[Federal Register Volume 68, Number 80 (Friday, April 25, 2003)]
[Notices]
[Pages 20418-20425]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 03-10251]
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SOCIAL SECURITY ADMINISTRATION
[Program Announcement No. SSA-ORES-03-01]
Retirement Research Consortium Request for Applications (RFA)
AGENCY: Social Security Administration (SSA).
ACTION: Request for applications for a cooperative agreement to re-
compete a Retirement Research Consortium (RRC).
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SUMMARY: The American population is growing older, with profound long-
term effects on Social Security and related programs. The Board of
Trustees has found that Social Security is financially unsustainable
over the long-term at present payroll tax and scheduled benefit levels.
The Social Security Administration (SSA) is committed, through
education and research efforts, to support reforms to ensure
sustainable solvency and more responsive programs.
As authorized under section 1110 of the Social Security Act, SSA
announces the solicitation of applications for a cooperative agreement
to create a Retirement Research Consortium to help inform the public
and policymakers about Social Security issues. Initially, the
Consortium will be composed of one or more Centers. The Centers will
have a combined annual budget of up to $5 million a year. SSA expects
to fund the Centers for a period of 5 years, contingent on an annual
review process and continued availability of funds.
Purpose
This announcement seeks applications in support of the RRC that
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will continue to serve as a national resource fostering high quality
research, communication, and education. The Consortium's program
purpose is to benefit the public through three tasks:
(1) Research, evaluation, and data development. The RRC will be
expected to plan, initiate, and maintain a research program of high
caliber. While Consortium research should broadly cover retirement and
Social Security program issues, there will be special emphasis on
system reform and program solvency. A portion of the research effort
can focus on the development of research data sources and facilitating
the use of Social Security Administrative data for retirement research
purposes under secure conditions.
(2) Dissemination. The RRC will disseminate policy research
findings using a variety of mediums to inform the academic community,
policymakers, and the public.
(3) Training and education. The RRC will train and provide funding
support for graduate students and postgraduates to conduct research on
retirement policy.
DATES: The closing date for submitting applications under this
announcement is July 15, 2003.
FOR FURTHER INFORMATION CONTACT: The application kit is available at
www.ssa.gov/oag/. To request an application kit for those without
internet access, and for nonprogrammatic information regarding the
announcement or application package contact: David Allshouse, 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 number is (410) 965-9262 (e-mail: [email protected]).
For information on the program content of the announcement/
application, contact: John W. R. Phillips, Division of Policy
Evaluation, ORES, SSA, 500 E St., SW., Rm 936, Washington, DC 20254.
The fax number is (202) 358-6187. The telephone number is (202) 358-
6321 (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
a. Priority Research Areas (PRA)
1. Social Security and Retirement
2. Macroeconomic Analyses of Social Security
3. Wealth and Retirement Income
4. Program Interactions
5. International Research
6. Demographic Research
b. Tasks
1. Research, Evaluation, and Data Development
2. Dissemination
3. Training and Education
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 institutions.
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 distinct from 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. Up to $5 million will be available to fund the initial 12-month
budget period of a proposed five-year cooperative agreement(s) pursuant
to the announcement. Up to $250,000 of the available $5 million in
funds will be set aside for collaborative research projects with SSA
staff (see Part II A.b.1). Further, the Center budgets should include
$20,000 in provisional funds for Quick Turnaround projects (see Part II
B.1).
2. Applicants must include separate budget estimates for each of
the five 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 budgetary approval. SSA expects,
however, that the Consortium will be supported during future fiscal
years at an annual level of up to $5 million.
4. Nothing in this announcement precludes the possibility that the
annual funds will be divided disproportionately between the Centers.
However, each Center should prepare a five-year proposal with a maximum
budget of $12.5 million.
5. Additional funds may become available from SSA or other Federal
agencies in support of Consortium projects.
6. Initial awards, pursuant to this announcement, will be made on
or about September 15, 2003.
7. SSA will not provide a Center's entire funding. 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.
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. Further, SSA is not required to fund all proposed
Consortium activities in any year. SSA will review all proposed
activities annually and award up to $2.5 million per Center per year.
