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[Federal Register Volume 62, Number 60 (Friday, March 28, 1997)]
[Notices]
[Pages 14956-14959]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-7914]

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SOCIAL SECURITY ADMINISTRATION

[Program Announcement No. SSA-ORES-97-1]

Federal Old-Age, Survivors, and Disability Insurance; Fiscal Year 
1997 Funds for Section 1110 Research Grants Availability

AGENCY: Social Security Administration

SUMMARY: The Social Security Administration (SSA) announces that 
competing applications will be accepted for new research grants 
authorized under Section 1110 of the Social Security Act. This 
announcement, consisting of three parts, describes the nature of the 
grant activities and gives notice of the anticipated availability of 
fiscal year (FY) 1997 funds in support of the proposed activities. Part 
I discusses the purpose of the announcement and briefly describes the 
application process. Part II describes the programmatic priorities 
under which SSA is soliciting applications for funding. Part III 
describes the application process and provides guidance on how to 
submit an application.

DATES: The closing date for the receipt of grant applications in 
response to this announcement is June 26, 1997.

FOR FURTHER INFORMATION CONTACT: For information on the application or 
for an application kit: Mr. E. Joe Smith, Grants Management Team; 
Office of Operations Contracts and Grants; Office of Acquisition and 
Grants; Social Security Administration; 1-E-4 Gwynn Oak Building; 1710 
Gwynn Oak Avenue; Baltimore, Maryland 21207; telephone (410) 965-9503.
    For information on the program content of the announcement: Ms. 
Eleanor Cooper, Coordinator for Extramural Research; Office of 
Research, Evaluation and Statistics; Social Security Administration; 4-
C-15 Operations; 6401 Security Boulevard; Baltimore, Maryland 21235; 
telephone (410) 966-9824.

Part I. Purpose and the Grants Process

A. Program Purpose

    This research is intended to add to existing knowledge about 
components of economic security and about the changing economic status 
of the aged or disabled, with emphasis on Social Security 
beneficiaries. Policy makers and social scientists are potential users 
of the results.
    In general, SSA will fund a select number of projects in the 
following areas:
    1. Research that makes use of the New Beneficiary Data System to 
examine changes in the economic security of beneficiaries over time--in 
particular, changes related to one or more of the following: employer-
provided pensions, post-retirement employment, and changing levels of 
income from assets.
    2. Research on ``integration'' provisions of private pension plans 
(benefit formulas that reduce pension payments to individuals by some 
portion of their Social Security benefits), the effect of these 
provisions on income inequality among the aged, and the impact of 
recent changes in integration provisions.

B. FY 1997 Grant Process

    The grant application process for FY 1997 will consist of a one-
stage, full application. Applications are limited to 20 single- or 40 
double-spaced pages (excluding resumes, forms, etc.) and must relate to 
the selection criteria established for review of applications.
    Priority areas in this announcement permit applicants to propose 
research efforts from 12 to 24 months in duration. In item 11 of the 
Face Sheet (page 1 of form SSA-96-BK) indicate the priority area under 
which the application is submitted; i.e., ORES-97-001 or ORES-97-002.

