[Federal Register Volume 63, Number 73 (Thursday, April 16, 1998)]
[Notices]
[Pages 18946-18953]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-10206]


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SOCIAL SECURITY ADMINISTRATION


Retirement Research Consortium Request for Applications (RFA) 
(Program Announcement No. SSA-ORES-98-1)

AGENCY: The Office of Research, Evaluation, and Statistics (ORES) of 
the Social Security Administration (SSA).

ACTION: Request for applications for a cooperative agreement to 
establish a Retirement Research Consortium (RRC).

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SUMMARY: As currently legislated, the Old-Age and Survivors Insurance 
(OASI) and Disability Insurance trust funds are projected by the Social 
Security Board of Trustees to be insufficient by the year 2029 to pay 
all benefits. Seventy-five percent of the funds needed will be 
available but there will be a shortfall of about twenty-five percent of 
the funds needed to pay benefits under present law. The manner by which 
the Nation will react to or avoid this shortfall is arguably the most 
important policy decision of this decade. As authorized under Section 
1110 of the Social Security Act, SSA announces the solicitation of 
applications for a cooperative agreement to create an RRC in order to 
inform the public and policymakers about policy alternatives and their 
consequences. Initially, the Consortium will be composed of two, 
university-based, multi-disciplinary Centers. The Centers will have a 
combined annual budget of $2.5 million for the first year and $2 
million for subsequent years. SSA expects to fund these Centers for a 
period of 5 years, contingent on an annual review process and continued 
funding availability.

Purpose

    This announcement seeks applications in support of the RRC that 
will serve as a national resource fostering high quality research, 
communication, and education. The Consortium's program purpose is to 
benefit the public through four tasks:
    (1) Research and evaluation. The RRC will be expected to plan, 
initiate, and maintain a research program of high caliber. There will 
be special emphasis on retirement income policy and the protection of 
low-income workers and their families from economic loss due to 
retirement, death, or disability as well as issues related to long-
range solvency. The RRC will also describe and evaluate retirement 
policies with an emphasis on OASI-related programs.
    (2) Dissemination. The RRC will develop resources to inform the 
academic community, policymakers, and the public on issues concerning 
retirement policy and economic security during retirement.
    (3) Training and education. The RRC will develop a professional 
training program including, but not limited to, graduate and 
postgraduate education; intramural exchanges; and formal instruction of 
policymakers which focuses on the issues of retirement policy.
    (4) Facilitation of data usage. The RRC will facilitate research 
using SSA administrative data.

DATES: The closing date for submitting applications under this 
announcement is July 15, 1998.

FOR FURTHER INFORMATION CONTACT: To request an application kit, and for 
general (nonprogrammatic) information regarding the announcement or 
application package contact: E. Joe Smith, Grants Management Officer, 
SSA, Office of Acquisition and Grants, Grants Management Team, 1-E-4 
Gwynn Oak Building, 1710 Gwynn Oak Avenue, Baltimore, Maryland 21207-
5279. The fax number is (410) 966-

[[Page 18947]]

9310. The telephone numbers are E. Joe Smith, (410) 965-9503 (e-mail: 
<a href="/cdn-cgi/l/email-protection#73191c165d001e1a071b330000125d141c05"><span class="__cf_email__" data-cfemail="fd979298d38e90948995bd8e8e9cd39a928b">[email protected]</span></a>), or Dave Allshouse, (410) 965-9262 (e-mail: 
<a href="/cdn-cgi/l/email-protection#21454057440f404d4d52494e545244615252400f464e57"><span class="__cf_email__" data-cfemail="f296938497dc939e9e819a9d878197b2818193dc959d84">[email protected]</span></a>).
    For information on the program content of the announcement/
application, contact: Dr. Steven Sandell, Director, Division of Policy 
Evaluation, ORES, SSA, 500 E St., SW, 9th Floor, Washington, DC, 20254-
0001. The fax number is (202) 358-6187. The telephone number is (202) 
358-6231 (e-mail: <a href="/cdn-cgi/l/email-protection#5d322f382e73392d381d2e2e3c733a322b"><span class="__cf_email__" data-cfemail="bfd0cddacc91dbcfdaffccccde91d8d0c9">[email protected]</span></a>).

Table of Contents

Part I--SUPPLEMENTARY INFORMATION

A. Eligible Applicants
B. Type of Award
C. Availability and Duration of Funding
D. Letter of Intent

Part II--Establishment of a Research Consortium--Responsibilities 
of the Center and the Federal Government

A. Center Responsibilities
    1. Research and Evaluation
    2. Dissemination
    3. Training and Education
    4. Facilitation of Data Usage
B. Cooperative Agreement Responsibilities
    1. Center Responsibilities
    2. SSA Responsibilities
    3. Joint Responsibilities
C. Special Requirements

Part III--Application Preparation and Evaluation Criteria

A. Content and Organization of Technical Application
B. Review Process and Funding
C. Selection Process and Evaluation Criteria

Part IV--Application Forms, Completion and Submission

A. Availability of Application Forms
B. Components of a Complete Application
C. Application Submission
D. Notification

Part I--Supplementary Information

A. Eligible Applicants

    SSA seeks applications from domestic universities or other post-
secondary degree granting entities. For-profit organizations may apply 
with the understanding that no cooperative agreement funds may be paid 
as profit to any cooperative agreement recipient. Profit is considered 
as any amount in excess of the allowable costs of the award recipient.
    In accordance with an amendment to the Lobbying Disclosure Act, 
popularly known as the Simpson-Craig Amendment, those entities 
organized under section 501(c)4 of the Internal Revenue Code that 
engage in lobbying are prohibited from receiving Federal cooperative 
agreement awards.

