Disability Research Institute Request for Applications (RFA) (Program Announcement No. SSA-ORES-00-1)

SOCIAL SECURITY ADMINISTRATION

Disability Research Institute Request for Applications (RFA)

(Program Announcement No. SSA-ORES-00-1)

AGENCY: The Office of Research, Evaluation, and Statistics (ORES),

Office of Policy, Social Security Administration (SSA).

ACTION: Request for applications for a cooperative agreement to

establish a Disability Research Institute (DRI).

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SUMMARY: The Social Security Administration's disability programs play

a vital role in society, paying benefits to over 8 million disabled

individuals. It is essential that the nation invest in research

designed to examine the disability programs and ensure that these

programs are designed effectively to improve the lives of disabled

Americans. The Social Security Administration plans to establish a

Disability Research Institute (DRI). This institute would help fill the

need for more extensive research in the disability area for

policymakers around the country. The DRI is an important initiative on

the part of SSA's Office of Policy to strengthen the Agency's research

capacity since it became independent in 1995.

Authorized under section 1110 of the Social Security Act, SSA

announces the solicitation of applications for a cooperative agreement

to create a DRI in order to inform the public and policymakers about

disability policy alternatives and their consequences. Initially, we

anticipate the Institute will be one, university-based, multi-

disciplinary center. The Institute will have an annual budget

consisting of $1.25 million for the first year and $1 million per year

for subsequent years. SSA expects to fund this Institute for a period

of 5 years, contingent upon a successful annual review process,

continued funding availability and continued relevance to SSA

initiatives. The grantee is strongly encouraged to collaborate with

SSA's and other government-related research and development activities

to avoid duplication of research. After award, SSA will help identify

such activities and their funding agencies and facilitate any

collaboration as necessary.

PURPOSE: This announcement seeks applications to establish a DRI that

will serve as a national resource fostering high quality research,

communication, and education. The Institute's program purpose is to

benefit the public through four tasks:

(1) Research and evaluation. The DRI will be expected to plan,

initiate, and maintain a research program of higher caliber. There will

be special emphasis on research that will inform the debate on

disability policy.

(2) Dissemination. The DRI will develop resources to inform the

academic community, policymakers, and the public on issues concerning

disability policy.

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(3) Training and education. The DRI 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 disability policy.

(4) Facilitation of data usage. The DRI will facilitate research

using SSA administrative data.

DATES: The closing date for submitting applications under this

announcement is January 12, 2000.

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) 966-9310. The telephone numbers are E.

Joe Smith, (410) 965-9503 (e-mail: [email protected]), or Dave

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

Stammer, (410) 965-9501 (e-mail: [email protected]). For information

on the program content of the announcement/application, contact: Paula

Laird, Project Officer, SSA, ORES, 6401 Security Blvd., 4-C-15

Operations Building, Baltimore, Maryland 21235. The fax number is (410)

965-3308. The telephone numbers are (410) 965-9243 (e-mail:

[email protected]), or Nelson Rambath, Alternate Project Officer,

(410) 965-2396 (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 Disability Research Institute--

Responsibilities of the Institute and the Federal Government

A. Priority Research Areas

B. Cooperative Agreement Responsibilities

1. Institute 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 the

Institute's activities. This involvement may include collaboration or

participation by SSA in the activities of the Institute 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 $1.25 million to fund the initial 12-month

budget period of a proposed five-year cooperative agreement pursuant to

this announcement. (Additional funding up to $1 million per year for

related projects, as requested by SSA, might become available from SSA

for further support of the Institute 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 Institute cannot be guaranteed and funding is

subject to future appropriations and approval by the Commissioner. SSA

expects, however, that the Institute will be supported during future

fiscal years at an annual level of $1 million.

4. The Institute should prepare a five-year proposal with a maximum

budget of $5.25 million.

5. Additional funds up to $1 million per year may become available

from SSA and/or other Federal agencies (through co-funding) in support

of the Institute's projects.

6. Initial awards, pursuant to this announcement, will be made on

or about April 11, 2000.

7. The awardee shall share in the cost of the project. SSA will not

provide total funding to the Institute. 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 the project. 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.

Although one award is anticipated, nothing in this announcement

restricts SSA's ability to make more than one award, to make an award

of lesser amount, or to add additional entities, institutions or

universities to the Disability Research Institute in the future.

