DESCRIPTION: This Broad Agency Announcement (BAA) (BAA-09-PSRC) constitutes the entire solicitation for this effort. No additional information is available, nor will a formal request for proposal or other solicitation regarding this notice be issued. Requests for the same will be disregarded. NAICS code: 541720 Research and Development in the Social Sciences and Humanities INTRODUCTION: The Department of Interior, National Business Center, Acquisition Services Directorate, Sierra Vista Branch at Fort Huachuca, Arizona, acting as the contracting agent for the Defense Personnel Security Research Center (PERSEREC), is issuing a BAA to solicit unclassified research proposals addressing issues pertinent to personnel security policy. The areas covered by this funding program are noted below. By providing financial support for master's theses, doctoral dissertations and institutional research, PERSEREC intends to respond to needs identified by the industrial and personnel security research communities and to reiterate the Department of Defense's commitment to fostering innovation within the field of personnel security. Eligibility: We seek participation from graduate students and from scientists, faculty, consultants, and practitioners at financial, research, business, governmental, and educational institutions. To be eligible for the thesis or dissertation award, applicants must be students enrolled in a graduate program at a university accredited by the Association of Colleges and Secondary Schools for their region and be sponsored by both their university and the chair of their thesis or dissertation committee. Candidates for a master's thesis award must also have satisfactorily completed at least 2/3 of the non-thesis credit hours required for graduation in their program. To receive a dissertation award, candidates must be eligible to enter doctoral candidacy within six months from the date of their application. Prior to the dissertation award being granted, recipients must have completed all degree requirements except for the dissertation defense. To be eligible for the institutional research award the applicants must be employees or owners of a financial, consulting, research, business, or educational institution; hold an advanced academic degree, and be sponsored by their institution. Support: The maximum award for master's degree thesis awards is $5,000/student. The maximum award for dissertation grants is $15,000/student. The maximum award for institutional awards is $30,000/project. PERSEREC Overview: PERSEREC is a Department of Defense (DoD) agency dedicated to improving the effectiveness, efficiency and fairness of the DoD personnel and industrial security systems. The kinds of work PERSEREC conducts include: " long-term programmatic research for the security and intelligence communities " quick-response studies and analyses in support of policy formulation and systems operation " dissemination of research information to security policymakers and practitioners " development of innovative tools and job aids for security professionals. Common products include briefings to policymakers; technical reports, and the more informal management reports; full-blown systems put in place in agencies; desktop aids, etc. PERSEREC also offers advice and recommendations on many subjects related to personnel security. PERSEREC researchers are a small group of behavioral scientists who translate practical problems related to security policy and programs into researchable questions, and collect and analyze empirical data. They report recommendations and findings in a way that is intelligible and useful to policymakers and practitioners. In addition to recommending new policies and procedures, they advise and assist in implementation. The PERSEREC website, http://www.dhra.mil/perserec/index.html is an excellent source of additional, useful information. Research Areas: Adjudication Decisions and Systems:Point of contact: Eric Lang, 831-657-3025; (
[email protected] ) This Program Area welcomes BAA proposals related to any of the following program foci: 1) improving the timeliness, consistency, cost and effectiveness of clearance adjudications, particularly through automated "clean case" screening of the results of background investigations, 2) defining, assessing and improving the quality of clearance applications, background investigations, adjudications and (for individuals subject to clearance denials or revocation), appeals,3) improving the conceptualization and assessment of clinical personality factors and person/environment interactions associated with increased security risk, 4) ensuring that each submission for a clearance background investigation is based on a verified need,5) improving the questions, functions and usability of an electronic personnel security clearance application,6) using technology, such as hand-held electronic devices, to improve the timeliness, consistency, cost and effectiveness of clearance interviews,7) improving the conceptualization, standardization and reporting processes related to violations of personnel security and information security. Screening Systems:Point of contact: Kelly Buck, 831-657-3010, (
[email protected]) This Program Area welcomes BAA proposals related to any of the following topics: 1) improving the timeliness, consistency, cost and effectiveness of suitability and security clearance investigations, adjudications, and continuous evaluation2) identifying contextual, situational, and behavioral indicators of intent to engage or involvement in espionage, sabotage, fraud, theft, violence, or other misconduct against government facilities, personnel, or systems 3) identifying optimal policy and procedures for investigation requests and billing4) identifying optimal business logistics and practices for the execution of the personnel security and suitability systems 5) introduction of new ideas and justifications for process improvements relating to security and suitability investigations, adjudications, and continuous evaluation systems Security Management:Point of Contact: Lynn Fischer, 831-657-3005, (