Part II. Priority Research Areas

    In particular, the following projects will be considered for 
funding:
    A. Analyses of the New Beneficiary Data System--ORES-97-001
    This project is intended to encourage research using the New 
Beneficiary Data System (NBDS), a data base developed by SSA over the 
past decade to study the changing circumstances of aged and disabled 
beneficiaries. Based initially on a survey of new beneficiaries and 
spouses in 1982, the data set was expanded through followup interviews 
in 1991 with those included in the original survey, and with 
information from administrative records (on benefits, covered earnings, 
Supplemental Security Income, and Medicare). With the exception of the 
Medicare records, all administrative data have been obtained both for 
primary respondents and for spouses.
    The original survey design included representative samples of new 
Social Security beneficiaries who filed for benefits as retired 
workers, disabled workers, wives, widows, divorced wives, and surviving 
divorced wives. There was also a representative sample of persons aged 
65 or older who were entitled to Medicare benefits but who had not yet 
received Social Security cash benefits. The aged sample was, for the 
most part, in its mid- to late-60's in 1982 and in its mid- to late-
70's in 1991.
    The original interview covered a wide range of topics, including 
demographic characteristics, marital and childbearing history, 
employment history, current income and assets, and health. The followup 
interview updated the comprehensive profile of economic circumstances 
obtained in the original survey, and added or expanded sections on 
health, family contacts, and post-retirement employment. The interviews 
also explored major changes in life circumstances that might underlie 
changes in economic status (such as widowhood or divorce, work 
cessation, migration, and the sale of a home).
    As with other survey-based sources, many data elements, especially 
those relating to income and assets, initially had significant numbers 
of refusals, ``don't knows,'' and other forms of nonresponse; and 
missing data were imputed for both the 1982 and 1991 waves. While these 
cross-sectional imputations reflected the current state of the art, 
they did not take advantage of the fact that in many cases valid data 
were available in one wave when missing in the other. Utilizing these 
partial responses, a new set of expressly longitudinal imputations has 
been prepared and incorporated in the NBDS.
    Background material and a compilation of studies based on the 
original survey are available. Additional reports on the NBDS have been 
published in recent years in the Social Security Bulletin. Much of the 
NBDS data and documentation are available on the Internet at 
www.ssa.gov/statistics/

[[Page 14957]]

 ores--home.html. Further information about the data can be obtained 
from Howard Iams, telephone (202) 282-7092.
    Proposals for research utilizing the longitudinal data of the NBDS 
will be considered for funding. As many as two grants may be awarded. 
Each grant will support research that deals with one or more of the 
following subjects:
    1. Changes in the Role of Employer-Provided Pensions--The NBDS 
contains a wealth of information on employer-provided pensions among 
aged and disabled beneficiaries over time. Research will illuminate the 
changing role of employer-provided pensions in the economic status of 
these beneficiaries (aged, disabled, or both)--in general, changes in 
the number and characteristics of pension recipients, and changes in 
the amounts and importance of their benefits. Of particular concern is 
the impact of inflation on the value of pension benefits over time. 
Another important issue concerns survivor benefits from employer 
pensions--both the incidence and level of such benefits among women who 
had become widowed between the two surveys, and the economic impact on 
widows who were receiving or not receiving benefits from their late 
husbands' pensions.
    The importance of Social Security to aged and disabled 
beneficiaries over time can best be evaluated in the context of the 
other three primary sources of economic security: pensions, employment, 
and assets. Increased knowledge in these areas is imperative for 
analysts and policy makers as they continue to explore the implications 
of various Social Security reform proposals.
    2. Analysis of Earnings and Work Among the Aged--Research has 
established that retirement is not necessarily an all or nothing 
process but frequently occurs in stages. While it has been suggested 
that work among the aged is ``the poor man's pension,'' we know little 
about the nature of such work and its importance to economic well-
being. The income and asset data in the NBDS should make it possible to 
examine the role of earnings in economic well-being at the time of the 
two interview waves. Appropriate questions to address include: To what 
extent do retirees continue working and why? What type of work is done 
by partial retirees? When persons returned to work, did their work 
differ in some systematic manner from their previous work? Did program 
rules limit their hours of work (for example, did earnings tend to be 
limited to the annual exempt amount or did work effort increase when 
the Earnings Test no longer applied at age 70)? Of particular interest 
are differing patterns of post-retirement employment between lower and 
higher income beneficiaries.
    Employer-provided pensions are an important source of retirement 
income. The provisions of these plans are not static, but change in 
response to socioeconomic developments. In order to forecast the 
incomes of future retirees--and the role to be played by Social 
Security and other government income maintenance programs targeted at 
the elderly--it is important to understand the evolution of private 
pension arrangements, especially integration rules that directly link 
pension benefits to Social Security benefits.
    3. Changes in Assets Over Time--Assets, and the income generated 
from assets, are an important determinant of differing levels of 
economic security among retirees (and, in cases of earlier withdrawal 
from the labor force, among the disabled as well). Furthermore, changes 
in assets may be linked to changes in economic well-being--for example, 
when beneficiaries find it necessary to spend down their assets during 
episodes of poor health or other adverse circumstances. The nature and 
importance of these changes, however, is not well understood. Some 
economic life-cycle models assume that assets are accumulated during 
the working years and systematically spent down subsequently. On the 
other hand, anecdotal evidence suggests that assets may be ``hoarded'' 
by many of the elderly as a precaution against possible future needs or 
that assets may be unexpectedly depleted due to changing life 
circumstances. The NBDS makes it possible to conduct more empirically 
grounded analyses of the causes and magnitude of the changing role of 
assets among aged or disabled beneficiaries.
    Grant proposals must be based on well-developed rigorous analysis, 
including at a minimum the elements specified as evaluation criteria 
later in this announcement.
    Applications may be submitted for multi-year funding not to exceed 
24 months in duration. Applications for multi-year funding should 
include a budget for the first budget period (not to exceed 12 months). 
If the application is approved, a grant will be awarded for the initial 
12-month budget period. Funding will subsequently be provided for up to 
an additional 12-month budget period dependent on satisfactory 
performance of the initial budget period, continued relevance of the 
project, and the availability of FY funds.
    It is anticipated that up to $300,000 will be allocated to fund one 
or more projects under this priority area for the initial 12-month 
budget period.

