OSD SBIR 08 Topic Index

OfficeOfTheSecretaryOfDefense(OSD)

DeputyDirectorOfDefenseResearchEngineering

DeputyUnderSecretaryOfDefense(ScienceTechnology)

SmallBusinessTechnologyTransferResearch(STTR)

FY2008.AProgramDescription

Introduction

TheDeputyUnderSecretaryofDefense(ScienceTechnology)STTRProgramissponsoringaCognitiveReadinesstechnologythemeinthissolicitation.

TheArmyisparticipatingintheOSDprogramthisyear. TheservicelaboratoriesactasourOSDAgentinthemanagementandexecutionofthecontractswithsmallbusinesses. Theservicelaboratories,oftenreferredtoasaDoDComponentactingonbehalfoftheOSD,invitesmallbusinessfirmstosubmitproposalsunderthisSmallBusinessTechnologyTransferResearch(STTR)Programsolicitation. InordertoparticipateintheOSDSTTRProgramthisyear,allpotentialproposersshouldregisterontheDoDSBIR/STTRwebsiteassoonasyoucan,andshouldfollowtheinstructionforelectronicsubmittalofproposals. Itisrequiredthatallbidderssubmittheirproposalcoversheet,companycommercializationreportandtheirfirm’stechnicalandcostproposalformelectronicallythroughtheDoDSBIR/STTRProposalSubmissionWebsiteat Ifyouexperienceproblemssubmittingyourproposal,callthehelpdesk(tollfree)at1-866-724-7457. YoumustincludeaCompanyCommercializationReportaspartofeachproposalyousubmit;however,itdoesnotcountagainsttheproposalpagelimit.Pleasenotethatimproperhandlingofthisformmayresultintheproposalbeingsubstantiallydelayed.Informationprovidedmayhaveadirectimpactonthereviewoftheproposal. TheDoDSBIR/STTRProposalSubmissionWebsiteallowsyourcompanytocomeinanytime(priortotheproposalsubmissiondeadline)toedityourCoverSheets,TechnicalandCostProposalandCompanyCommercializationReport.

WeWILLNOTacceptanyproposalsthatarenotsubmittedthroughtheon-linesubmissionsite. Thesubmissionsitedoesnotlimittheoverallfilesizeforeachelectronicproposal,thereisonlyapagelimit.However,fileuploadsmaytakeagreatdealoftimedependingonyourfilesizeandyourinternetserverconnectionspeed. Ifyouwishtouploadaverylargefile,itishighlyrecommendedthatyousubmitpriortothedeadlinesubmittaldate,asthelastdayisheavilytrafficked.Youareresponsibleforperformingaviruscheckoneachtechnicalproposalfiletobeuploadedelectronically. Thedetectionofavirusonanysubmissionmaybecausefortherejectionoftheproposal. Wewillnotaccepte-mailsubmissions.

Firmswithstrongresearchanddevelopmentcapabilitiesinscienceorengineeringinanyofthetopicareasdescribedinthissectionandwiththeabilitytocommercializetheresultsareencouragedtoparticipate. Subjecttoavailabilityoffunds,theDUSD(S&T)STTRProgramwillsupporthighqualityresearchanddevelopmentproposalsofinnovativeconceptstosolvethelisteddefense-relatedscientificorengineeringproblems,especiallythoseconceptsthatalsohavehighpotentialforcommercializationintheprivatesector. ObjectivesoftheDUSD(S&T)STTRProgramincludestimulatingtechnologicalinnovation,strengtheningtheroleofsmallbusinessinmeetingDoDresearchanddevelopmentneeds,fosteringandencouragingparticipationbyminorityanddisadvantagedpersonsintechnologicalinnovation,andincreasingthecommercialapplicationofDoD-supportedresearchanddevelopmentresults. TheguidelinespresentedinthesolicitationincorporateandexploittheflexibilityoftheSBAPolicyDirectivetoencourageproposalsbasedonscientificandtechnicalapproachesmostlikelytoyieldresultsimportanttoDoDandtheprivatesector.

