[Federal Register Volume 63, Number 94 (Friday, May 15, 1998)]
[Notices]
[Pages 27108-27112]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-12962]


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SOCIAL SECURITY ADMINISTRATION

[Program Announcement No. SSA-ORES-98-2]


Federal Old-Age, Survivors, and Disability Insurance

AGENCY: Social Security Administration.

ACTION: Announcement of the availability of fiscal year 1998 funds for 
Section 1110 research grants.

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SUMMARY: The Social Security Administration (SSA) announces that 
competing applications will be accepted for new research grants 
authorized under section 1110 of the Social Security Act. This 
announcement, consisting of three parts, describes the nature of the 
grant activities and gives notice of the anticipated availability of 
fiscal year (FY) 1998 funds in support of the proposed activities. Part 
I discusses the purpose of the announcement and briefly describes the 
application process. Part II describes the programmatic priorities 
under which SSA is soliciting applications for funding. Part III 
describes the application process and provides guidance on how to 
submit an application.

DATES: The closing date for the receipt of grant applications in 
response to this announcement is July 14, 1998.

FOR FURTHER INFORMATION CONTACT: For information on the application or 
for an application kit: Mr. E. Joe Smith, Grants Management Officer; 
Office of Operations Contracts and Grants; Office of Acquisition and 
Grants; Social Security Administration; 1-E-4 Gwynn Oak Building; 1710 
Gwynn Oak Avenue; Baltimore, Maryland 21207-5279; telephone (410) 965-
9503. Mr. Smith's e-mail address is: [email protected].
    For information on the program content of the announcement: Ms. 
Eleanor Cooper, Coordinator for Extramural Research; Office of 
Research, Evaluation and Statistics; Social Security Administration; 4-
C-15 Operations; 6401 Security Boulevard; Baltimore, Maryland 21235; 
telephone (410) 966-9824. Ms. Cooper's e-mail address is: 
[email protected].

SUPPLEMENTARY INFORMATION:

Part I. Purpose and The Grants Process

A. Program Purpose

    This research is intended to add to existing knowledge about 
components of economic security and about the changing economic status 
of the aged or disabled, with emphasis on Social Security 
beneficiaries. Policymakers and social scientists are potential users 
of the results.
    There is much discussion of Social Security reform and the future 
shape of the program, which provides economic security for the aged, 
survivors and those who are disabled. We are interested in focusing our 
efforts on the major ideas being put forth to help

[[Page 27109]]

inform the Social Security reform discussion. Information will be 
needed both before and after consensus is reached on potential reforms. 
There is no specific plan contemplated at this time, so information is 
needed about the many broad reforms being discussed.
    In general, SSA will fund a select number of projects in the 
following areas:
    1. Research on issues pertaining to major changes in the structure 
of Social Security.
    2. Research which develops models and other analyses that aid in 
understanding the likely behavioral consequences of increasing the 
retirement age.
    3. Research on Social Security/Private Pension Integration which 
will explore how pension integration affects the economic status of 
retirees.
    4. Research that uses data from the Luxembourg Income Study to 
assess the relative effectiveness of different social insurance systems 
in combating poverty among elderly women.
    5. Research on economic and demographic assumptions that will 
affect the future financial status of the Social Security Old Age, 
Survivors and Disability Insurance (OASDI) programs.

B. FY 1998 Grant Process

    The grant application process for FY 1998 will consist of a one-
stage, full application. Applications are limited to 20 single-or 40 
double-spaced pages (excluding resumes, forms, etc.) and must relate to 
the selection criteria established for review of applications.
    Some priority areas in this announcement permit applicants to 
propose research efforts from 12 to 24 months in duration. In item 11 
of the Face Sheet (page 1 of form SSA-96-BK) indicate the priority area 
under which the application is submitted; i.e., ORES-98-001, ORES-98-
002, etc.

Part II. Priority Research Areas and Evaluation Criteria

    In general, grant proposals must be based on well-developed 
rigorous analysis, including at a minimum the elements specified in the 
evaluation criteria in Part II.B. below.