B. Type of Award

    All awards made under this program will be made in the form of 
cooperative agreements. A cooperative agreement, as opposed to a grant, 
anticipates substantial involvement between SSA and the awardee during 
the performance of the project. A comprehensive annual review process 
will allow SSA to evaluate, recommend changes, and approve each 
Center's activities. This involvement may include collaboration or 
participation by SSA in the activities of the Centers as determined at 
the time of award. The terms of award are in addition to, not in lieu 
of, otherwise applicable guidelines and procedures.

C. Availability and Duration of Funding

    1. ORES has available $2.5 million ($1.25 million for each of the 
two Centers) to fund the initial 12-month budget period of a proposed 
five-year cooperative agreement pursuant to this announcement. 
(Additional funding up to $1.5 million per year for related projects 
may become available for further support of the Centers selected under 
this announcement.)
    2. Applicants must include separate budget estimates for each of 
the five years, if they expect funding levels to be substantially 
different in subsequent years.
    3. The amount of funds available for the cooperative agreement in 
future years has not been established. Legislative support for 
continued funding of the Consortium cannot be guaranteed and funding is 
subject to future appropriations and approval by the Commissioner. SSA 
expects, however, that the Consortium will be supported during future 
fiscal years at an annual level of $2 million ($1 million per Center).
    4. Nothing in this announcement precludes the possibility that the 
annual funds will be divided disproportionately between the two 
Centers. However, each Center should prepare a five-year proposal with 
a maximum budget of $5.25 million.
    5. Additional funds up to $1.5 million per year may become 
available from SSA and/or other Federal agencies in support of 
Consortium projects.
    6. Initial awards, pursuant to this announcement, will be made on 
or about October 13, 1998.
    7. Awardee share of project cost--SSA will not provide total 
funding to any Center. Recipients of an SSA cooperative agreement are 
required to contribute a non-Federal match of at least 5 percent toward 
the total approved cost of each Center. The total approved cost of the 
project is the sum of the Federal share (maximum of 95 percent) and the 
non-Federal share (minimum of 5 percent). The non-Federal share may be 
cash or in-kind (property or services) contributions.
    The amount awarded to a Center will be dependent on the receipt of 
a sufficient number of applications of high scientific merit. Although 
two awards are anticipated, nothing in this announcement restricts 
SSA's ability to make more (or less) than two awards, to make an award 
of lesser amount, or to add additional Centers to the RRC in the 
future.

D. Letter of Intent

    Prospective applicants are asked to submit by June 1, 1998, a 
letter of intent that includes (1) This program announcement number and 
title; (2) a brief description of the proposed Center; (3) the name, 
postal and e-mail addresses, and the telephone and fax numbers of the 
Center Director; and (4) the identities of the key personnel and 
participating institutions. The letter of intent is not required, is 
not binding, and does not enter into the review process of a subsequent 
application. The sole purpose of the letter of intent is to allow SSA 
staff to estimate the potential review workload and avoid conflicts of 
interest in the review. The letter of intent should be sent to: RRC 
Letter of Intent, Division of Policy Evaluation, Office of Research, 
Evaluation and Statistics, Social Security Administration, 500 E St., 
SW, 9th Floor, Washington, D.C. 20254-0001.

Part II--Establishment of a Research Consortium--Responsibilities 
of the Center and the Federal Government

A. Center Responsibilities

Priority Research Areas
    The successful applicant shall develop and conduct a research and 
evaluation program that also appropriately balances training and 
dissemination activities directed toward understanding retirement 
policy and its current and future impact on the aged, especially lower 
and middle income Americans. Each Center should focus on several themes 
or areas directly relevant to retirement policy. SSA has identified 
seven priority research areas within the realm of retirement income 
policy on which applicants should focus and applications will be 
scored. These areas include:
    1. Social Security rules and retirement. This includes incentives 
to retire from Social Security program rules and other factors; 
predicted actual ages of retirement; interactions between program 
features and work

[[Page 18948]]

