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

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-

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9310. The telephone numbers are E. Joe Smith, (410) 965-9503 (e-mail:

[email protected]), or Dave Allshouse, (410) 965-9262 (e-mail:

[email protected]).

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: [email protected]).

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

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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

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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

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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

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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:

[email protected]) or Dave Allshouse (410) 965-9262 (e-mail:

[email protected]).

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