants will be fully aware and informed about the goals of the study, as well as their own role in the process for data collection.

All training sessions will be videotaped. The videotape will provide the research team with a record of activities that can be retained for detailed analysis. The act of videotaping will also allow the research team to physically remove themselves from the immediate area during the training session to avoid inadvertently confounding the study. Although each study participant will be asked to wear an adhesive 'name tag' with an alphanumeric code written on it to facilitate the collection of walking speeds for different crew members. Coding assignments will not be traceable to individual identities. The period of videotaping will last a maximum of three hours, or less if training happens to be terminated at an earlier time. The research team will record up to three separate training sessions across different classes and crews. Even though the size of training classes will vary, it is estimated that each crew will be comprised of four or five students. Full independence will be assured such that the instructor, scope of training content, and students will be uniquely distinct for each session.

The video taped information will specifically be used to collect quantitative parameters for distance and time. Selected qualitative task characteristics that co-jointly occur with the distance-time parameters will also be collected (e.g., straight walking path versus curved walking path, load versus no load conditions). Basic anthropometric dimensions and demographic data will be solicited from each participant. A paper-and-pencil rating scale will also be administered to obtain individual perceptions of exertion. These requests for participant specific information will be used to assess how individual differences may influence the walking speeds gathered by videotape. Finally, open-ended field notes before and after the training sessions will be obtained to supplement the analysis of the recorded videotapes. For purposes of maintaining anonymity, no names or other methods of personal identification will be collected on any of the data gathering instruments.

Study participants will be members of the PT workforce currently employed at Pantex. Selection of study participants will rely upon plans and schedules for PT training at the Pantex Plant. This way, selection will be based on prior happenstance as a result of students who will be in training on the day or days that the study takes place. Even though the research team will not randomly control selection, the assumption remains that the greater population of PTs will have an unbiased chance of participating in the study. That is, those who do happen to participate will not be consciously singled out or coerced into the study from the employee population at large. A comparison of the participants' demographic statistics against all PTs at the Pantex Plant will serve as a check on representativeness of the final sample.

Every activity subjects will engage in is part of a training session they will participate in whether or not they choose to be part of this study. The study does add video recording, which could render some participants to be self conscious, but the recording will be unobtrusive, and this risk should be minimal. All other activities involved with this study are no greater than minimal risk activities encountered in daily life.

The outcome of this study will be determination of a walking speed that will encompass the upper limit of normal operations and be credibly representative of the nuclear weapons activities performed at the Pantex Plant. This information may then be used to improve safety procedures at Pantex, which might benefit both participants and other Pantex personnel. DOE could benefit by having a better safety standard, and Sandia will benefit by adding to its body of knowledge on human factors. There is no financial or other compensation for participation in this study.


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Project Identifier: SNL-04-30

Project Title:
"Use of Next Generation Intelligent Systems to Enhance Situation Awareness in Physical Security Scenarios"

Principal Investigator: Dr. Ann E. Speed, Sandia National Laboratories

Project started in: 2004


Project Funding Information:

This project did not receive funding during fiscal year 2004.
This project did not use human subjects in fiscal year 2004.
Explanation: Although this research was approved this fiscal year, time and budget constraints prevented it from actually starting in FY2004. The project should begin in FY2005.

Funding for Human Subjects Research: No Funding Sources Reported


Information on Use of Human Subjects:

This project does not involve the use of multiple protocols/subprojects.

Institutional Review Board (IRB) Review:
Type of Review: Expedited
Approving Institution: Sandia National Laboratories
Most recent approval: 08/03/04

Number of human subjects who participated in this project/protocol/subproject in the last reporting period: 0
Reporting period for number of human subjects: Fiscal Year 2004

Type(s) of Human Subjects Involvement:

Use of human beings to develop/test instruments, materials, devices, objects, and the like or to investigate the "man-machine interface".
Abstract:
(a. Objectives, b. Methodology, c. Ionizing Radiation, Radioactive Substances, or Chemical Substances to which human subjects are exposed, d. Involvement of Human Subjects [d.1. procedures used, d.2. risks if any])