D. Letter of Intent

Prospective applicants are asked to submit by November 29, 1999, a

letter of intent that includes (1) this program announcement number and

title; (2) a brief description of the proposed Institute; (3) the name,

postal and e-mail addresses, and the telephone and fax numbers of the

Institute's 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: DRI

Letter of Intent, Social Security Administration, Office of Research,

Evaluation and Statistics, Division of Disability Research, 6401

Security Blvd., 4-C-15 Operations Bldg., Baltimore, MD 21235.

Part II--Establishment of a Disability Research Institute--

Responsibilities of the Institute and the Federal Government

A. Priority Research Areas

The Institute should focus on several themes or research areas

directly relevant to developing or improving

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policy related to people with disabilities. Research will be done from

existing data sources, and will not include development of surveys or

demonstration projects.

The successful applicant shall develop and conduct a research

program directed towards people with disabilities that also

appropriately balances development of training, information

dissemination and data usage facilitation activities. The research

approach should relate, in broad terms, to the Social Security

Disability Insurance (SSDI) and Supplemental Security Income (SSI)

programs. The purpose of these activities is to promote greater

understanding of disability policy and its current and future impact on

youth, the working-aged and the near-retirement aged segments of the

disabled populations. The research should address these individuals at

all socioeconomic levels, but with particular emphasis on the poor and

the near poor. SSA has identified three priority research areas within

the realm of disability policy on which applicants should focus and

applications will be scored. These areas include:

1. The Interrelationship Between and Potential Impacts on: (1)

Advancements in Technology and Medicine, (2) the Requirements of Work,

(3) the SSDI and SSI Programs; and Persons with Disabilities This

includes, but is not limited to:

Trends in the nature of disability and the composition of

the disabled population (e.g., types of impairments, the extended

reliance of disabled adolescents and adults on disability income

security programs and increases in the volume of disability benefit

awards to younger persons);

Changes in technology, the labor market and the nature of

work; and the potential effects of these changes on work disability in

the future; and

Types of assistance from public programs that could be

made available to persons with disabilities to help them sustain a

maximum level of independence.

2. The Effects of Rehabilitation and Other Support Services on: The

Proportion of Persons With Disabilities Who Continue Working or Reenter

the Workforce, and the Effects on the SSDI and SSI Programs This

includes, but is not limited to:

Relationship of treatment (e.g., improving functioning via

social, vocational, medical treatment; compliance with prescribed

treatment; identifying person who might benefit from appropriate

treatment, etc.) to return-to-work of persons with disabilities.

Employment strategies (e.g., methods of early intervention

for persons with disabilities, providing short-term or interim

disability payments, job accommodations, case management, etc.) that

may influence the work patterns of persons with disabilities;

The interaction of rehabilitation and other support

services (including Vocational Rehabilitation and Unemployment

Insurance Benefits), the effects of individual motivation and the

availability of work on the decisions of persons with disabilities to

maintain employment or to apply for SSDI and SSI benefits; and

Effectiveness of Vocational Rehabilitation (VR) services

(e.g., the best point in time during the course of disability to

provide VR, usefulness and shortcomings of VR in assisting persons with

disabilities to maintain their current job or be retrained for new

work, awareness and utilization of VR services by persons with

disabilities, success of VR relative to disability diagnosis, etc.)

3. The Interaction Between and Impact on: Medical, Functional and

Occupational Factors; and Disability Determinations for Purposes of

Entitlement to SSDI and SSI Benefits This includes, but is not limited

to:

Current and future methods of measuring function and

comparisons between and future functional requirements of work;

Occupational demand constructs to replace the Department

of Labor's Dictionary of Occupational Titles, which is currently used

to measure occupational demands in SSA's disability decision process;

Characteristics of individuals with borderline and severe

mental and physical impairments who work; and

Barriers to employment for persons with mental

impairments.

The Institute 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 Institute and thus

the Institute may wish to focus its resources and expertise on a subset

of the areas listed above. Similarly, the Institute may choose to

concentrate on a few aspects of the priority research areas more

strongly than others. The goal of the Institute is to address a range

of objectives discussed above without compromising the overall quality

of research in the separate priority areas.

