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

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URL: https://www.frixlaw.com/law-library/documents/fr%3A98-10206

## Record

- **Collection:** Federal Register
- **Document type:** Notice
- **Published:** April 16, 1998
- **Citation:** 63 FR 18946

## Text

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:
[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

[[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

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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;

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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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Source: Frix Law Library, https://www.frixlaw.com/law-library/documents/fr%3A98-10206. Public record. Not legal advice.