A. Priority Research Areas

    In particular, the following priority project areas will be 
considered for funding:
1. Issues Pertaining to Major Changes in the Structure of Social 
Security-- ORES-98-001
    The 1994-96 Advisory Council on Social Security was appointed to 
examine the long-term financing problems facing the Social Security 
system and to propose possible solutions for putting the system on firm 
financial footing. As part of this effort, the Council considered many 
different options designed to restore the long-term fiscal integrity of 
the program, including options which would lead to a partial 
privatization of Social Security. In order to respond with better 
information to the increasing call for Social Security reform, we 
propose a program of small grants which would foster research regarding 
Social Security reform.
    Research proposals in any of the following general areas are 
sought: (1) Research into the possible macroeconomic impacts of 
investing a significant portion of the Social Security trust fund in 
private equities; (2) research into the possible macroeconomic effects 
of a full or partial privatization of Social Security; (3) research 
concerning potential impacts on financial markets, rates of return, 
and/or capital formation of either partial investment of Social 
Security trust fund monies in private securities or of the full or 
partial conversion of the Social Security program into one of 
individualized accounts; (4) analysis of the financial and economic 
risks faced by individuals in a privatized Social Security system; (5) 
analysis to determine whether or not private insurance markets could, 
or would, provide equivalent retirement, survivors, and disability 
insurance to that provided by the current Social Security program, as 
well as investigating the likely cost to individuals of such insurance; 
(6) research on the possible effects that major changes in the 
structure of Social Security might have on individuals' saving 
behavior, national savings, and/or the unified budget; and (7) research 
into other topics of interest and importance associated with the debate 
surrounding reform proposals.
    Applications may be submitted for multi-year funding not to exceed 
either 12 months or 24 months in duration. It should be noted that, for 
grants of 24 months duration, an interim report of research findings 
will be required at the end of the initial 12-month period. It is 
particularly important for the agency to receive grant results within 
the first year on the implications of retirement policy assessments, 
such as individual accounts, retirement age, other structural changes, 
etc. It is anticipated that up to $400,000 will be allocated to fund 
one or more projects under this priority area for the initial 12-month 
budget period. Applications for multi-year funding should include a 
budget for the first budget period (not to exceed 12 months). If the 
application is approved, a grant will be awarded for the initial 12-
month budget period. Funding will subsequently be provided for up to an 
additional 12-month budget period dependent on satisfactory performance 
of the initial budget period, continued relevance of the project, and 
the availability of FY funds.
2. Retirement Age Changes--ORES-98-002
    Social Security's normal retirement age (NRA) is scheduled to rise 
gradually to 67 by 2027. Concern about the Old Age Survivors Insurance 
program's long-term financial balance has prompted consideration of 
additional changes in Social Security's retirement ages. Among the 
possibilities discussed are: (a) an accelerated rise in the NRA; (b) 
increasing the NRA beyond age 67; (c) indexing the NRA to reflect 
changes in life expectancy; (d) increasing Social Security's early 
retirement age (ERA); or (e) some combination of (a)-(d).
    Policy questions of this type have been explored by researchers in 
the past, and the estimated effects of some of these policy changes on 
work and retirement patterns are available. The existing estimates 
were, for the most part, generated using econometric models based on 
the somewhat dated Retirement History Study data. With the availability 
of successive waves of new data from the Health and Retirement Survey 
(HRS) to support new research, as well as other databases that measure 
the labor force activity of older workers, we seek to fund the 
development of new retirement models and other analyses.
    SSA is primarily interested in research proposals that develop 
models and other analyses that aid in understanding the likely 
behavioral consequences of increasing the retirement age. This research 
should examine the effects of Social Security's retirement ages on the 
timing of retirement within the context of a framework that jointly 
addresses the influence of other known factors such as pensions, 
assets, earnings opportunities, and health. Acceptable proposals might 
also consider one or more of the following issues: How will the timing 
of first-receipt of Social Security benefits by persons aged 62 and 
older change? What will be the effects of raising the retirement age on 
women? To what extent would this type of policy change affect the mix 
of part-time and full-time employment desired by older workers? Are 
``bridge jobs'' likely to become more or less important? How will the 
labor supply response of older workers vary by gender, age, occupation, 
health