disincentives; and the demographic, social, and economic 
characteristics of current and future retirees and their dependents. 
This also includes effects of changing the normal retirement age and 
the early eligibility age (including changes in the delayed retirement 
credit, the earnings test, and the penalty for early retirement) in 
particular, examining the labor demand for older workers; the health 
and functional capacity of older workers, with a specific emphasis on 
whether older workers can work longer given their greater life 
expectancy; the net fiscal impact on the Old-Age, Survivors, and 
Disability Insurance program; and the impacts on the labor supply of 
older workers.
    2. The macroeconomic and financial effects of changes in Social 
Security policy on national saving, investment, and economic growth. 
This includes, but is not limited to, the intertemporal effects on 
capital formation, retirement savings, and the unified budget. This 
also includes the research and analysis of impacts related to the 
investment of the trust fund balances in equities.
    3. Social Security, private saving, and other retirement income. 
This includes examining income from Social Security as currently 
legislated or as modified by reform proposals such as mandating 
savings; private savings including employer-provided pensions; 
individual assets; continued employment or other sources of retirement 
income. This also includes the analysis of the rates of return on 
alternative investments; measurements of risk; choice of discount rates 
for analyzing equity investments of varying risks; saving and 
investment choices by population subgroup; the effects of information 
on individuals' investment portfolio; and the trends in retirement 
income.
    4. Interactions of Social Security with other public and private 
programs. This includes the impact of current OASI rules and potential 
reforms on the Disability Insurance program, in particular, and on 
public programs including, but not limited to, Supplemental Security 
Income, Medicare, private retirement plans, personal saving, and 
private insurance.
    5. International research. This includes cross-country comparisons 
of social, demographic, and institutional differences, and highlights 
the lessons to be learned from other countries' social insurance 
experience.
    6. Distributional effects. This encompasses differences in the 
effects of Social Security policy alternatives among workers and 
beneficiaries by age, race, ethnicity, nativity, gender, education, 
occupation, and income.
    7. Demographic and social change. This includes changes in 
mortality, lifestyle, marital status, immigration, public perceptions, 
political attitudes, health, and labor force participation and includes 
their implications for retirement income policy.
    Each Center will develop and disseminate knowledge about these and 
related issues. SSA realizes competent analysis of all priority 
research areas may be beyond the capacity of any one Center and thus 
each Center may wish to focus their individual resources and expertise 
on a subset of the areas listed above. Similarly, a Center may choose 
to concentrate on a few aspects of the priority research areas more 
strongly than others. The goal of the Consortium is to find two Centers 
which can symbiotically address a range of objectives discussed above 
without compromising the overall quality of research in the separate 
priority areas.
Tasks
    Each Center will perform the following tasks:
    1. Research and evaluation. Each Center will be expected to plan, 
initiate, and maintain a research program of high caliber. It must meet 
the tests of social science rigor and objectivity. The research will 
use state-of-the-art research methodology and have practical 
application to timely retirement income policy issues. The program will 
strive for respect from the academic and policy communities (over a 
broad range of the political spectrum) for its scientific quality, 
fairness, and policy relevance.
    The research program should include supporting the work of members 
of the RRC staff and other affiliated researchers. In addition, it 
should provide intellectual leadership in the national research 
community by establishing links with a broad range of other scholars 
and organizations, through programs such as visiting and postdoctoral 
appointments, research assistantships, and a limited program of 
nonresident grants, for example. Joint research between Consortium and 
SSA researchers is encouraged as is collaboration with other 
organizations interested in retirement income policy.
    The research program should include multi-disciplinary approaches 
to increase understanding of the issues beyond what is possible from 
analysis within the framework of a single discipline. The staff would 
include competency relevant disciplines such as economics, sociology, 
public policy/administration, demography, law, political science, 
finance, actuarial science, etc.
    Planning and execution of the research program shall always 
consider the policy implications of research findings. However, it also 
is appropriate, for example, to engage in activities to make advances 
in research techniques, where they are needed for or related to primary 
objectives of the Consortium.
    A group of nationally recognized scholars and practitioners (See 
Part II, Joint Responsibilities) shall periodically review the research 
agenda to assure its policy relevance, utility, and scope.
    2. Dissemination. Making knowledge and information available to the 
academic and policy communities as well as the public (both 
beneficiaries and contributors) is to be another integral feature of 
each Center's responsibilities. The RRC will facilitate the process of 
translating basic behavioral and social research theories and findings 
into practical policy alternatives. The Centers will be expected to 
maintain a dissemination system of periodic newsletters, research 
papers, policy briefs, academic or trade journal articles, and 
occasional books. In addition, the Centers will be expected to organize 
conferences, workshops, lectures, seminars, and/or other ways of 
sharing current research activities, and findings. An annual conference 
on issues related to retirement income policy will be held by the 
Consortium with organizational responsibility rotating between the 
Centers. The hosting Center will also have the responsibility for 
publishing a book composed of papers delivered at the annual 
conference.
    Applicants are encouraged to propose use of creative methods of 
disseminating data and information, such as using the Internet. 
Applications should show sensitivity to alternative dissemination 
strategies which may be appropriate for different audiences--such as 
policymakers, practitioners, the public, advocates, and academics. The 
research and dissemination will be nonpartisan and of value to all 
levels of policymaking. SSA reserves the right to review all 
publications created using Consortium funding.
    3. Training and education. The RRC is expected to both train new 
scholars and educate academics and practitioners on new techniques and 
research findings on issues of retirement policy that impact the 
economic security of the aged, with special emphasis on protection of 
lower income workers and families. Each Center is expected to develop 
and expand a diverse corps of young scholars/researchers who focus 
their analytical skills on research and policy issues