D. Letter of Intent
Prospective applicants are asked to submit by June 2, 2003, 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
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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., ITC Room 936, Washington, DC 20254-0001.
Part II--Establishment of a Research Consortium--Responsibilities of
the Center and the Federal Government
A. Center Responsibilities
a. Priority Research Areas (PRAs)
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. SSA has identified six priority research areas within the realm
of retirement income policy on which applicants should focus and
applications will be scored. Reviewers will score applications that
feature high quality research projects addressing solvency and reform
across the priority areas favorably. The priority research areas are:
1. Social Security and Retirement: This area focuses on how Social
Security's programs influence the nature and timing of retirement and
the claiming of benefits. It also includes how changes in Social
Security program rules affect Trust Fund solvency. Examples of research
topics for this area include the labor supply and Trust Fund
implications of changes in the Social Security retirement ages or
implementation of Personal Accounts.
2. Macroeconomic Analyses of Social Security: This area covers the
macroeconomic and financial effects of Social Security and changes in
policy on national saving, investment, and economic growth. It
includes, but is not limited to, the intertemporal effects on capital
formation, retirement savings, and the unified budget.
3. Wealth and Retirement Income: This area considers the role of
Social Security in retirement income and wealth accumulation. It also
includes analyses of other sources of retirement income and private
savings such as employer-provided pensions, individual assets, earnings
from continued employment, etc. Examples of research topics from this
area include the impact of matching rates on 401(k) contributions and
the distribution of retirement income sources among subgroups of
interest.
4. Program Interactions: This area covers interactions between
Social Security and other public or private programs. It includes the
impact of Social Security reform on public programs like the Disability
Insurance, Supplemental Security Income, and Medicare, as well as
private pension plans and personal saving. Examples of research topics
from this area include analyses of the effect implementation of
Personal Accounts on contributions to 401(k) accounts or how changes in
the Social Security retirement ages might influence applications to the
DI or SSI programs.
5. International Research: This area includes cross-country
comparisons of social, demographic, and institutional differences and
highlights the lessons to be learned from other countries' social
insurance experiences. Examples of topics include cross-national
comparisons of social security reform and well being in retirement.
6. Demographic Research: This area includes changes in mortality,
fertility, marital status, immigration, health, and labor force
participation and their implications for retirement policy.
Each Center will develop a strategy to disseminate its findings on
these 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 Centers
that, as a whole, will address the range of objectives discussed above
without compromising the overall quality of research in the separate
priority areas.
b. Tasks
Each Center will perform the following tasks:
1. Research, evaluation, and data development. 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 policy
issues.
The research program should include supporting the work of members
of the RRC staff and other affiliated researchers. Joint research
between Consortium and SSA researchers is encouraged, as is
collaboration with other organizations interested in retirement income
policy. SSA will consider and fund up to $250,000 of worthwhile
collaborations annually. Federal employees can not receive any funding
support for collaborations. 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.
SSA recognizes the value of high quality comprehensive microdata
for conducting policy research. The RRC should work to facilitate the
development of microdata sources as well as provide researchers with
opportunities to use SSA administrative records for research purposes
under secure conditions. Such efforts must adhere to clear privacy
protection requirements. Examples of data improvement efforts include
improving the quality of existing data sources and their documentation;
aiding researchers in obtaining administrative extracts for policy
relevant research projects; developing sophisticated statistical
techniques to mask micro data; and developing new sources of data for
retirement policy analysis. 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 researchers, who agree to specific privacy regulations, access
to restricted-use data files.
In order to insure the policy relevance, utility, and scope of the
Centers' research, evaluation, and data development goals, a group of
nationally recognized scholars and practitioners (See Part II, Joint
Responsibilities) shall periodically review the Center's activities.
2. Dissemination. Making knowledge and information available to the
academic and policy communities as well as the public is another
important 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
quarterly newsletters, research papers, and policy briefs. These
products should be accessible to the public via the Internet
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on a Center maintained Web site. In addition, the Centers will be
expected to organize conferences, workshops, lectures, seminars, or
other ways of sharing current research activities, and findings. The
Consortium will hold an annual conference on issues related to
retirement income policy, with organizational responsibility rotating
between the Centers. The centers will work with SSA to produce a
conference agenda. The conference will be held in Washington, DC. The
hosting Center will also have the responsibility for publishing a book
of papers delivered at the annual conference.