DescriptionoftheOSDSTTRThreePhaseProgram

PhaseIistodetermine,insofaraspossible,thescientificortechnicalmeritandfeasibilityofideassubmittedundertheSTTRProgramandwilltypicallybeonehalf-personyeareffortoveraperiodnottoexceedsixmonths,withadollarvalueupto$100,000. Weplantofund3PhaseIcontracts,onaverage,anddownselecttoonePhaseIIcontractpertopic. Thisisassumingthattheproposalsaresufficientinqualitytofundthismany. Proposalsshouldconcentrateonthatresearchanddevelopmentwhichwillsignificantlycontributetoprovingthescientificandtechnicalfeasibilityoftheproposedeffort,thesuccessfulcompletionofwhichisaprerequisiteforfurtherDoDsupportinPhaseII. ThemeasureofPhaseIsuccessincludestechnicalperformancetowardthetopicobjectivesandevaluationsoftheextenttowhichPhaseIIresultswouldhavethepotentialtoyieldaproductorprocessofcontinuingimportancetoDoDandtheprivatesector,inaccordancewithSection4.3.

SubsequentPhaseIIawardswillbemadetofirmsonthebasisofresultsfromthePhaseIeffortandthescientificandtechnicalmeritofthePhaseIIproposalinaddressingthegoalsandobjectivesdescribedinthetopic. PhaseIIawardswilltypicallycover2to5person-yearsofeffortoveraperiodgenerallynottoexceed24months(subjecttonegotiation). PhaseIIistheprincipalresearchanddevelopmenteffortandisexpectedtoproduceawelldefineddeliverableprototypeorprocess. AmorecomprehensiveproposalwillberequiredforPhaseII.

UnderPhaseIII,theDoDmayawardnon-STTRfundedfollow-oncontractsforproductsorprocesses,whichmeetthecomponentmissionneeds. Thissolicitationisdesigned,inpart,toencouragetheconversionoffederallysponsoredresearchanddevelopmentinnovationintoprivatesectorapplications. Thesmallbusinessisexpectedtousenon-federalcapitaltopursueprivatesectorapplicationsoftheresearchanddevelopment.

ThissolicitationisforPhaseIproposalsonly. AnyproposalsubmittedunderpriorSTTRsolicitationswillnotbeconsideredunderthissolicitation;however,offerorswhowerenotawardedacontractinresponsetoaparticulartopicunderpriorSTTRsolicitationsarefreetoupdateormodifyandsubmitthesameormodifiedproposalifitisresponsivetoanyofthetopicslistedinthissection.

ForPhaseII,noseparatesolicitationwillbeissuedandnounsolicitedproposalswillbeaccepted. OnlythosefirmsthatwereawardedPhaseIcontracts,andhavesuccessfullycompletedtheirPhaseIefforts,willbeinvitedtosubmitaPhaseIIproposal. InvitationstosubmitPhaseIIproposalswillbereleasedatorbeforetheendofthePhaseIperiodofperformance.ThedecisiontoinviteaPhaseIIproposalwillbemadebaseduponthesuccessofthePhaseIcontracttomeetthetechnicalgoalsofthetopic,aswellastheoverallmeritbaseduponthecriteriainsection4.3. DoDisnotobligatedtomakeanyawardsunderPhaseI,II,orIII. DoDisnotresponsibleforanymoneyexpendedbytheproposerbeforeawardofanycontract. ForspecificsregardingtheevaluationandawardofPhaseIorIIcontracts,pleasereadthefrontsectionofthissolicitationverycarefully. EveryPhaseIIproposalwillbereviewedforoverallmeritbaseduponthecriteriainsection4.3ofthissolicitation,repeatedbelow:

a.Thesoundness,technicalmerit,andinnovationoftheproposedapproachanditsincrementalprogresstowardtopicorsubtopicsolution.

b.Thequalificationsoftheproposedprincipal/keyinvestigators,supportingstaff,andconsultants. Qualificationsincludenotonlytheabilitytoperformtheresearchanddevelopmentbutalsotheabilitytocommercializetheresults.