B. Cooperative Agreement Responsibilities

1. Institute Responsibilities: The Institute will perform the

following tasks:

a. Research and evaluation The Institute has a primary and lead

responsibility to define objectives and approaches and 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 disability 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 DRI 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. Collaboration between the Institute

and SSA researchers is encouraged, as it is with other organizations

interested in disability 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 health policy/administration, demography, physiology,

occupational taxonomy, acturial science, labor management, 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. SSA will form an internal technical Assistance

Panel (See Part II, SSA Responsibilities) to review and concur with the

research agenda and other DRI products to assure policy relevance,

utility, and scope. In addition, 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.

Occasionally, Institute staff will be expected to comment on SSA

research

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plans, provide critical commentary on research products, perform

statistical policy analyses, and other quick-response activities to

inform SSA's research, evaluation, and policy analysis function. In

addition, the Institute Director may be asked to aid in the development

of SSA's internal research priorities.

b. 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

the Institute's responsibilities. The DRI will facilitate the process

of translating basic behavioral and social research theories and

findings into practical policy alternatives. The Institute will be

expected to maintain a dissemination system of periodic newsletters,

research papers, academic and/or trade journal articles, and occasional

books. In addition, the Institute will be expected to organize

conferences, workshops, lectures, seminars, and/or other ways of

sharing current research activities and findings. The Institute will

hold a biennial conference on issues related to disability policy. The

Institute will also have the responsibility for publishing a book

composed of papers delivered at the biennial conference.

Applicants are encouraged to propose the 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 and concur on

all publications created using Institute funding before they are

published.

c. Training and Education The DRI is expected to both train new

scholars and educate academics and practitioners on new techniques and

research findings on issues of disability policy that impact the

economic security of persons with disabilities. The Institute is

expected to develop and expand a diverse corps of scholars/researchers

who focus their analytical skills on research and policy issues central

to the Institute's mission. Training mechanisms should include seminar

series, conferences, graduate courses, and mini-courses to be held in

both Baltimore/Washington D.C. and the DRI site.

The Institute is expected to financially support the development

and work of new 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 Institute will conduct training seminars for

governement analysts and policymakers on the Institute's research

findings and methodological advancements. Training exchanges between

the Institute and government researchers should also be anticipated.

To assure the quality of its research, dissemination, and training,

the Institute must establish and maintain a formal tie with a

university, including links with appropriate departments within that

university. The Institute 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.

d. 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 DRI will work as an external resource to

facilitate this objective. Specific areas in which the DRI should

contribute include: writing papers that further efforts to effectively

combine 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.

Without compromising academic freedom, Institute staff will be

expected to comply with special requests for administrative

confidentiality in specific sensitive situations. The Institute 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.

The institute is 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.

2. SSA Responsibilities: SSA will be involved with the Institute 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 Institute:

a. Consultation and technical assistance in planning, operating and

evaluating the Institute's program activities. SSA intends to form an

internal Technical Assistance Panel that will review and concur with

all of the Institute's submissions/deliverables prior to implementation

and/or publication.

b. Information about SSA programs, policies, and research

priorities.

c. Assistance in identifying SSA information and technical

assistance resources pertinent to the Institute's success.

d. Review of Institute activities and collegial feedback to ensure

that objectives and award conditions are being met.

SSA may suspect or terminate any cooperative agreement in whole or

in part at any time before the date of expiration. Suspension or

termination could occur 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.

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, the Institute will

select approximately six nationally recognized scholars and

practitioner who are unaffiliated with the Institute to provide

assistance in formulating the Institute's research agenda and advice on

implementation. The institute shall select three scholars/practitioners

and SSA will select three scholars/practitioners. Efforts will be made

in

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selecting the scholars/practitioners to assure a range of perspectives,

and a variety of substantive 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 the Baltimore MD/Washington, DC areas,

and the Institute location.

C. Special Requirements

The Institute Director must have a demonstrated capability to

organize, administer, and direct the Institute. The Director will be

responsible for the organization and operation of the Institute and for

communication with SSA on scientific and operational matters. The

Director must also have a minimum time commitment of 30 percent of the

DRI Cooperative Agreement. Racial/ethnic minority individuals, women,

and persons with disabilities should be encouraged to apply as the

Director. A list of previous grants and cooperative agreements held by

the Director shall be submitted. Administrator names and contact

information for each grant and/or cooperative agreement shall also be

submitted.

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 Institute'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 Institute.

The Institute should be conceptualized and defined by its

integrative, multi-disciplinary nature and need not be limited to

geographical or departmental boundaries. A research team may consist of

investigators or institutions that are geographical 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

submissions and the evaluation criteria under which the applications

will be scored. Potential applicants should read this part carefully in

conjunction with the information provided in Part II.