Applicants are encouraged to propose use of creative methods of
disseminating data and information. Applications should show
sensitivity to alternative dissemination strategies that 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. Each Center 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 Consortium's mission.
The Centers are expected to financially support the training and
research of young scholars. Funding should be allocated to support
graduate students through dissertation fellowships; postdoctoral
researchers should receive support through mentored postdoctoral
fellowships or a small research grant for junior scholars. Though SSA
expects graduate students to work with RRC researchers on funded
projects as research assistants, those awards will be included in the
research budget, not in the training budget. The Centers will conduct
educational seminars for government analysts and policymakers on the
Consortium's research findings and methodological advancements.
To assure the quality of its research, dissemination, and training,
each Center should 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;
however, alternative arrangements among entities and with individual
scholars are encouraged and may be proposed.
4. Reporting. Every three months during the award period, the
grantee will produce a quarterly report of progress. The grantee's
quarterly progress reports should provide a concise summary of the
progress being made toward completion of activities in the annual
workplan. Particular attention should be given to achieving any
milestones set forth in the workplan, delays in achieving milestones
and the impact of delays on the final product. Details regarding the
format of quarterly progress reports will be provided in the RRC Terms
and Conditions at the time of award.
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, SSA will request Quick Turnaround projects from the
RRC. Quick Turnaround projects include commenting on SSA research
plans, providing critical commentary on research products, composing
policy briefs, performing statistical policy analyses, and other
activities designed to inform SSA's research, evaluation, and policy
analysis function. Funding for these as well as other related
activities should be included in the budget narrative at a level of
$20,000 (Part III, Section A-8). The agency can raise the ceiling above
$20,000 for quick turnaround projects if both need and funds exist.
2. SSA Responsibilities: SSA will be involved with the Consortium
in jointly establishing 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.
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. Funded under this
agreement, the scholars/practitioners must meet once a year at the RRC
Annual Conference in Washington, DC. On occasion, both Centers'
scholars/practitioners will meet jointly to evaluate Consortium
objectives and progress. Further, the Centers may contact the scholars/
practitioners throughout the year for suggestions regarding Center
activities. The SSA Project Officer will participate in all meetings.
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 25 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
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institution must show a strong commitment to the 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 need not be limited by geographical 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, training, and working with
government policymakers. In the program narrative section of the
application, applicants should reflect on 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 would be made to minimize start-up and
transition delays. Applications that 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 duplicative 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 seven 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 both address
current Social Security reform issues and anticipate future policy
debates. 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. If a Center intends to enhance data for retirement research
purposes, they should include a discussion of the technical expertise
of Center staff and proposed mechanisms to facilitate the sharing of
data.
The prospectus shall include detailed descriptions of individual
research projects that will be expected in the Center's first year of
operation. The special instructions attachment of the application kit
provides guidelines for project proposals. 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 an ad hoc categorization of an unstructured
set of research projects, rather than a set of projects that strike a
coherent theme, will be judged unfavorably.
Note: Once a successful RRC applicant has been selected, SSA
will review the RRC research agenda and determine research
priorities. This may include the addition, modification, or removal
of proposed research projects. After review, each Center will submit
to SSA a revised research plan and budget. The research plan will be
periodically reviewed and revised as necessary. The application
should discuss how the Centers select research projects to propose,
including involvement of the outside scholars/practitioners, SSA,
and other advisors and participants in the Consortium.
(3) A prospectus for dissemination, including ways to reach a broad
audience of researchers, policymakers, and the public. Dissemination
plans should detail proposed publications and conferences.
(4) A prospectus for training and education, including proposed
training and educational strategies to meet the goals described in Part
II, Section A, Task 3.
(5) 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
institution and other organizations. In this section, the applicant
should specify how it will assure an effective 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 must 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 prior 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 authors
of the application and the role that they will play in the proposed
Center must be specified.