1. Thepotentialforcommercial(defenseandprivatesector)applicationandthebenefitsexpectedtoaccruefromthiscommercialization.

Inaddition,theOSDSTTRProgramhasaPhaseIIPlusProgram,whichprovidesmatchingSTTRfundstoexpandanexistingPhaseIIcontractthatattractsinvestmentfundsfromaDoDacquisitionprogram,anon-SBIR/non-STTRgovernmentprogramorPrivatesectorinvestments.PhaseIIPlusallowsforanexistingPhaseIIOSDSTTRcontracttobeextendedforuptooneyearperPhaseIIPlusapplication,toperformadditionalresearchanddevelopment.PhaseIIPlusmatchingfundswillbeprovidedonaone-for-onebasisuptoamaximum$500,000ofSTTRfunds.AllPhaseIIPlusawardsaresubjecttoacceptance,review,andselectionofcandidateprojects,aresubjecttoavailabilityoffunding,andsuccessfulnegotiationandawardofaPhaseIIPluscontractmodification. ThefundsprovidedbytheDoDacquisitionprogramoranon-SBIR/non-STTRgovernmentprogrammustbeobligatedontheOSDPhaseIIcontractasamodificationpriortoorconcurrentwiththeOSDSTTRfunds. Privatesectorfundsmustbedeemedan“outsideinvestor”whichmayincludesuchentitiesasanothercompany,oraninvestor. Itdoesnotincludetheownersorfamilymembers,oraffiliatesofthesmallbusiness(13CFR121.103).

TheFastTrackprovisionsinsection4.0ofthissolicitationapplyasfollows. UndertheFastTrackpolicy,STTRprojectsthatattractmatchingcashfromanoutsideinvestorfortheirPhaseIIefforthaveanopportunitytoreceiveinterimfundingbetweenPhasesIandII,tobeevaluatedforPhaseIIunderanexpeditedprocess,andtobeselectedforPhaseIIawardprovidedtheymeetorexceedthetechnicalthresholdsandhavemettheirPhaseItechnicalgoals,asdiscussedinSection4.5. UndertheFastTrackProgram,acompanysubmitsaFastTrackapplication,includingstatementofworkandcostestimate,within120to180daysoftheawardofaPhaseIcontract(seetheFastTrackApplicationFormon AlsosubmittedatthistimeisacommitmentofthirdpartyfundingforPhaseII. Subsequently,thecompanymustsubmititsPhaseIFinalReportanditsPhaseIIproposalnolaterthan210daysaftertheeffectivedateofPhaseI,andmustcertify,within45daysofbeingselectedforPhaseIIaward,thatallmatchingfundshavebeentransferredtothecompany.ForprojectsthatqualifyfortheFastTrack(asdiscussedinSection4.5),DoDwillevaluatethePhaseIIproposalsinanexpeditedmannerinaccordancewiththeabovecriteria,andmayselecttheseproposalsforPhaseIIawardprovided: (1)theymeetorexceedselectioncriteria(a)and(b)aboveand(2)theprojecthassubstantiallymetitsPhaseItechnicalgoals(andassumingbudgetaryandotherprogrammaticfactorsaremet,asdiscussedinSection4.1). FastTrackproposals,havingattractedmatchingcashfromanoutsideinvestor,presumptivelymeetcriterion(c). However,selectionandawardofaFastTrackproposalisnotmandatedandDoDretainsthediscretionnottoselectorfundanyFastTrackproposal.

Follow-OnFunding

Inadditiontosupportingscientificandengineeringresearchanddevelopment,anotherimportantgoaloftheprogramisconversionofDoD-supportedresearchanddevelopmentintocommercialproducts. Proposersareencouragedtoobtainacontingentcommitmentforprivatefollow-onfundingpriortoPhaseIIwhereitisfeltthattheresearchanddevelopmenthascommercialpotentialintheprivatesector. Proposerswhofeelthattheirresearchanddevelopmenthavethepotentialtomeetprivatesectormarketneeds,inadditiontomeetingDoDobjectives,areencouragedtoobtainnon-federalfollow-onfundingforPhaseIIItopursueprivatesectordevelopment. ThecommitmentshouldbeobtainedduringthecourseofPhaseIperformance. ThiscommitmentmaybecontingentupontheDoDsupporteddevelopmentmeetingsomespecifictechnicalobjectivesinPhaseIIwhichifmet,wouldjustifynon-federalfundingtopursuefurtherdevelopmentforcommercialpurposesinPhaseIII. TherecipientwillbepermittedtoobtaincommercialrightstoanyinventionmadeineitherPhaseIorPhaseII,subjecttothepatentpoliciesstatedelsewhereinthissolicitation.