As our technological world generates an ever-increasing number of datasources, human decision-makers are increasingly at a disadvantage. We are data-rich but information poor. The overarching goal of the Next Generation Intelligent Systems (NGIS) Grand Challenge Laboratory Directed Research and Development (LDRD) is to create technologies that can help humans more effectively handle the sea of data with which they are faced. The proposed research is an application of technology currently under development as part of the NGIS Grand Challenge LDRD. Specifically, one problem faced in heavily-sensored physical security environments is the overload of raw data coming into the human protective force and the lack of understanding of those data. This research proposes to create a simulation of a heavily-sensored notional facility and to empirically compare multiple ways of computational processing the data from those multiple sensors in order to aid the human protective force in making more rapid and effective tactical decisions.

Subjects will be making rapid assessments of developing attack scenarios in a notional simulation of a heavily sensored facility. Specifically, most scenarios will involve a small number of enemy forces breaching the perimeter of a simulated secure facility, setting off a number of alarmed sensors inside the facility and heading for one of multiple targets contained within that facility. It is the subject's job, for each scenario, to decide which target the enemy force is directed at and what their intent is when they reach that target. The remaining scenarios will represent different patterns of false alarms across the various sensors in the facility.

There will be a total of three experimental conditions, in which each subject will respond to 12 different scenarios. The three experimental conditions are:

1. Notional Baseline Mission Operation Center (Baseline). In this condition, subjects will see a birds-eye view of the simulated facility they are working to protect. When alarms are triggered at the facility, the subjects will see the location of these alarms and will be able to pull up raw data from the related sensors (e.g., simulated video feed).

2. Mission Operation Center with Perception (Perception). The view of the facility for this condition will be the same as for Baseline. However, when alarms are triggered, the perceptive system will identify the object that set off the alarm (e.g., a rabbit just ran through the break-beam; an unknown person just crossed this break-beam). In addition, the subject will be able to pull up raw sensor feeds from the related sensors.

3. Mission Operation Center with Perception and Cognition (NGIS). As with the prior two conditions, the view of the facility will be a birds-eye view. When alarms are triggered, the perceptive system will tell the subject what triggered the alarm. In addition, the cognition system will tell the subject where the object is headed, where it is in relation to other objects, and what the intent of the object is (e.g., if there are seven enemy forces breaching the perimeter at different places, the cognitive system will be able to identify what those enemy forces are, how many there are, and what the most likely target is for their attack). The cognitive system will also be able to identify when alarm triggers are indicative of real attacks versus false alarms.

In addition, there will be 12 'training' scenarios that will familiarize the subjects to the procedure and simulation interface. Each scenario should last for approximately one to five minutes, including collecting data on the decisions each subject makes. The data to be gathered are simply the subject's assessment of what is going on in the scenario. The data will be gathered in four blocks. The first block will comprise the 12 training scenarios. The other three blocks will comprise 12 experimental scenarios each. Subjects will be given a short break in between each block.

Subjects will sit in front of a computer screen and will watch the simulation play out for 30 seconds to one minute. The simulation will then be stopped at a critical point, and subjects will be asked:

1. Whether the scenario is representative of an attack or a false alarm
2. How many enemy forces are inside and outside of the perimeter of the facility
3. What the intended target is
4. What information in the simulation led them to these conclusions.

Responses will be solicited verbally by the experimenter and will be transcribed by the experimenter as each participant responds. The critical measure is the change in each subject's ability to make these assessments correctly across the three different experimental conditions. No direct comparisons will be made between any individual's decisions and those of anyone else who participates.

Subjects will be recruited from lieutenants and captains on Sandia's Protective Force. This population was selected because these people are highly experienced in making the kinds of decisions being studied in this experiment.

Risks in this study are mostly limited to routine fatigue from interacting with a computer and dealing with a high volume of sensory information. To minimize fatigue, there will be an opportunity to take breaks between blocks of scenarios.

The primary benefit to subjects is altruistic. Because the system being tested is a prototype, subjects will not have immediate impact on national security. However, the results of this study could have a long-term impact on homeland security. If this research is successful, both Sandia and DOE will benefit by receiving funding for future projects that expand this line of inquiry.


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