B. Integration of Social Security and Private Pension Benefits--ORES-
97-002

    The Tax Reform Act of 1986 instituted a number of new requirements 
for integration rules for Social Security and private pension benefits. 
One change limits the maximum Social Security offset to 50 percent of 
the pension amount specified by defined benefit plans. This change 
should have increased retirement benefits for lower paid workers 
covered by these kinds of plans.
    Proposals are sought for research that will evaluate the effect of 
the new integration rules on the distribution of retirement income. 
That is, we seek to learn how retirees at different income levels might 
have been differentially affected by these changes. Specifically, how 
much have retirement incomes changed as a result of this legislation, 
and which family income deciles have benefited from the changes? The 
project should explore the economics of and rationale for the existence 
of private pension plan integration provisions.
    It should further identify any trends and their causes (e.g., to 
what extent has the shift from defined benefit plans to defined 
contribution plans had an impact on the numbers of workers with 
integrated plans?). What factors are associated with the occurrence of 
integration provisions in private pension plans? For example, is plan 
integration associated with employer characteristics, the level of 
workers' total compensation, with the mix of employer-employee 
contributions, or with the generosity of the pension plan? How do plan 
integration rules affect other types of pension plan provisions (e.g., 
maximum excess allowances)? How does plan integration affect the post-
retirement distribution of income and what have been the distributional 
consequences of recent changes in integration rules?
    Grant proposals must be based on well-developed rigorous analysis. 
Applicants may submit applications for funding not to exceed 12 months 
in duration.
    We anticipate that up to $100,000 will be allocated to fund one or 
more projects for up to 12 months under this priority area.

    Note: To foster the sharing of research, principal investigators 
for each grant awarded will be required to (1) include in the final 
report an executive summary which SSA could publish in the quarterly 
Social Security Bulletin and (2) discuss the results

[[Page 14958]]

of their research with SSA staff. Funds should be included in the 
grant budget for a meeting at the SSA office of research, evaluation 
and statistics, Washington, D.C.

Part III. Application Process

A. Eligible Applicants

    Any State or local government, public or private organization, 
nonprofit or for-profit organization, hospital, or educational 
institution may apply for a grant under this announcement. Applications 
will not be accepted from applicants which do not meet the above 
eligibility criteria at the time of submission of applications.
    Individuals are not eligible to apply. For-profit organizations may 
apply with the understanding that no grant funds may be paid as profit 
to any grant recipient. Profit is considered as any amount in excess of 
the allowable costs of the grant recipient. A for-profit organization 
is a corporation or other legal entity which is organized or operated 
for the profit or benefit of its shareholders or other owners and must 
be distinguishable or legally separable from that of an individual 
acting on his/her own behalf.
    Organizations described in section 501(c)4 of the Internal Revenue 
Code of 1968 that engage in lobbying are not eligible to receive grant 
awards.

B. Availability and Duration of Funding

    SSA anticipates allocating up to $300,000 to fund the initial 12-
month budget period of a 24-month grant for one or more projects in 
priority area ORES-97-001, ``Analyses of the New Beneficiary Data 
System.'' SSA anticipates allocating up to $100,000 to fund the 12-
month budget period for one or more projects in priority area ORES-97-
002, ``Integration of Social Security and Private Pension Benefits.''