ContactwithDoD

Generalinformationalquestionspertainingtoproposalinstructionscontainedinthissolicitationshouldbedirectedtothetopicauthorsandpointofcontactidentifiedinthetopicdescriptionsection. Proposalsshouldbeelectronicallysubmitted. OralcommunicationswithDoDpersonnelregardingthetechnicalcontentofthissolicitationduringthepre-solicitationphaseareallowed,however,proposalevaluationisconductedonlyonthewrittensubmittal. Oralcommunicationsduringthepre-solicitationperiodshouldbeconsideredinformal,andwillnotbefactoredintotheselectionforawardofcontracts.Oralcommunicationssubsequenttothepre-solicitationperiod,duringthePhaseIproposalpreparationperiodsareprohibitedforreasonsofcompetitivefairness.Refertothefrontsectionofthesolicitationfortheexactdates.

ProposalSubmission

Proposalsshallbesubmittedinresponsetoaspecifictopicidentifiedinthefollowingtopicdescriptionsections. Thetopicslistedaretheonlytopicsforwhichproposalswillbeaccepted. ScientificandtechnicalinformationassistancemayberequestedbyusingtheSBIR/STTRInteractiveTechnicalInformationSystem(SITIS).

Itisrequiredthatallbidderssubmittheirproposalcoversheet,companycommercializationreportandtheirfirm’stechnicalandcostproposalformelectronicallythroughtheDoDSBIR/STTRProposalSubmissionWebsiteat Ifyouexperienceproblemssubmittingyourproposal,callthehelpdesk(tollfree)at866-724-7457.YoumustincludeaCompanyCommercializationReportaspartofeachproposalyousubmit;however,itdoesnotcountagainsttheproposalpagelimit.Pleasenotethatimproperhandlingofthisformmayresultintheproposalbeingsubstantiallydelayed. Informationprovidedmayhaveadirectimpactonthereviewoftheproposal.Theproposalsubmissionwebsiteallowsyourcompanytocomeinanytime(priortotheproposalsubmissiondeadline)toedityourCoverSheets,TechnicalandCostProposalandCompanyCommercializationReport. WeWILLNOTacceptanyproposalswhicharenotsubmittedthroughtheon-linesubmissionsite. Thesubmissionsitedoesnotlimittheoverallfilesizeforeachelectronicproposal,onlythenumberofpagesarelimited. However,fileuploadsmaytakeagreatdealoftimedependingonyourfilesizeandyourinternetserverconnectionspeed.Youareresponsibleforperformingaviruscheckoneachtechnicalproposalfiletobeuploadedelectronically. Thedetectionofavirusonanysubmissionmaybecausefortherejectionoftheproposal. Wewillnotaccepte-mailsubmissions.

Thefollowingisasummaryofthetechnologyareas,whicharefollowedbythetopics.

CognitiveReadinessTechnologyFocusArea: Social,Cultural,andLanguageToolsforAnalysis,DecisionandTrainingSystems

Ournationalsecuritydependsuponourabilitytooperatemilitarilywithsocio-culturalagilityandeffectsintheseregions.Ourforcesmustbeabletonotonlyprojectmilitarypower,butalsoprovideforstability,security,transition,andreconstructioneffortsglobally.Todothisrequires,atalllevelsofourforcestructure,anappreciationoftheintricaciesofsocietiesandtribalculturesandthecomplexityofhuman-to-humaninteractions.Weneedtargetedandtailoredtechnologyproductsthatareapplicabletothetroopsworkingatthetacticallevel,andanalystsandleadersattheoperationalandstrategiclevel.

Thisthemesupportsresearchthatutilizesinnovativetechnologies,suchasseriousgameenvironments,thatcanbeusedtodeveloprelevantmodelsandtopushtheenvelopeonprovidingnewanalysis,decisionsupport,andtrainingcapabilitiesinsocial,culturalandlanguagedomainsforthedeployedwarfighterinorganizationalechelonsfromcombatteamstoJointTaskForceHeadquarters.Thefocusofthesetopicsisdevelopinguniqueandoperationallyrelevantmodelsandcontent.Topicsseekvalidatedsocio-culturalmodelsandcontentwithdemonstrateduse-caseeffectiveness.Theyseektoprovidetheinteractive,dynamicenvironmentsthatwouldsupportbetterculturalawareness.ThetechnologiesshouldbeextensiblebeyondcurrentoperationsinIraqandAfghanistantootherregionsandmilitarykineticandnon-kineticscenarios.Networkable,remote-capableproductsaredesirablewithemphasisoninsertionintosystemsofrecordandJustInTimetrainingenvironments.TrainingrelatedtopicsrequireSCORMcomplianceandtheadoptionofexisting/emergingstandardsfortrainingoflanguageandculturalskills.