[[Page 18949]]

central to the Consortium's mission. Training mechanisms should include 
seminar series, conferences, graduate courses, and mini-courses to be 
held in both Washington D.C./Baltimore and the RRC sites.
    The Centers are expected to financially support the development and 
work of young scholars. For example, funding should be allocated to 
support graduate students, as research assistants and through research 
grants; Ph.D. candidates, through dissertation grants; and other 
research scholars through post-doctoral and visiting appointments. 
Additionally, the Centers will conduct training seminars for government 
analysts and policymakers on the Consortium's research findings and 
methodological advancements. Training exchanges of Consortium and 
government researchers should also be anticipated.
    To assure the quality of its research, dissemination, and training, 
each Center must establish and maintain a formal tie with a university, 
including links with appropriate departments within that university. 
Each Center must have a major presence at a single site (university or 
city); however, alternative arrangements among entities and with 
individual scholars are encouraged and may be proposed.
    4. Facilitation of data usage. SSA has been seeking ways to make 
administrative and other data more available to the research community. 
Such efforts are resource intensive and must adhere to clear privacy 
protection requirements. The RRC will work as an external resource to 
facilitate this objective. Specific areas in which the RRC should 
contribute include: Writing papers that further efforts to combine 
effectively data sharing and data privacy; developing documentation for 
administrative files; aiding researchers in obtaining administrative 
extracts for policy relevant research projects; developing 
sophisticated statistical techniques to mask micro data; aiding SSA 
staff in developing methodology and policy regarding linkages of 
administrative data with outside data sources; and providing, with SSA 
assistance, public use files that rely on data aggregates that cannot 
be used to identify individuals. In addition, it is SSA's goal to 
increase the sites at which outside researchers can use administrative 
data. The Centers are expected to work in conjunction with SSA and 
other Federal agencies and appropriate organizations to help develop 
mechanisms that enable additional sites to satisfy the legal and 
privacy requirements for outside researchers, who agree to specific 
privacy protections, to be able to access restricted-use data files.

B. Cooperative Agreement Responsibilities

    1. Center Responsibilities: The Centers have the primary and lead 
responsibility to define objectives and approaches; to plan research, 
conduct studies, and analyze data; and publish results, 
interpretations, and conclusions of their work.
    Occasionally, Center staff will be expected to comment on SSA 
research plans, provide critical commentary on research products, 
compose policy briefs, perform statistical policy analyses, and other 
quick-response activities to inform SSA's research, evaluation, and 
policy analysis function. In addition, Center Directors may be asked to 
aid in the development of SSA's internal research priorities. Funding 
for these as well as other related activities should be included in the 
budget narrative (Part III, Section A-8).
    Without compromising academic freedom, Center staff will be 
expected to comply with special requests for administrative 
confidentiality in specific sensitive situations. The Centers shall 
make reasonable efforts to provide other researchers appropriate and 
speedy access to research data from this project and establish public 
use files of data developed under this award.
    2. SSA Responsibilities: SSA will be involved with the Consortium 
in jointly establishing broad research priorities, planning strategies, 
and deliverable dates to accomplish the objectives of this 
announcement. SSA, or its representatives, will provide the following 
types of support to the Consortium:
    a. Consultation and technical assistance in planning, operating and 
evaluating the Consortium's program activities.
    b. Information about SSA programs, policies, and research 
priorities.
    c. Assistance in identifying SSA information and technical 
assistance resources pertinent to the Centers' success.
    d. Review of Consortium activities and collegial feedback to ensure 
that objectives and award conditions are being met.
    e. SSA may suspend or terminate any cooperative agreement in whole 
or in part at any time before the date of expiration, if the awardee 
materially fails to comply with the terms and conditions of the 
cooperative agreement, if technical performance requirements are not 
met, or if the project is no longer relevant to the Agency. SSA will 
promptly notify the awardee in writing of the determination and the 
reasons for suspension or termination together with the effective date.
    f. SSA reserves the right to suspend funding for individual 
projects in process or in previously approved research areas or tasks 
after awards have been granted.
    SSA encourages cooperative agreement applicants to become 
knowledgeable about SSA's operations as well as entitlements under its 
programs. Pamphlets and other public information may be obtained from 
any local Social Security field office or by calling 1-800-772-1213.
    3. Joint Responsibilities.
    Jointly with SSA, each Center will select approximately six 
nationally recognized scholars and practitioners who are unaffiliated 
with either Center to provide assistance in formulating the Center's 
research agenda and advice on implementation. Each Center shall select 
three scholars/practitioners and SSA will select three scholars/
practitioners. Efforts will be made in selecting the scholars/
practitioners to assure a broad range of academic disciplines and 
political viewpoints. The SSA Project Officer or some other SSA 
representative will participate in all meetings. Funded under this 
agreement, the scholars/practitioners will meet once or twice a year 
rotating between Washington, D.C., and the Consortium locations. On 
occasion, both Centers' scholars/practitioners will meet jointly to 
evaluate Consortium objectives and progress.

C. Special Requirements

    Each Center Director must have a demonstrated capability to 
organize, administer, and direct the Center. The Director will be 
responsible for the organization and operation of the Center and for 
communication with SSA on scientific and operational matters. The 
Director must also have a minimum time commitment of 30 percent to the 
Consortium Cooperative Agreement. Racial/ethnic minority individuals, 
women, and persons with disabilities are encouraged to apply as 
Directors. A list of previous grants and cooperative agreements held by 
the Director shall be submitted including the names and contact 
information of each grant's and cooperative agreement's administrator.
    In addition to the Director, skilled personnel and institutional 
resources capable of providing a strong research and evaluation base in 
the priority areas specified must be available. The university and 
pertinent departments must show a strong commitment to the

[[Page 18950]]

Consortium's support. Such commitment may be provided as dedicated 
space, salary support for investigators or key personnel, dedicated 
equipment or other financial support for the proposed Center.
    Each Center should be conceptualized and defined by its 
integrative, multi-disciplinary nature and need not be limited by 
geographical or departmental boundaries. A research team may consist of 
investigators or institutions that are geographically distant, to the 
extent that the research design requires and accommodates such 
arrangements. Nothing in this announcement precludes non-academic 
entities from being affiliated with an applicant.