This section shall 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
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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 of the
relationships, including leadership, management, and administration. It
should pay particular attention to discussing how a focal point for
research, training, 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).
(6) An organizational experience summary of past work at the
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. 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.
(7) A budget narrative that links the research, training,
dissemination, and administration to the Center's funding level. The
special instructions attachment of the application kit provides
information on the distribution and presentation of budget data. Though
SSA believes that all three of the stated goals and objectives are
important, it is expected that the substantial majority of funds will
support Research, Evaluation, and Data Development. 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 administrative 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, dissemination, and administrative plans.
The availability, potential availability or expectation of other
funds (from the host institution, 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 duplicate those
received from other funding sources.
B. Review Process and Funding
In addition to any other reviews, a 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 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 Agency will consider the panel's recommendations when
awarding the cooperative agreements. Although the results from the
review panel are the primary factor used in making funding decisions,
they are not the sole basis for making awards. The Agency 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 (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
issues influencing retirement and solvency. 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) (40 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 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
research areas described in Part II, Section A. Again, extra weight
will be given to quality projects that
[[Page 20424]]
focus on solvency and reform. 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 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 Agency activities. Reviewers will also take into
consideration SSA priorities and funded or anticipated projects. SSA is
particularly interested in research on issues related to Social
Security solvency and reform.
(c) Dissemination; training and education. (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.
(d) Quality of the staffing proposal and proposed administration.
(See Part III, Section A-6 and A-7) (20 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.
Applicants will be judged on the nature and extent of the
organizational support for research, mentoring scholars, dissemination,
and in areas related to the Center's central priorities and this
request. Reviewers will evaluate the commitment of the host institution
(and the proposed institutional unit that will contain the Center) to
assess its ability to support all three of the Center's major
activities: (1) Research, evaluation, and data development; (2)
dissemination; (3) education and training. Reviewers also will evaluate
the applicant's demonstrated capacity to work with a range of
government agencies.
(e) Appropriateness of the budget for carrying 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 institution. Applications which show
funding from other sources that supplement funds from this cooperative
agreement will be given higher marks than those without financial
support. Awardees are required to contribute a minimum of 5 percent
cost share of total project costs.
Panel Recommendations. Once each application is scored and ranked,
the panel will then review the top applicants and recommend Centers
that together best address the range of responsibilities described in
Part II.
Part IV--Application Forms, Completion and Submission
A. Availability of Application Forms
The application kit, which contains the prescribed forms for
funding projects under this announcement, is available at www.ssa.gov/oag/. To request an application kit for those without Internet access,
contact: David Allshouse, 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 number for David Allshouse
is (410) 965-9262 (e-mail: [email protected]).
When requesting an application kit, the applicant should refer to
the program announcement number SSA-ORES-03-01 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;
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 six sections:
(a) Background Analysis,
(b) Research, Evaluation, and Data Development Prospectus,
(c) Dissemination Prospectus,
(d) Training and Education Prospectus,
(e) Staffing Proposal Including Staff Utilization, Staff
Background, and Organizational Experience,
(f) 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.
[[Page 20425]]
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 MSWord format) would also
be helpful to SSA.
--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-03-01). The applicant also is encouraged to select a SHORT
descriptive project title.
--On all applications developed by more than one organization, the
application must identify only one institution as the lead organization
and the official applicant. The other(s) can be included as 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-03-01, 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, 2003. 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 will be 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 applications. Please complete the top and bottom parts of
the double postcard that 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
The information is collected using form SSA-96-BK, Instructions for
Completion of Federal Assistance Application has already been approved
under Office of Management and Budget (OMB) control number 0960-0184.
This is important in that persons are not required to respond to an
information collection unless it displays a valid OMB control number.
In addition, the collection of information from ten or more members
of the public by cooperative agreement awardees during research and
study activities will require clearance from OMB if the information is
in response to identical questions.
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 9, 2003.
Jo Anne B. Barnhart,
Commissioner of Social Security.
[FR Doc. 03-10251 Filed 4-24-03; 8:45 am]
BILLING CODE 4191-02-P