TheCognitiveReadinessTechnologytopicsare:

OSD08-T001AutomaticIdentificationMitigationofUnauthorizedInformationLeakingfromEnterpriseNetworks(Army)

OSD08-T002AutomationofTechnicalReachbackforPMESIIBestPracticesandLessonsLearnedinStabilizationandReconstructionEnvironments(Army)

OSD08-T003LinkingOutputActivitytoOutcomes/ImpactsinComplexContingencyEnvironments(Army)

OSDSTTR08.ATopicDescriptions

OSD08-T001TITLE:AutomaticIdentificationMitigationofUnauthorizedInformationLeakingfromEnterpriseNetworks

TECHNOLOGYAREAS:InformationSystems

OBJECTIVE: Attacksagainstcomputernetworkswillofteninjectunauthorizedsoftwaresuchasbotnets,spyware,RemoteAdministrationTrojans,peer-to-peersoftware,orstealthyworms.Oncerunninginsideanenterprisenetwork,themaliciouscodemaycollectsensitiveorsecretinformationandsenditoutofthetargetednetworks.TheobjectiveofthisSTTRistoresearchanddevelopautomaticidentificationandmitigationtechniquestodetectandstopunauthorizedinformationleakingemanatingfromanenterprisenetworks.Newtechniquesandimplementationsareneededtomonitorout-boundnetworkconnectionsforunauthorizedtrafficflows,stoporshuntthesetrafficflows,andidentifythemachine(s)thatgeneratedthetrafficforfurtherinvestigationandremediation.

DESCRIPTION:Networkintrusiondetectionsystems(NIDS)canaidindetectingmaliciousattacksagainstenterprisenetworks. However,NIDSareineffectiveataddressingmalicioussoftwarethatisalreadyrunningresidentoninternalhosts.Spyware,botnets,RemoteAdministrationTrojans,keyloggers,peer-to-peerfilesharing,remotemonitoring,andcontrolsoftwarecanrunwithinnetworkscollectingandtransmittinginformation,threateningasystem’sconfidentiality.Currentcommercialanti-spywaresystemsarenoteffectiveatfindingallspywareandothermalicioussoftwarebecausethemalicioussoftwarecanhidefromdetection,orthedetectionsignaturesareout-of-date.Passivenetworkmonitoringdevicesthatdonotrequirehost-basedcommunication,offeranapproachtodetectandstopunauthorizedinformationleakage. ThisSTTRexaminestheresearchanddevelopmentofasystemthatcanautomaticallyidentifyandmitigatedataexfiltrationfromunauthorizedout-boundtrafficflows.

Thegeneraltaskofidentifyingandmitigatingunauthorizednetworktrafficflowsischallengingforseveralreasons. Themostsignificantoftheseare:(i)alargesetofprogramsisgeneratingalotoftrafficatanytime,(ii)packetsemittedfromasingleprogramarehighlyvariablewithtime,machine,anduser,(iii)malicioussoftwarewilloftenembeditselfinlegitimatesoftwareusingauthorizedsoftwareasahostforsendingoutmaliciouspackets,and(iv)networktrafficshouldbeprocessedinnearreal-timeinordertoallowcontroldecisionstobemadeoncurrentsessions.Toaddresstheseissues,techniquesthatcanproperlyclassifynetworktrafficanddistinguishmalicioustrafficflowsfromlegitimatetrafficflowsemanatingfromanauthorizedprogramwillbehighlydesired.

PHASEI:a.Researchanddevelopnetworktrafficflowclassificationalgorithm(s)thatcanaccuratelydistinguishmalicioustrafficflowswithinanetworkonareal-timebasis.

b.Demonstratethattheproposedalgorithm(s)suitablyscaleforenterprisenetworksconsistingofdifferentclassesofmalicioustrafficflows.