Part III--Application Preparation and Evaluation Criteria

    This part contains information on the preparation of an application 
for submission under this announcement, the forms necessary for 
submission and the evaluation criteria under which the applications 
will be reviewed. Potential applicants should read this part carefully 
in conjunction with the information provided in Part II.
    In general, SSA seeks organizations with demonstrated capacity for 
providing quality policy research and evaluation, training, and working 
with government policymakers. Applicants should reflect, in the program 
narrative section of the application, how they will be able to fulfill 
the responsibilities and the requirements described in the 
announcement. The application should specify in detail how 
administrative arrangements will be made to minimize start-up and 
transition delays. Applications which do not address all four major 
tasks discussed in Center Responsibilities in Part II will not be 
considered for an award.
    It is anticipated that the applicant will have access to additional 
sources of funding for some projects and arrangements with other 
organizations and institutions. The applicant (including the Center 
Director and other key personnel) shall make all current and 
anticipated related funding arrangements (including contact information 
for grant/contract/cooperative agreement administrators) explicit in an 
attachment to the application (Part IV, Section B-12). As part of the 
annual review process, this information will be updated and reviewed to 
limit duplicitous funding for Center projects.

A. Content and Organization of Technical Application (See ``Components 
of a Complete Application,'' Part IV, Section B)

    The application must begin with the required application forms and 
a three-page (double spaced) overview and summary of the application. 
Staff resumes should be included in a separate appendix. The core of 
the application must contain eight sections, presented in the following 
order:
    (1) A brief (not more than 10 pages) background analysis of the key 
retirement policy issues and trends with a focus on the primary 
research themes of the proposed Center. The analysis should discuss 
concisely, but comprehensively, important priority research issues and 
demonstrate the applicant's grasp of the policy and research 
significance of recent and future social, economic, political, and 
demographic trends.
    (2) A research and evaluation prospectus for a five-year research 
agenda, outlining the major research themes to be investigated over the 
next five years. In particular, the prospectus will describe the 
activities planned for the priority research areas and other additional 
research topics proposed by the applicant. The prospectus should 
discuss the kind of research activities that are needed to anticipate 
future policy debates on OASI and the role of the proposed Center in 
promoting those activities. The prospectus should follow from the 
background analysis section. It may, of course, also discuss research 
areas and issues that were not mentioned in the analysis if the 
author(s) of the application feel there have been gaps in past 
research, or that new factors have begun to affect or soon will begin 
to affect national retirement policy.
    The prospectus shall include detailed descriptions of individual 
research projects that will be expected in the Center's first year of 
operation. It also should be specific about long-term research themes 
and projects. The lines of research described in the prospectus should 
be concrete enough that project descriptions in subsequent research 
plan amendments can be viewed as articulating a research theme 
discussed in the prospectus. An application that contains simply an ad 
hoc categorization of an unstructured set of research projects--as 
opposed to a set of projects which strike a coherent theme--will be 
judged unfavorably.

    Note: Once a successful applicant and the outside scholars/
practitioners have been selected, they and SSA will review the 
research agenda and determine research priorities. This may include 
the addition, limitation, or removal of proposed research projects. 
After review, each Center will submit to SSA a revised research plan 
that summarizes the deliberations and priorities. The research plan 
will be periodically reviewed and revised as necessary. The 
application should discuss a proposed research planning process, 
including involvements of the outside scholars/practitioners, SSA, 
and other advisors and participants in the Consortium.

    (3) A prospectus for dissemination should include proposed 
mechanisms for reaching a broad audience of academics and researchers, 
policymakers, and the public. Dissemination plans should detail 
proposed publications, conferences, workshops, and training seminars.
    (4) A prospectus for training and education should include proposed 
training and educational strategies to meet the goals described in Part 
II, Section A, Task 3.
    (5) A prospectus for facilitation of data usage demonstrating a 
broad knowledge of administrative data and the legal and institutional 
constraints facing public data release. In addition, it should include 
a discussion of the technical expertise of Center staff and proposed 
mechanisms to facilitate the sharing of data.
    (6) A staffing and organization proposal for the Center including 
an analysis of the types of background needed among staff members, the 
Center's organizational structure, and linkages with the host 
university and other organizations. In this section, the applicant 
should specify how they will assure a genuinely multi-disciplinary 
approach to research, and where appropriate, identify the necessary 
links to university departments, other organizations and scholars 
engaged in research and government policy making.
    The applicant should identify the Center Director and key senior 
research staff. Full resumes of proposed staff members shall be 
included as a separate appendix to the application. The time commitment 
to the Center and other commitments for each proposed staff member 
shall be indicated. Note that once the cooperative agreement has been 
awarded, changes in key staff will require approval from SSA. The kinds 
of administrative and tenure arrangements, if any, the Center proposes 
to make should also be discussed in this section. In addition, the 
author(s) of the application and the role which he/she (they) will play 
in the proposed Center must be specified.
    This section shall discuss the financial arrangements for 
supporting research assistants, dissertation