C. Grantee Share of the Project Costs

    Grant recipients receiving assistance to conduct these research 
projects are expected to contribute towards the project costs. 
Generally, 5 percent of the total costs is considered acceptable. No 
grant will be awarded that covers 100 percent of the project's costs.

D. The Application Process for Proposals Requesting Grant Funds

    Organizations wishing to compete for grants under this announcement 
must submit an application by June 26, 1997. Applications received in 
response to this announcement will be reviewed by Federal and non-
Federal personnel.
    Successful applicants may expect funding during the fourth quarter 
of FY 1997 (prior to September 30, 1997).
1. Availability of Application Forms
    Application kits which contain the prescribed application forms for 
grant funds are available from the Grants Management Team; Office of 
Operations Contracts and Grants; Office of Acquisition and Grants; 
Social Security Administration; 1-E-4 Gwynn Oak Building; 1710 Gwynn 
Oak Avenue; Baltimore, Maryland 21207; Mr. E. Joe Smith, Grants 
Management Officer; telephone (410) 965-9503.
    When requesting an application kit, the applicant should refer to 
program announcement number SSA-ORES-97-1 and the date of this 
announcement to ensure receipt of the proper application kit.
2. Additional Information
    For additional information concerning project development, please 
contact Ms. Eleanor Cooper, Coordinator for Extramural Research; Office 
of Research, Evaluation and Statistics; Social Security Administration; 
4-C-15 Operations; 6401 Security Boulevard, Baltimore, Maryland 21235; 
telephone (410) 966-9824.
3. Application Submission
    All applications requesting Federal grant funds must be submitted 
on the standard forms provided by the Grants Management Team. The 
application shall be executed by an individual authorized to act for 
the applicant organization and to assume for the applicant organization 
the obligations imposed by the terms and conditions of the grant award.
    As part of the project title (page 1 of the application form SSA-
96-BK, item 11), the applicant must clearly indicate that the 
application submitted is in response to this announcement (SSA-ORES-97-
1) and must show the appropriate priority area project identifier 
(i.e., ORES-97-001 or ORES-97-002).
    Applications must be submitted to: Grants Management Team; Office 
of Operations Contracts and Grants; Office of Acquisition and Grants; 
Social Security Administration; 1-E-4 Gwynn Oak Building; 1710 Gwynn 
Oak Avenue; Baltimore, Maryland 21207.
    4. Application Consideration
    Applications are initially screened for relevance to this 
announcement. If judged irrelevant, the applications are returned to 
the applicants. Applications that conform to the requirements of this 
program announcement will be reviewed and evaluated against the 
criteria specified in No. 6(b) of this announcement and evaluated by 
Federal and non-Federal personnel. The results of this evaluation will 
assist SSA in selecting the applications to be funded.
5. Application Approval
    Grant awards will be issued within the limits of Federal funds 
available following the approval of the applications selected for 
funding. The official award document is the ``Notice of Grant Award.'' 
It will provide the amount of funds awarded, the purpose of the award, 
the budget period for which support is given, the total project period 
for which support is contemplated, the amount of grantee financial 
participation, and any special terms and conditions of the grant award.
6. Criteria for Screening and Reviewing of Applications
(a) Screening Requirements
    In order for an application to be in conformance, it must meet all 
of the following requirements:
    (1) Number of Copies: An original signed application and two copies 
must be submitted. Five additional copies are optional and will 
expedite processing of the grant application.
    (2) Length: The narrative portion of the application (Part III of 
form SSA-96-BK) must not exceed 20 single- or 40 double-spaced pages, 
exclusive of resumes, forms, etc., typewritten on one side only using 
standard size (8\1/2\''  x  11'') paper. Applications should neither be 
unduly elaborative nor contain voluminous documentation.
    (3) Non-Federal Contribution (Match): Grant recipients must 
contribute towards the project costs (cash or in-kind). Generally, 5 
percent of the total costs is acceptable. SSA will not provide 100 
percent or total funding for any project grant.
    (b) Evaluation Criteria
    Applications which pass the screening process will be reviewed by 
at least three individuals. Reviewers will score the applications, 
basing their scoring decisions on the criteria shown below. An 
unacceptable rating on any individual criterion may render the 
application unacceptable. Consequently, applicants should take care to 
ensure that all criteria are fully addressed in the application. 
Relative weights for the criteria are shown in parentheses.
(1) Project Objective: (25 Points)
    How closely do the project objectives fit those of the 
announcement? Is the need for the project discussed in terms of the 
importance of the issues to be addressed? Does it describe how the 
project builds upon previous research? What is the potential usefulness 
of the anticipated result and expected benefits to the target groups? 
What is the

