Triaging Notice of Concern Submissions

Section 1: Use Case Identifiers

Use Case ID: HHS-ACF-00005
Agency: HHS
Op Div/Staff Div: ACF
Use Case Topic Area: Government Services (includes Benefits and Service Delivery)
Is the AI use case found in the below list of general commercial AI products and services?
None of the above.
What is the intended purpose and expected benefits of the AI?
The Office of Refugee Resettlement (ORR) has amassed a large backlog of Notice of Concern (NOC) PDF forms that contain critical information regarding safety of children who have left ORR's care.

The AI-powered triage tool will support Office of Refugee Resettlement staff more effectively and efficiently review NOCs by helping structure and prioritize received NOCs. Through more effective triage, ORR will begin to cut down on the large backlog that has accumulated.
Describe the AI system's outputs.
In the NOC triage system, AI will be used for two purposes:

1. We will use AI to parse the NOCs to generate structured fields from the text and validate categorizations.

2. AI will provide prioritization recommendations -- but not make decisions -- on the most critical NOCs for the ORR team to review first.
Stage of Development: Acquisition and/or Development
Is the AI use case rights-impacting, safety-impacting, both, or neither?
Safety-Impacting

Section 2: Use Case Summary

Date Initiated: 06/2024
Date when Acquisition and/or Development began: 06/2024
Date Implemented: N/A
Date Retired: N/A
Was the AI system involved in this use case developed (or is it to be developed) under contract(s) or in-house?
Developed with contracting resources.
Provide the Procurement Instrument Identifier(s) (PIID) of the contract(s) used.
75D30122F15723
Is this AI use case supporting a High-Impact Service Provider (HISP) public-facing service?
N/A
Does this AI use case disseminate information to the public?
N/A
How is the agency ensuring compliance with Information Quality Act guidelines, if applicable?
N/A
Does this AI use case involve personally identifiable information (PII) that is maintained by the agency?
N/A
Has the Senior Agency Official for Privacy (SAOP) assessed the privacy risks associated with this AI use case?
ongoing

Section 3: Data and Code

Do you have access to an enterprise data catalog or agency-wide data repository that enables you to identify whether or not the necessary datasets exist and are ready to develop your use case?
No
Describe any agency-owned data used to train, fine-tune, and/or evaluate performance of the model(s) used in this use case.
No training or fine tuning. Notional NOCs were used to prompt engineer secure commercially-available LLMs and evaluate performance. End-user testing was used to evaluate on real NOCs.
Is there available documentation for the model training and evaluation data that demonstrates the degree to which it is appropriate to be used in analysis or for making predictions?
Documentation has been partially completed
Which, if any, demographic variables does the AI use case explicitly use as model features?
N/A
Does this project include custom-developed code?
N/A
Does the agency have access to the code associated with the AI use case?
N/A
If the code is open-source, provide the link for the publicly available source code.
N/A

Section 4: AI Enablement and Infrastructure

Does this AI use case have an associated Authority to Operate (ATO) for an AI system?
Yes
System Name: Horizon (ACF instance of Palantir Foundry)
How long have you waited for the necessary developer tools to implement the AI use case?
Less than 6 months
For this AI use case, is the required IT infrastructure provisioned via a centralized intake form or process inside the agency?
No
Do you have a process in place to request access to computing resources for model training and development of the AI involved in this use case?
Yes
Has communication regarding the provisioning of your requested resources been timely?
No
How are existing data science tools, libraries, data products, and internally-developed AI infrastructure being re-used for the current AI use case?
Re-use production level code and/or data products
Has information regarding the AI use case, including performance metrics and intended use of the model, been made available for review and feedback within the agency?
Limited documentation for review