PHASEII:a.Developaworkingsystemthatautomaticallyclassifiesnetworktrafficflowsanddemonstratesuccessfuloperationonlivetraffic.

b.Conductcomprehensivebenchmarkingexperimentsusingsynthetictrafficgenerators(bothbenignandmalicious),andvariousprogramsandmalicioussoftwaretodemonstratethesuccessfuldetectionofunauthorizeddataexfiltrationundervaryingamountsofnetworkload.

c.Demonstratetheadvantagesofthisapproachbycomparingagainstexistingtoolsandtechniquesforidentifyingmaliciousprogramsrunninginsidenetworks.

PHASEIII/DUALUSEAPPLICATIONS:Effectivenetworkintrusiondetectionandinformationleakagemitigationisacriticalcapabilityforboththemilitaryandcommercialsectors.Thedevelopedtechnologywillbeuseableonboththegovernmentnetworks,aswellascommercialnetworks.Thedevelopedsystemshouldbemarketedasastandaloneproductorcanbelicensedtoathirdparty.

KEYWORDS:IDSsystem,networktrafficclassification,networkfingerprinting,informationleakage,dataexfiltration

OSD08-T002TITLE:AutomationofTechnicalReachbackforPMESIIBestPracticesandLessonsLearnedinStabilizationandReconstructionEnvironments

TECHNOLOGYAREAS:HumanSystems

OBJECTIVE:ProvideUSmilitaryplannersandtheirUSGinteragencypartnerswithanautomatedtechnicalreachbackcapabilitybuiltonbestpracticesandlessonslearnedacrosskeysectors.

DESCRIPTION:ThesuccessfulaccomplishmentofUSnationalobjectivesgoesbeyondjustcombatoperationsandrequiresUSmilitaryplannerstoplan,prepareandconductoperationsacrossmanylevelsofconflict/warfare.DoDDirective3000.05signed28November2005,mandatesthat:"U.S.militaryforcesshallbepreparedtoperformalltasksnecessarytoestablishormaintainorderwhencivilianscannotdoso."ConcertedeffortsonthepartofUSJFCOM,Army,MarineCorps,SOCOM,theUSDepartmentofState'sOfficeoftheCoordinatorforReconstructionandStabilization(S/CRS),andtheUSAgencyforInternationalDevelopment(USAID)havebuiltconsiderablecollectionsofbestpracticesandlessonslearnedacrosssectors:security,ruleoflaw,governance,economicgrowthandsocialwell-being.Thesebestpracticesincorporatesocial,culturalandgeo-politicalknowledgethatcanhelpdefineappropriatesubordinateobjectivesandactivitiesforaccomplishingNationalSecuritygoalsincomplexcontingencyenvironments.

AcrosstheUSGagencies,thebodyofknowledgerepresentedbybestpracticesandlessonslearnedisnotreadilyavailabletostabilizationandreconstructionpractitionersintheater. Intoday’senvironment,theprofessionalonthegroundfrequentlyhasneitherthespecializedexpertiseneeded,northetimeandresourcesnecessary,toidentifythebestsolutiontoaddresstheobjective. Aneffectiveprogramconsistsofattainingbothappropriate(tothelocalenvironment)andquality(useofbesttechnicalapproaches)resultsforthereconstructiontaskbeforehim/her.Forexample,todevelopacomprehensiveprogramfocusedondecreasingpoppyexportationAfghanistan,alternativelivelihoodsneedtobedevelopedwithlocalinputanduseavarietyoftechnicalapproaches,suchasregionalbordersecurity,ruralagriculturetechniquesin3rdworldenvironments,watershedanalysisandmanagementtechniquesapplicabletothespecificregion,marketanalysismethodologiesappropriateforthetaskandenvironment,etc. Alloftheseelements,includinglocalinvolvement,relyonuseofbestpracticesandlessonslearnedtoachieveeffectiveresults.

EfficientaccesstoacomprehensivesetofbestpracticesisbecomingincreasingimportantasDoDstandsreadytofillthegapforciviliansinstabilizationandreconstructionenvironmentsasmandatedinDoD3000.05.Buildingonthefoundationoflessonslearnedandbestpracticesoftheinstitutionsmentionedaboveandothers,timelyaccessto,integrationofandanalysisofthesebestpracticesisurgentlyneededacrosssectorstoenableDoDandcivilianstafftoperformtheirduties.TechnicalreachbacktothisinformationinsupportofDoDandcivilianstaffintheateriscriticalfortimelydeliveryofappropriateandhigh-qualityprogramsandprojectsinstabilizationandreconstructionenvironments.