[[Page 18951]]

fellowships, affiliates, resident scholars, etc. The discussion should 
include the expected number and type of scholars to be supported and 
the level of support anticipated.
    If the applicant envisions an arrangement of several universities 
or entities, this section should describe the specifics about the 
relationships, including leadership, management, and administration. 
They should pay particular attention to discussing how a focal point 
for research, teaching, and scholarship will be maintained given the 
arrangement proposed.
    The application also should discuss the role, selection procedure, 
and expected contribution of the outside scholars/practitioners (See 
Part II, Joint Responsibilities).
    (7) An organizational experience summary of past work at the 
university or institution proposed as the location (or the host) of the 
Center that relates directly or indirectly to the research priorities 
of this request. This discussion should include more than a listing of 
the individual projects completed by the individuals who are included 
in the application. It should provide a sense of institutional 
commitment to policy research on issues involving retirement policy. 
Where specific individuals are proposed for the staff of the Center, it 
is legitimate to discuss their past research, whether or not it took 
place at the institution proposed to be the location of the Center. The 
application must list in an appendix appropriate recent or current 
research projects, with a brief research summary, contact person 
references, and address and telephone numbers of references.
    This section should also discuss the experience of the research 
staff in working with the government agencies and their demonstrated 
capacity to provide policy relevant support to these agencies.
    (8) A budget narrative which links the research, training, 
dissemination, and data-facilitation program to the Center's funding 
level. The budget should, to the degree possible, offer separate cost 
estimates for the individual research areas and projects proposed in 
the research prospectus. Funding should also be allocated to address 
occasional SSA requested activities (described in Part II, Section B-
1). This section should also discuss how the five-year budget supports 
proposed research, training, dissemination, and data-facilitation 
activities and should link the first year of funding to a five-year 
plan. The discussion should include the appropriateness of the level 
and distribution of funds to the successful completion of the research, 
training, and dissemination plans.
    The availability, potential availability or expectation of other 
funds (from the host university, other universities, foundations, other 
Federal agencies, etc.) and the uses to which they would be put, should 
be documented in this section. When additional funding is contemplated, 
applicants shall note whether the funding is being donated by the host 
institution, is in-hand from another funding source, or will be applied 
for from another funding source. Formal commitments for the 5 percent, 
non-federal, minimum budget share should be highlighted in this 
section.
    Seeking additional support from other sources is encouraged. 
However, funds pertaining to this announcement must not directly 
duplicate those received from other funding sources.

B. Review Process and Funding

    In addition to any other reviews, an independent review panel 
consisting of at least three qualified persons will be formed. Each 
panelist will objectively review and score the cooperative agreement 
applications using the evaluation criteria listed in Part III, Section 
C below. The panel will recommend to SSA two Centers based on (1) the 
application scores; (2) the feasibility and adequacy of the project 
plan and methodology; and (3) how the Centers would jointly meet the 
objectives of the Consortium. The Commissioner of Social Security will 
consider the panel's recommendations when awarding the cooperative 
agreements. Although the results from the independent panel reviews are 
the primary factor used in making funding decisions, they are not the 
sole basis for making awards. The Commissioner will consider other 
factors as well (such as duplication of internal and external research 
effort) when making funding decisions.
    All applicants must use the guidelines provided in the SSA 
application kit for preparing applications requesting funding under 
this cooperative agreement announcement. These guidelines describe the 
minimum amount of required project information. However, when 
completing Part III--Program Narrative, Form SSA-96-BK, please follow 
the guidelines under Part III, Section A, above. Disregard instructions 
provided on pages 3, 4, and 5 of the SSA Federal Assistance Application 
Form SSA-96-BK.
    All awardees must adhere to SSA's Privacy and Confidentiality 
Regulations (20 CFR, part 401) as well as provide specific safeguards 
surrounding client information sharing, paper/computer records/data, 
and other issues potentially arising from administrative data.
    SSA reserves the option to discuss applications with other Federal 
or State staff, specialists, knowledgeable persons, and the general 
public. Comments from these sources, along with those of the reviewers, 
will be kept from inappropriate disclosure and may be considered in 
making an award decision.

C. Selection Process and Evaluation Criteria

    The evaluation criteria correspond to the outline for the 
development of the Program Narrative Statement of the application 
described in Part III, Section A, above. The application should be 
prepared in the format indicated by the outline described in The 
Components of a Complete Application (i.e., Part IV, Section B).
    Selection of the successful applicants will be based on the 
technical and financial criteria laid out in this announcement. 
Reviewers will determine the strengths and weaknesses of each 
application in terms of the evaluation criteria listed below.
    The point value following each criterion heading indicates the 
maximum numerical relative weight that each section will be given in 
the review process. An unacceptable rating on any individual criterion 
may render the application unacceptable. Consequently, applicants 
should take care that all criteria are fully addressed in the 
applications. Applications will be reviewed as follows:
    (a) Quality of the background analysis. (See Part III, Section A-1) 
(10 points)
    Applications will be judged on whether they provide a thoughtful 
and coherent discussion of political, economic, social, and demographic 
trends influencing retirement. Reviewers will judge applicants' 
abilities to discuss the past, present, and future role of government 
programs and polices which affect these trends. Applications should tie 
the trends and influences discussed to their proposed research agenda.
    (b) Quality of the research and evaluation prospectus. (See Part 
III, Section A-2) (30 points)
    Reviewers will judge this section on whether the research agenda is 
scientifically sound and policy relevant. They also will consider 
whether the applicant is likely to produce significant/seminal 
contributions to their proposed research areas and how closely the 
proposed projects fit the