[[Page 27110]]

status, and ethnicity? Do other Social Security program features 
significantly deter work among the elderly, thereby offsetting (at 
least to some extent) the increased work that a higher retirement age 
is likely to promote?
    It is anticipated that up to $400,000 will be allocated to fund one 
or more projects for up to 12 months under this priority area. 
Preliminary results are to be submitted 6 months after the grant is 
awarded.
3. Social Security/Private Pension Integration--ORES-98-003
    Many employer-provided pension plans contain rules that coordinate 
pension benefits with Social Security benefits that the retired worker 
receives. These pension plans are said to be integrated with Social 
Security. SSA seeks research proposals that explore how pension 
integration affects the economic status of retirees.
    SSA is interested in projects which explore the economics of and 
rationale for the existence of private pension plan integration 
provisions. They should document the prevalence of integrated plans and 
identify any trends and their causes (e.g., to what extent has the 
shift from defined benefit to defined contribution plans had an impact 
on the numbers of workers with integrated plans?). The projects should 
examine the effects of pension integration on the post-retirement 
distribution of income.
    Fully developed proposals might also outline research that 
addresses one or more of the following issues: What factors are 
associated with the occurrence of integration provisions in private 
pension plans? For example, is plan integration associated with 
employer characteristics, the level of workers' total compensation, the 
mix of employer-employee contributions, or the generosity of the 
pension plan? How would changes in basic OASDI program features, such 
as the Early and Normal Retirement Ages, or in major changes in the 
structure of the OASDI program, such as individual accounts, likely 
affect the prevalence and form of integrated pension plans and 
retirement income? We will entertain proposals for other research 
projects that contribute to our understanding of how pension plan 
integration affects the economic well-being of Social Security 
beneficiaries.
    It is anticipated that up to $100,000 will be allocated to fund a 
project for up to 12 months under this priority area.
4. Poverty Among Older Women Cross-Nationally--ORES-98-004
    Although in recent decades many Western industrialized nations have 
undergone demographic, labor market, and social changes akin to those 
in the United States, poverty rates among older women continue to 
differ. Older women in the United States, particularly those who are 
unmarried, fare comparatively worse economically than their 
counterparts in other industrialized nations. The Luxembourg Income 
Study is a unique source of information on the economic circumstances 
of individuals in more than twenty countries. For many of the 
countries, data are available for multiple years. We seek to fund 
research that uses these data to assess the relative effectiveness of 
different social insurance systems in combating poverty among elderly 
women. The project should include not only a description and comparison 
of the economic status of elderly women in the chosen countries but 
also an analysis of its correlates (e.g., marital status, sources and 
amounts of each type of income). Particular attention should be paid to 
the institutional structure of each country's social insurance program 
as it pertains to women (e.g., spousal benefits, widow's and divorced 
spouse benefits, compensations for interruptions in a woman's work 
history for child-rearing and caregiving) as well as the extent to 
which the program is integrated with private sources of retirement 
income. To isolate the effects of public policies on older women's 
poverty, consideration of multiple years of data in select countries 
may be warranted.
    It is anticipated that up to $100,000 will be allocated to fund a 
project for up to 12 months under this priority area.
5. Economic and Demographic Assumptions Recommended for Study by Past 
Advisory Councils--ORES-98-005
    The past two Advisory Councils on Social Security (as well as other 
Councils before them) recognized the need to conduct research regarding 
the assumptions and methods used to project the future financial status 
of the OASDI programs, including measures of the financial soundness of 
these programs. In addition to examining the economic and demographic 
assumptions behind these forecasts, the 1994 Advisory Council on Social 
Security highlighted the need for research into the feasibility of 
using stochastic simulation modeling for forecasting future economic 
and demographic trends. In order to respond to these needs, we propose 
a program of small grants designed to foster original research in these 
areas.
    Research proposals in the following areas are being sought: (1) 
Research into the determinants and projection of productivity and 
earnings; (2) research into the effects of changes in the number of 
hours worked and in fringe benefits on the linkages between 
productivity and covered earnings; (3) research into the 
interrelationship of interest rates, productivity, wages, and other 
economic variables, with some focus on the role of the global economy; 
(4) research into the use of stochastic simulation models to forecast 
future economic and demographic trends; (5) research concerning the 
ultimate rates of mortality decline at all ages as well as 
investigation of various methods of projecting such rates; and (6) 
research concerning the impact of the age composition of the population 
(cohort effects) on labor force participation (particularly female 
labor force participation), fertility, marriage and divorce with the 
intention of improving our long-range projections of these variables.
    Applications may be submitted for multi-year funding not to exceed 
24 months in duration. It is anticipated that up to $200,000 will be 
allocated to fund one or more projects under this priority area for the 
initial 12-month budget period. Applications for multi-year funding 
should include a budget for the first budget period (not to exceed 12 
months). If the application is approved, a grant will be awarded for 
the initial 12-month budget period. Funding will subsequently be 
provided for up to an additional 12-month budget period dependent on 
satisfactory performance of the initial budget period, continued 
relevance of the project, and the availability of FY funds.