[[Page 14959]]

potential usefulness of the proposed project for the advancement of 
scientific knowledge?
(2) Project Design: (30 Points)
    Is the design of the project adequate and feasible as indicated by 
the appropriateness of the work statement and the technical approach, 
including: (a) a concise and clear statement of goals and objectives; 
(b) theoretical analysis of the problem and, if appropriate, hypotheses 
to be tested and/or parameters to be estimated; (c) specification of 
data sources; (d) plan for data analysis, including appropriateness of 
statistical methods to be used; and (e) scheduling of tasks and 
milestones in the progress of the project? Does the proposal describe 
specific plans for conducting the project in terms of the tasks to be 
performed, and how the approach proposed will accomplish the project 
objectives?
(3) Qualifications: (30 Points)
    Do the qualifications of the project personnel, as evidenced by 
training, experience, and publications, demonstrate that they have the 
knowledge of subject matter and skills required to competently carry 
out the research and to produce a final report that is comprehensible 
and usable? Is the staffing pattern appropriate for the proposed 
research, linking responsibilities clearly to project tasks?
(4) Organization and Budget: (15 Points)
    Are the resources needed to conduct the project specified, 
including personnel, time, funds, and facilities? Are any collaborative 
efforts with other organizations clearly identified and written 
assurances referenced? Is all budget information provided including a 
description by category (personnel, travel, etc.) of the total of the 
Federal funds required, and written assurances referenced? Where 
appropriate, are justifications and explanations of costs provided? Are 
the project's costs reasonable in view of the level of effort and 
anticipated outcome? Does the applicant's organization have adequate 
facilities and resources to plan, conduct, and complete the project?
7. Closing Date for Receipt of Applications
    The closing date for receipt of grant applications for Federal 
funds in response to this announcement is June 26, 1997.
    Applications may be mailed or sent by commercial carrier or 
personally delivered to: Grants Management Team; Office of Operations 
Contracts and Grants; Office of Acquisition and Grants; Social Security 
Administration; 1-E-4 Gwynn Oak Building; 1710 Gwynn Oak Avenue; 
Baltimore, Maryland 21207.
    Hand-delivered applications are accepted during the hours of 8:00 
a.m. to 5:00 p.m., Monday through Friday. An application will be 
considered as meeting the deadline if it is either:
    (a) Received on or before the deadline date at the above address; 
or
    (b) Mailed through the U.S. Postal Service or sent by commercial 
carrier on or before the deadline date and received in time to be 
considered during the competitive review and evaluation process. 
Applicants are cautioned to request a legibly dated U.S. Postal Service 
postmark or to obtain a legibly dated receipt from a commercial carrier 
as evidence of timely mailing. Private metered postmarks are not 
acceptable as proof of timely mailing.
    Applications which do not meet the above criteria are considered 
late applications. SSA will notify each late applicant that its 
application will not be considered.

    Note: Facsimile Copies Will Not be Accepted.

Notice Procedures

Paperwork Reduction Act

    This notice contains reporting requirements in the ``Application 
Process'' section. However, the information is collected using form 
SSA-96-BK, Federal Assistance, which has Office of Management and 
Budget clearance No. 0960-0184.

Executive Orders 12372 and 12416--Intergovernmental Review of Federal 
Programs

    This program is not covered by the requirements of Executive Order 
12372, as amended by Executive Order 12416, relating to Federal 
agencies providing opportunities for consultation with State and local 
elected officials on proposed Federal financial assistance or direct 
Federal development.

    (Catalog of Federal Domestic Assistance: Program No. 96.007, 
Social Security-Research and Demonstration.)

    Dated: March 20, 1997.
John J. Callahan,
Acting Commissioner of Social Security.
[FR Doc. 97-7914 Filed 3-27-97; 8:45 am]
BILLING CODE 4190-29-P
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