[[Page 18952]]

objectives for which the applications were solicited.
    The application will be judged on the breadth and depth of the 
applicant's commitment to research and evaluation of the priority areas 
described in Part II, Section A. The discussion and research proposed 
must address at least three priority research areas. Applicants will 
generally receive higher scores for addressing more than three priority 
research areas. However, a strong proposal focusing on three areas will 
outscore one which is broad and weakly defined. Applicants with 
additional insightful research proposals will also score higher. 
Concise plans for research projects in the near term (one or two years) 
as well as a five-year agenda are important.
    Reviewers will rate applications on the contents of the plans to 
conduct policy relevant research. In addition, they will be judged on 
their relevance to government activities. Reviewers will also take into 
consideration SSA priorities and funded or anticipated projects. In the 
first year, SSA is particularly interested in research on issues 
related to solvency included in priority research areas 1-3 (Part II, 
Section A).
    (c) Dissemination; training and education; and facilitation of data 
usage. (See Part III, Section A-3, A-4, and A-5) (20 points)
    Reviewers will evaluate strategies for dissemination of research 
and other related information to a broad and disparate set of academic, 
research, and policy communities as well as to the public. Reviewers 
will also evaluate whether the appropriate dissemination method is 
being proposed for targeted audiences of academics and researchers, 
policymakers, and the public. Proposed strategies that increase 
dissemination across Centers and other organizations conducting 
retirement research will also receive higher ratings.
    The evaluation of the training and evaluation prospectus will 
include an assessment of plans to enhance the training of graduate 
students and young scholars through direct financial support as well as 
exposure to policy research. In addition, reviewers will evaluate 
proposed strategies for educating and training policymakers and 
practitioners on issues of retirement.
    The scoring of the prospectus for facilitation of data usage will 
include a review of the activities planned as well as staff and 
management expertise and experience. Applicants should also demonstrate 
an understanding of the legal and institutional constraints involved 
with SSA administrative, earnings, and tax data.
    (d) Quality of the staffing proposal and proposed organizational 
arrangements. (See Part III, Section A-6 and A-7) (30 points)
    Reviewers will judge the applicant's Center Director and staff on 
research experience, demonstrated research skills, administrative 
skills, public administration experience, and relevant policy making 
skills. An additional criterion will be the Center's demonstrated 
potential to act as a conduit between basic and applied behavioral and 
social science research and policy analysis/evaluation. Both the 
evidence of past involvement in related research and the specific plans 
for seeking applied outcomes described in the application shall be 
considered part of that potential. Reviewers may consider references 
from grant/cooperative agreement administrators on previous grants and 
cooperative agreements held by the proposed Center Director or other 
key personnel. Director and staff time commitments to the Center also 
will be a factor in evaluation. Whether the applicant can maintain a 
single location for research, teaching, and scholarship is an important 
consideration. Reviewers will evaluate the affiliations of proposed key 
personnel to ensure the required multi-disciplinary nature of the 
Consortium is being fulfilled. Higher scores will generally be given to 
those Centers which include active participation by a multi-
disciplinary research staff. Furthermore, reviewers will rate the 
applicant's pledge and ability to work in collaboration with other 
scholars and government employees in search of similar goals.
    Applicants will be judged on the nature and extent of the 
organizational support for research, mentoring scholars, dissemination, 
facilitation of data usage, and in areas related to the Center's 
central priorities and this request. Reviewers will evaluate the 
commitment of the host university (and the proposed institutional unit 
that will contain the Center) to assess its ability to support all four 
of the Center's major activities: (1) Scholarly, policy relevant 
research; (2) dissemination; (3) education and training; (4) 
facilitation of data usage. Reviewers also will evaluate the 
applicant's demonstrated capacity to work with a range of government 
agencies.
    (e) Appropriations of the budget to carry out the planned staffing 
and activities. [See Part III, Section A-8] (10 points)
    Reviewers will consider whether (1) the budget assures an efficient 
and effective allocation of funds to achieve the objectives of this 
solicitation, and (2) the applicant has additional funding from other 
sources, in particular, the host university. Applications which show 
funding from other sources that supplement funds from this cooperative 
agreement will be given higher marks than those without financial 
support.
    Panel Recommendations. Once each application is scored and ranked, 
the panel will then review the top applicants and recommend two Centers 
which, when combined, best symbiotically address the range of 
responsibilities described in Part II. Although there may be 
significant overlap between Centers, the panel will choose two Centers 
which together cover a broad range of the priority research areas; and 
best address the Consortium tasks of dissemination, training and 
education, and facilitation of data usage.

Part IV--Application Forms, Completion and Submission

A. Availability of Application Forms

    To obtain an application kit which contains the prescribed forms 
for funding projects under this announcement, contact: Grants 
Management Team, Office of Acquisition and Grants, Social Security 
Administration, 1-E-4 Gwynn Oak Building, 1710 Gwynn Oak Avenue, 
Baltimore, Maryland 21207-5279. The fax number is (410) 966-9310. The 
telephone numbers are E. Joe Smith (410) 965-9503 (e-mail: 
<a href="/cdn-cgi/l/email-protection#066c696328756b6f726e4675756728616970"><span class="__cf_email__" data-cfemail="3f55505a114c52564b577f4c4c5e11585049">[email protected]</span></a>) or Dave Allshouse (410) 965-9262 (e-mail: 
<a href="/cdn-cgi/l/email-protection#462227302368272a2a352e293335230635352768212930"><span class="__cf_email__" data-cfemail="b4d0d5c2d19ad5d8d8c7dcdbc1c7d1f4c7c7d59ad3dbc2">[email protected]</span></a>).
    When requesting an application kit, the applicant should refer to 
the program announcement number SSA-ORES-98-1 and the date of this 
announcement to ensure receipt of the proper application kit.