[email protected]) This research program area welcomes BAA proposals related to one of the following subjects: Professional Development and Training, Innovative Tools to Assist Security Practitioners, and Mitigation of the Insider Threat. We have a continuing interest in supporting research efforts on such topics as: 1) Incentives and constraints pertinent to the reporting of security-relevant information by co-workers and supervisors.2) Procedures to measure the impact of security awareness programs and activities.3) Motivational enhancement techniques to promote appropriate security-relevant behavior (e.g., performance appraisal, goal setting, recognition and awards, and sanctions).4) Strategies for gathering continuing evaluation information.5) Approaches for better integrating continuing evaluation requirements with employee assistance objectives to better optimize of security and human resource goals.6) Current practices for deterring potential insider offenders and evaluation of the relative effectiveness of those practices.7) Single issue studies linking trust betrayal with such hypothesized causal or contributing factors as substance abuse, alcoholism, financial irresponsibility, or mental illness.8) Better indicators for identifying cleared personnel who are security risks as well as the security risk associated with particular work groups, organizations, locations, and positions.9) Types of motivation leading to different security compromises (e.g., espionage, insider abuse of systems, leaks, inadvertent disclosure). Future Systems and Analyses:Point of contact: Howard Timm, 831-657-3016 (
[email protected]) This Program Area welcomes BAA proposals related to increasing the efficiency, effectiveness, or fairness of the personnel security process through more appropriate use of electronic approaches and other process improvements to identify issues of security concern applicable to trusted personnel and cleared facilities, including: 1) Privacy, technological, procedural, legal, and/or ethical issues associated with the assessment of at home and at work on-line computer behavior relevant for making initial security clearance determinations and continued evaluation of clearance holders, 2) Assessment of the value of financial disclosure statements, credit monitoring, and other financial-based techniques used to help prevent people in positions of trust from engaging in either crimes for profit or acts involving conflicts of interest.3) Identification of relevant databases and electronic business rules for assessing compliance with requirements for contractor organizations that hold facility security clearances. 4) Identification of relevant databases and electronic business rules for making initial and continuing assessments of the appropriateness of allowing individuals to enter military bases and other government facilities on a recurring basis who serve as vendors or other types of contractors who do not require security clearances.5) Identification and assessment of any new tools, techniques or procedures that would increase the efficiency, effectiveness or fairness of the personnel security system.6) Assessment of the reliability and validity of instruments designed to predict the likelihood of issues of security concern either occurring for the first time or recidivism. Automated Systems and Databases:Point of contact: Callie Chandler, 831-657-3003, (
[email protected] ) This Program Area welcomes BAA proposals related to any of the following program foci: 1) assessment and testing of the relative effectiveness of various sources and strategies for identifying potential issues of security and/or counterintelligence concern, 2) assessment of the relative quality, cost, timeliness, and effectiveness of government and commercial databases for identifying issues of adjudicative concern,3) identification and assessments of new automated procedures for using large databases to evaluate cleared personnel on a continuous basis,4) identification and assessments of new technologies applicable to improving the timeliness, accuracy, cost and effectiveness of automated continuing evaluation,5) assessment of the potential value of Internet-based activities for assessing personnel security risk,6) development and assessment of alternative methods for assessing potential personnel security risk based on behaviors, incidents and other indicators,7) identification and assessment of international sources of personnel security relevant information8) development and testing of improved methods for presenting information to personnel security investigators and adjudicators. Multidisciplinary Approaches Encouraged: Given the multidisciplinary nature of many of the research issues in this field, it may prove advantageous for the researcher(s) to seek the assistance of those working in other disciplines (e.g., business, industrial psychology, criminal justice, law, etc.). Doctoral students also should consider whether their dissertation committees would be enhanced by having one or more members from a different department. Similarly, principal investigators applying for an institutional award should consider whether their ability to address their research questions would be improved by consultation or collaboration with experts from other fields. The primary considerations for assessing whether a multidisciplinary approach is warranted are the type of questions to be addressed and the scope of the researcher's expertise. Preparation and Submission of Proposals: The personnel security thesis, dissertation and institutional research award programs are competitive. Only a limited number of awards in each category can be awarded each year. Proposals that would help increase the efficiency or effectiveness of personnel security programs, lead to implementable recommendations, and establish empirically based findings using subject populations that are generalizable to those found in the industrial, military, or civilian government sectors are especially encouraged. The proposals must be self-contained (no videos, please) and no longer than 25 pages excluding curriculum vitae. The proposal should include the informational statements described below. An original, signed by an official authorized to commit the institution contractually, one photocopy and one copy on CD or DVD (prepared in Microsoft Word, Microsoft Excel