In general, SAA 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 Institute 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. Funds from other sources cannot be

applied toward the awardee's matching share of the total approved cost

of the project. The applicant (including the Institute 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 Institute 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

disability policy issues and trends with a focus on the primary

research themes of the proposed Institute. 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 SSDI and SSI and the role of the proposed

Institute 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 disability policy.

The prospectus shall include detailed descriptions of individual

research projects that will be expected in the Institute's first year

of operation. It also should be specific about long-term research

themes and projects. The areas 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, the Institute 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 Institute.

(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,

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it should include a discussion of the technical expertise of Institute

staff and proposed mechanisms to facilitate the sharing of data.

(6) A staffing and organization proposal for the Institute

including an analysis of the types of background needed among staff

members, the Institute's organizational structure, and linkages with

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 policymaking.

The applicant should identify the Institute 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 Institute 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 Institute

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 Institute must be specified.

This section should discuss the financial arrangements for

supporting research assistants, dissertation 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 should also 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

Institute 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 disability policy.

Where specific individuals are proposed for the staff of the Institute,

it is legitimate to discuss their past research, whether or not it took

place at the institution proposed to be the location the Institute. 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 Institute'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 approximately eight 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 a Disability

Research Institute based on (1) the application scores; (2) the

feasibility and adequacy of the project plan and methodology; and (3)

how the Institute would meet SSA's disability policy-relevant

objectives.

The Commissioner of Social Security will consider the panel's

recommendations when awarding the cooperative agreement. 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 efforts) 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. Please

disregard the Program Narrative 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).

[[Page 55803]]

Selection of the successful applicant 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, demographic,

medical and health-related trends influencing disability. Reviewers

will judge applicants' abilities to discuss the past, present, and

future role of government programs and policies 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 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 one priority research area. Applicants will

generally receive higher scores for addressing more than one priority

research area. However, a strong proposal focusing on one area will

outscore one that 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.

(c) Dissemination; training and education; and facilitation of data

usage. (See Part III, Section A-3, A-4, 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 other organizations conducting disability income

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 disability.

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 Institute 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 Institute'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 reference

from grant/cooperative agreement administrators on previous grants and

cooperative agreements held by the proposed Institute Director or other

key personnel. Director and staff time commitments to the Institute

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 Institute is being fulfilled. Higher scores will generally be

given to those institutions 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 institution's

central priorities and this request. Reviewers will evaluate the

commitment of the host institution (and the proposed institutional unit

that will contain the Institute) to assess its ability to support all

four of the Institute's major activities: (1) Scholarly, policy-

relevant research; (2) dissemination; (3) education and training; and

(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

announcement, and (2) the applicant has additional funding from other

sources, in particular, the host institution. Applications that show

funding from other sources that supplement funds for this cooperative

agreement will be given higher marks than those without financial

support.

Part IV--Application Forms, Completion and Submission

A. Availability of Application Forms

To obtain an application kit that contains the prescribed forms for

funding projects under this announcement, all requests should be

submitted via mail, fax, or e-mail. MAIL: 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. FAX: (410) 966-9310 or (410) 966-1261. E-MAIL: [email protected]

or [email protected] or [email protected].

Requests submitted by mail should include a return address label.

To assist

[[Page 55804]]

us, please provide the information requested using the following

format:

Requestor:

Name:

Telephone Number:

Mail to:

Name (individual):

Organization:

Street Address:

City State Zip Code:

When requesting an application kit, the applicant should refer to

the program announcement number SSA-ORES-00-1 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 (Details) for Section B--Budget Categories;

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 eight

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 and Staff

Background,

(g) Organizational Experience Summary, and

(h) Budget Narrative.

10. Part IV--Assurances;

11. Additional Assurances/Certifications;

12. Any appendences/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

There 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 Word 97 format) would

also be helpful to SSA, but is 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-00-1). 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-00-1, 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., Eastern Standard Time, 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 January 12, 2000. 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 side 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

[[Page 55805]]

officials on proposed Federal financial assistance.

(Catalog of Federal Domestic Assistance: Program No. 96.007, Social

Security--Research and Demonstration)

Kenneth S. Apfel,

Commissioner of Social Security.

[FR Doc. 99-26676 Filed 10-13-99; 8:45 am]

BILLING CODE 4190-29-M