B. Components of a Complete Application

    A complete application package consists of one original, signed and 
dated application, plus at least two copies, which include the 
following items in order:
    1. Cover Sheet;
    2. Project Abstract/Summary (not to exceed three pages);
    3. Table of Contents;
    4. Part I (Face Sheet)--Application for Federal Assistance 
(Standard Form 424);
    5. Part II--Budget Information--Sections A through G (Form SSA-96-
BK);
    6. Budget Justification for Section B--Budget Categories;

[[Page 18953]]

    7. Proof of non-profit status, if applicable;
    8. Copy of the applicant's approved indirect cost rate agreement, 
if appropriate;
    9. Part III--Project (Program) Narrative. Please disregard 
instructions provided on pages 3, 4, and 5 of the SSA Federal 
Assistance Application Form SSA-96-BK. The program narrative should be 
organized in seven sections:
    (a) Background Analysis,
    (b) Research and Evaluation Prospectus,
    (c) Dissemination Prospectus,
    (d) Training and Education Prospectus,
    (e) Facilitation of Data Usage Prospectus,
    (f) Staffing Proposal Including Staff Utilization, Staff 
Background, and Organizational Experience
    (g) Budget Narrative
    10. Part IV--Assurances;
    11. Required Certifications;
    12. Any appendices/attachments; and
    13. Supplement to Section II--Key Personnel.
    Staple each copy of the application securely (front and back if 
necessary) in the upper left corner. Please DO NOT use or include 
separate covers, binders, clips, tabs, plastic inserts, books, 
brochures, videos, or any other items that cannot be readily 
photocopied.

C. Application Submission

    These guidelines should be followed in submitting applications:

--All applications requesting SSA funds for cooperative agreement 
projects under this announcement must be submitted on the standard 
forms provided in the application kit. NOTE: Facsimile copies will not 
be accepted.
--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 
cooperative agreement award.
--Number of copies: The package should contain one original, signed and 
dated application plus at least two copies. Ten additional copies are 
optional and will expedite processing of the application. A disk copy 
of the Abstract and the Program Narrative (in WordPerfect 5.2 format) 
would also be helpful to SSA but are optional.
--Length: Applications should be brief and concise as possible, but 
assure successful communication of the applicant's proposal to the 
reviewers. The Project Narrative portion of the application (Part III) 
may not exceed 150 double spaced pages (excluding the resume and 
outside funding appendices), typewritten on one side using standard 
(8\1/2\' x 11') size paper and 12 point font. Attachments that support 
the project narrative count within the 150 page limit. Attachments not 
applicable to the project narrative do not count toward this page 
limit.
--Attachments/Appendices, when included should be used only to provide 
supporting documentation. Brochures, videos, etc., should not be 
included because they are not easily reproduced and are therefore 
inaccessible to reviewers.
--In item 11 of the Face Sheet (SF 424), the applicant must clearly 
indicate the application submitted is in response to this announcement 
(SSA-ORES-98-1). The applicant also is encouraged to select a SHORT 
descriptive project title.
--On all applications developed jointly by more than one organization, 
the application must identify only one university as the lead 
organization and the official applicant. The other(s) can be included 
as co-participants, subgrantees or subcontractors.

    Applications must be mailed or hand delivered to: Grants Management 
Team, Office of Acquisition and Grants, DCFAM, Social Security 
Administration, Attention: SSA-ORES-98-1, 1-E-4 Gwynn Oak Building, 
1710 Gwynn Oak Avenue, Baltimore, MD 21207-5279.
    Hand delivered applications are accepted between the hours of 8 
a.m. and 5 p.m., Monday through Friday. An application will be 
considered as meeting the deadline if it is either:
    1. Received at the above address on or before the deadline date; or
    2. 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. 
Packages must be postmarked by July 15, 1998. 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.
    Applications that do not meet the above criteria are considered 
late applications. SSA will not waive or extend the deadline for any 
applicant unless the deadline is waived or extended for all applicants. 
SSA will notify each late applicant that its application will not be 
considered.

D. Notification

    SSA will use Form SSA-3966 PC (a double postcard) to acknowledge 
receipt of application forms. Please complete the top and bottom parts 
of the double postcard which is included in the application kit and, on 
the franked sided of the postcard, enter the name and address of the 
person to whom the acknowledgment is to be sent. Include Form SSA-3966 
PC with the original copy of the application forms. If you do not 
receive acknowledgment of your application within eight weeks after the 
deadline date, please notify SSA.

Paperwork Reduction Act

    This notice contains reporting requirements. However, the 
information is collected using a Federal Assistance Application Form 
SSA-96-BK, which has the Office of Management and Budget clearance 
number 0960-0184.

Executive Order 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 the Federal 
policy for consulting with State and local elected officials on 
proposed Federal financial assistance.

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

    Dated: April 10, 1998.
Kenneth S. Apfel,
Commissioner of Social Security.
[FR Doc. 98-10206 Filed 4-15-98; 8:45 am]
BILLING CODE 4190-89-P


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