PHASEI:WithinputfromUSJFCOM,CenterforArmyLessonsLearned,S/CRS,USAIDandUSACAPOCandothers,developanautomated,opensourcemethodologyforaccessing,analyzingandtailoringbestpracticesandlessonslearnedforsectorsacrosskeysectors: security,ruleoflaw,governance,economicgrowthandsocialwell-being.Thebestpracticesandlessonslearnedshouldbefocusedon,butnotlimitedto,thosegatheredfromstabilizationandreconstructionenvironments.Implementexamplesfromatleastthreedistinctsectors,includingrelevantadditionalmaterialsfromabroadrangeofotherorganizationssuchasuniversities,thinktanks,developmentbanksandinternationalandnon-governmentalorganizations.CollectandevaluateexamplesoftechnicalreachbacksystemsinusebyDoD,USAIDandotherstodevelopamenuofapproachesthatwouldworkwithincontractingframeworksoftheUSGintheater.

PHASEII:Oncedemonstratedthataworkablemethodologyandprocessexists,developanddemonstrateasoftwarecapabilitythatenablesbestpracticestobeaccessedbyfieldcomponentsthroughReachbackcapabilities.Insurethiscapabilityutilizesopen-architectureandenterprisetechniquesthatareweb-enabledusingindustryandgovernmentstandardsforwebapplicationssuchthatitisinteroperablewithotherUSGsystems. Adjustthesystemasrequiredbasedoncustomerfeedback.Testthecapabilityforaccessing,analyzingandtailoringbestpracticesandlessonslearnedinspecificstabilizationandreconstructionenvironment(s)basedonPhaseIresults.IdentifyhowthemethodologywillbeincorporatedintotheMilitaryDecisionMakingProcess(MDMP).Provideasetofminimumrequirementsforsuccessfuluseofthecapabilitybypractitionersintheater,includingIT,personnelandbudgetaryestimates.

DUALUSECOMMERCIALIZATION:HasUSG-wideandpossiblyMultinationandInternationalapplication(UnitedNations,NATO).

REFERENCES:

1.USGDraftPlanningFrameworkforReconstruction,StabilizationandConflictTransformation,USJFCOMJ7Pamphlet,version1.0,1December2005,

2.DoDDirective3000.05,

KEYWORDS:technicalreachback,lessonslearned,stabilization,reconstruction,bestpractices,PMESII

OSD08-T003TITLE:LinkingOutputActivitytoOutcomes/ImpactsinComplexContingencyEnvironments

TECHNOLOGYAREAS:HumanSystems

OBJECTIVE:Research,design,andevaluateaninnovativeapproachforlinkingtheoutputofstabilizationandreconstruction(peace-building)activities/taskstodesiredoverallmissionoutcomes/impacts.

DESCRIPTION:Theabilityofnational,internationalormultinationalorganizationstoaccuratelymonitorandevaluateprogresstowardsestablishingaviablepeaceoraddressingthecausesunderlyingconflictatacountryorregional-levelisimpededbyaninabilityto“link”actions,tasksand/orprojects(termed“projects”forthisdescription)attheimplementation-leveltobroadermission-level,desiredoutcomes.Mostoften,theseprojectsareoftenundertakenwithinanagency(UNHCR,USAID,DoD)and/orwithinasectoral/functionalstovepipe(Security,Governance,RuleofLaw,HumanitarianAssistance),andtheprojectsuccessismeasuredintermsofoutputs(#schoolsbuilt,#policetrained,tonsoffooddelivered,#immunizationsdelivered).Atthemission-levelhowever,successismeasuredintermsofoutcomes/impacts,whicharebroaderindicationsofprogressandeffectiveness(enhancinggovernmentallegitimacy,diminishingpoliticalviolence,strengtheningtheprivatesector,diminishingsocietalcleavages).Currently,thereisagapbetweenoutcome/impactmeasuresandoutputmeasuresofeachindividualproject. Asimpleaggregationofthesuccessfuloutputofeachprojectfromtheindividual“stovepipes”asameanstoassessmission-levelprogressisinaccurateandmisleading.However,allprojects,activitiesandtasksshouldbeinsupportofbroader,desiredmissionoutcomes/impacts.