    Note: To foster the sharing of research, principal investigators 
for each grant awarded will be required to (1) include in the final 
report an executive summary which SSA could publish in the quarterly 
Social Security Bulletin and (2) discuss the results of their 
research with SSA staff. Funds should be included in the grant 
budget for a meeting at the SSA Office of Research, Evaluation and 
Statistics, Washington, D.C.

B. Evaluation Criteria

    Applications which pass the screening process will be reviewed by 
at least three individuals. Reviewers will score the applications, 
basing their scoring decisions on the criteria shown below. An 
unacceptable rating on any individual criterion may render the 
application unacceptable. Consequently, applicants should take care to 
ensure that all criteria are fully addressed in the application. 
Relative weights for the criteria are shown in parentheses.
(1) Project Objective: (25 points)
    How closely do the project objectives fit those of the 
announcement? Is the

[[Page 27111]]

need for the project discussed in terms of the importance of the issues 
to be addressed? Does it describe how the project builds upon previous 
research? What is the potential usefulness of the anticipated result 
and expected benefits to the target groups? What is the potential 
usefulness of the proposed project for the advancement of scientific 
knowledge?
(2) Project Design: (30 points)
    Is the design of the project adequate and feasible as indicated by 
the appropriateness of the work statement and the technical approach, 
including: (a) A concise and clear statement of goals and objectives; 
(b) theoretical analysis of the problem and, if appropriate, hypotheses 
to be tested and/or parameters to be estimated; (c) specification of 
data sources; (d) plan for data analysis, including appropriateness of 
statistical methods to be used; and (e) scheduling of tasks and 
milestones in the progress of the project? Does the proposal describe 
specific plans for conducting the project in terms of the tasks to be 
performed, and how the approach will accomplish the project objectives?
(3) Qualifications: (30 points)
    Do the qualifications of the project personnel, as evidenced by 
training, experience, and publications, demonstrate that they have the 
knowledge of subject matter and skills required to competently carry 
out the research and to produce a final report that is comprehensible 
and usable? Is the staffing pattern appropriate for the proposed 
research, linking responsibilities clearly to project tasks?
(4) Organization and Budget: (15 points)
    Are the resources needed to conduct the project specified, 
including personnel, time, funds, and facilities? Are any collaborative 
efforts with other organizations clearly identified and written 
assurances referenced? Is all budget information provided including a 
description by category (personnel, travel, etc.) of the total of the 
Federal funds required, and written assurances referenced? Where 
appropriate, are justifications and explanations of costs provided? Are 
the project's costs reasonable in view of the level of effort and 
anticipated outcome? Does the applicant's organization have adequate 
facilities and resources to plan, conduct, and complete the project?

Part III. Application Process

A. Eligible Applicants

    Any State or local government, public or private organization, 
nonprofit or for-profit organization, hospital, or educational 
institution may apply for a grant under this announcement. Applications 
will not be accepted from applicants which do not meet the above 
eligibility criteria at the time of submission of applications.
    Individuals are not eligible to apply. For-profit organizations may 
apply with the understanding that no grant funds may be paid as profit 
to any grant recipient. Profit is considered as any amount in excess of 
the allowable costs of the grant recipient. A for-profit organization 
is a corporation or other legal entity which is organized or operated 
for the profit or benefit of its shareholders or other owners and must 
be distinguishable or legally separable from that of an individual 
acting on his/her own behalf.
    In accordance with section 18 of the Lobbying Disclosure Act of 
1995, 2 U.S.C. 1611, organizations described in section 501(c)(4) of 
the Internal Revenue Code of 1968 that engage in lobbying are not 
eligible to receive grant awards.