or an Adobe PDF file to be viewed on a Windows platform) must be submitted. If possible, use the following format. Title Page. The title page should include the following information in the order indicated: a) Name and address of the institutionb) Title of the proposalc) A notation whether the proposal is submitted to the "Personnel Security d) Thesis Research Award Program," the "Personnel Security Dissertation Research Award Program," or the "Personnel Security Research Institutional Award Program"e) The research area under which the proposal fallsf) Name, title, address, phone number, and email address of the principal investigator (i.e., the graduate student for the master's thesis) and g) dissertation award proposals or the lead researcher for the institutional award proposals)h) Names and telephone numbers of business personnel to be contacted for award i) negotiationj) Names, titles, dates, and signatures of official(s) authorized to obligate the institutionk) Date of submissionl) Proposed start and end datesm) Identification of any proprietary information to be used by DOI/NBC for evaluation purposes only (the data which the author wishes to restrict should be marked with a legend in accordance with Federal Acquisition Regulation 52.215-12) Proposal Narrative. The narrative of the proposal should include the following items. a) Statement of the problem and its importanceb) A section describing how the proposed research relates to the personnel security issuesc) Evidence that the literature has been reviewedd) Specific research questions to be explorede) Description of the methods, including data collection and analysis methodsf) Time schedule for the major events of the studyg) Anticipated policy and program implications of the findings for the field of personnel securityh) Documentation to the effect that the needed cooperation from organizations will be forthcomingi) A clear, concise listing of project deliverables (e.g., technical report, copy of data, software, etc.) Budget. A comprehensive estimated budget must be included that falls within the upper limits of the support possible under the applicable award program delineated in this announcement. The budget should cover all categories of expense that will be incurred during the course of the project, including: 1) salary cost, 2) overhead or burden rates, 3) supplies and materials, 4) equipment, 5) travel costs, 6) report preparation costs, 7) consultant or sub-award costs, 8) communication costs, 9) computer expenses, 10) other direct costs, and 11) total costs. Cost sharing and matching funds to be provided by the applicant's institution and by other sources should be noted. Thesis or Dissertation Committee Chair's Statement. (Thesis and dissertation award programs only). This statement should indicate the thesis or dissertation committee chair's support of the proposal and the chair's evaluation of the interests and potential of the candidate. The chair should also include a brief description of the backgrounds of the other members of the thesis or dissertation committee. Description of the Researcher(s)'s Background. The proposal must be accompanied by evidence of the background of the researcher(s). This evidence will include information on the education, employment experience, and publications of the researcher(s). Normally, this requirement will be met by the inclusion of the curriculum vitae of the investigators. Proposals submitted under either the thesis or dissertation award program should include the curriculum vitae of the thesis or dissertation committee chair and a statement noting whether the candidate has met all requirements for the degree, other than the thesis or dissertation, and, if not, when those requirements will be met. Proposal Selection Criteria: Potential contribution to the Program:" The perceived need for the subject matter in the personnel security body of knowledge. Will the study help to resolve questions that would be of use for improving the field of personnel security? " Originality of the research. The originality may apply to the topic itself, or to the treatment of a topic that has already been the subject of considerable research. Overall Scientific Technical Merit:" Practical application of results. Are the topic and the study design such that the results of the research may have direct implications in the development and implementation of policy in the area of personnel security? " Quality and feasibility of the research methods. Is the methodology suited to the kind of study proposed? Does the plan indicate that the appropriate information will be collected? Is there evidence that the capacity exists for properly analyzing the data that will be collected? Past Performance:" Strength of the evidence showing that the applicant(s) possesses the necessary qualifications to produce an acceptable research product. Is the proposal clearly written? Does it include essential details that enable the reviewer to conceptualize the project in its entirety? Does the proposal indicate that the researcher(s) has/have knowledge of the significant literature? Does the proposal contain the essential elements of a well-developed research plan? Do the curriculum vitae reflect a track record of research accomplishment or potential? Cost and Schedule Realism:" Realism of the estimated expenses. Have all of the likely expenses been included? Are the project expenses both realistic and reasonable? To what extent is the institution providing support through cost-sharing measures? Information in this BAA is supplemented by a Proposer Information Pamphlet (PIP) that provides further information on the eligibility, support, research areas, multidisciplinary approaches, preparation and submission of proposals, and selection criteria. The PIP is available on the World Wide Web at http://www.aqd.nbc.gov/Solic/openmarket.asp . Awards under this BAA will be made to responsible offerors on the basis of the evaluation criteria above and a BEST VALUE approach to the Government. Awards will be subject to the availability of funds. Awards will take the form of either procurement contracts or grants. The Government reserves the right to select for award all, some, or none of the proposals received.