Throughaprojectentitled“MeasuringProgressinConflictEnvironments”(MPICE),theDeptofState,USAID,USInstituteofPeaceandDODcollaboratedindevelopingameasurementframeworkfocusedspecificallyonoutcomesacross5sectors(PoliticalModeration,Security,RuleofLaw,EconomicSustainabilityandSocialWell-Being). ThisframeworkaddressesbothInstitutionalPerformanceaswellasDriversofConflictcomponents. WhiletheFrameworkisintentionallygenericandcomprehensive,tailoringprocedureshavebeendocumentedtodevelopasetofoutcomemeasuresappropriateforspecificmissionsandenvironments.MPICEcurrentlydoesnotsubstantiallyandrigorouslylinkthemeasuresofeffectivenessfocusedonoutcomestomeasuresofperformanceoroutputsofactualactivitieson-the-ground.TheMPICEframeworkisavailablethroughthelinkintheReferencessectionbelow.

Thisresearchwilldevelopamethodologyandprocessto“link”planned/on-goingimplementation-levelprojects/activities/taskstobroadermission-leveloutcomes/impactswithinacommonsoftwareoperatingenvironment.Thesoftwareshouldbeabletoassimilateactivities/tasksfrommultiplesources/agenciesandorganizations(governmental,internationalorprivate)intoan“MSproject-like”environmentforthepurposesoforganizationintosectors,functionsorothergroupings.Thesoftwareshouldbeabletoidentifycriticalpathsandinterdependenciesbetweenactivities/tasksandtheeffectofchangesfromoneactivityontheothersthroughtheirinterdependencies.Eachactivity/taskshouldbeabletoincorporate,monitorandstoreoutput-basedevaluationdata.Theresearchwillthendeterminehowbestto“link”or“nest”theseactivitiestobroadermissionoutcomes/impactsdeterminedduringmissionplanning(orsoonthereafter)forthepurposesofensuringimpactandcohesionbetweenplanandactivity.Thesoftwareshouldbeableto“import”atailoredsetofMPICEindicatorsandmeasuresorbeabletoinputthesametypeofoutcomemeasuresfromanothersourceorplan.Finally,thesoftwareshouldprovideavisualizationcapabilitytodisplaytherelationshipbetweenplannedoutcomesandimplementationactivityforpractitioners.ExploreandfurtherdefineandenhancerequirementstoenablethisvisualizationcapabilitywithGIStechnology.

PHASEI:Usingarecentstabilizationandreconstructionmissionorarobustcasestudydevelopandsuccessfullydemonstrateamethodologyandprocesstomeaningfullylinkoutputsfromongoingprojects/activities/taskswithbroader,mission-leveloutcomes/impactsasrepresentedintheMPICEframeworkforthepurposesofcohesionandimpactwithstated,mission-levelgoals.

PHASEII:Developanddemonstrateasoftwarecapabilitythatdocumentsandlinkstheprojectdescription,managementandoutputsuccessmeasurement“pieces”tothehigher-leveloutcomes/impactsavailableintheMPICEframework.Insurethiscapabilityutilizesopen-architectureandenterprisetechniquesthatareweb-enabledusingindustryandgovernmentstandardsforwebapplicationssuchthatitisinteroperablewithotherUSGsystemssuchastheMPICEcomputerizedtool. Adjustthesystemasrequiredbasedoncustomerfeedback. Finally,developavisualizationcapabilitytoassistpractitionersinthefield,aswellasUSGcoordinationandoversightmanagersinWashingtonDC.

PRIVATESECTORCOMMERCIALPOTENTIAL:WhilethetechnologyisbeingdevelopedtosupportOperational-level(Mission-level)efforts,thistechnologyisalsousefulforHomelandDefense/Securitymissions.Thedistinctionbetweenthetwoisstatutory.Thistechnologycouldbeasusefulduringdomesticdisaster/incidentresponseasitwouldbeforforeignapplications.Acommercialentitycouldadoptthissoftwareandimproveitforsaletostate,county,andmunicipalgovernments.

REFERENCES:

1.USGDraftPlanningFrameworkforReconstruction,StabilizationandConflictTransformation,USJFCOMJ7Pamphlet,version1.0,1December2005,

2.DoDDirective3000.05,

3.MeasuringProgressinConflictEnvironmentsFramework.

KEYWORDS:stabilityandreconstruction,output,outcome,impact.

OSD-1