B. Availability and Duration of Funding

    SSA anticipates allocating funds for each priority area as follows:

ORES-98-001, ``Issues Pertaining to Major Changes in the Structure of 
Social Security''--up to $400,000 to fund either the 12-month budget 
period or the initial 12-month budget period (depending on whether a 
grant is for 1 or 2 years) of one or more projects in this priority 
area.
ORES-98-002, ``Retirement Age Changes''--up to $400,000 to fund the 12-
month budget period for one or more projects in this priority area.
ORES-98-003, ``Social Security/Private Pension Integration''--up to 
$100,000 to fund the 12-month budget period for a project in this 
priority area.
ORES-98-004, ``Poverty Among Older Women Cross-Nationally''--up to 
$100,000 to fund the 12-month budget period for a project in this 
priority area.
ORES-98-005, ``Economic and Demographic Assumptions Recommended for 
Study by Past Advisory Councils''--up to $200,000 to fund the initial 
12-month budget period of one or more projects in this priority area.

C. Grantee Share of the Project Costs

    Grant recipients receiving assistance to conduct these research 
projects are expected to contribute a minimum of 5 percent towards the 
total cost of the project (cash or in-kind). No grant will be awarded 
that covers 100 percent of the project's costs.

D. The Application Process for Proposals Requesting Grant Funds

    Organizations wishing to compete for grants under this announcement 
must submit an application by July 14, 1998. Applications received in 
response to this announcement will be reviewed by Federal and non-
Federal personnel.
    Successful applicants may expect funding during the fourth quarter 
of FY 1998 (prior to September 30, 1998).
1. Availability of Application Forms
    Application kits which contain the prescribed application forms for 
grant funds are available from the Grants Management Team; Office of 
Operations Contracts and Grants; Office of Acquisition and Grants; 
Social Security Administration; 1-E-4 Gwynn Oak Building; 1710 Gwynn 
Oak Avenue; Baltimore, Maryland 21207-5279; Mr. E. Joe Smith, Grants 
Management Officer; telephone (410) 965-9503 (e-mail address: 
[email protected]) or Mr. David S. Allshouse, telephone (410) 965-9262 
(e-mail address:[email protected]).
    When requesting an application kit, the applicant should refer to 
program announcement number SSA-ORES-98-2 and the date of this 
announcement to ensure receipt of the proper application kit.
2. Additional Information
    For additional information concerning project development, please 
contact Ms. Eleanor Cooper, Coordinator for Extramural Research; Office 
of Research, Evaluation and Statistics; Social Security Administration; 
4-C-15 Operations; 6401 Security Boulevard, Baltimore, Maryland 21235; 
telephone (410) 966-9824. Ms. Cooper's e-mail address is: 
[email protected].
3. Application Submission
    All applications requesting Federal grant funds must be submitted 
on the standard forms provided by the Grants Management Team. 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 grant award.
    As part of the project title (page 1 of the application form SSA-
96-BK, item 11), the applicant must clearly indicate that the 
application submitted is in response to this announcement (SSA-ORES-98-
2) and must show the appropriate priority area project identifier 
(i.e., ORES-98-001, -002, -003, -004, or -005).

[[Page 27112]]

    Applications must be submitted to the Grants Management Team at the 
address specified in number 7, below.
4. Application Consideration
    Applications are initially screened for relevance to this 
announcement. If judged irrelevant, the applications are returned to 
the applicants.
    Applications that conform to the requirements of this program 
announcement will be reviewed and evaluated against the evaluation 
criteria specified in this announcement and evaluated by Federal and 
non-Federal personnel. The results of this evaluation will assist SSA 
in selecting the applications to be funded.
5. Application Approval
    Grant awards will be issued within the limits of Federal funds 
available following the approval of the applications selected for 
funding. The official award document is the ``Notice of Grant Award.'' 
It will provide the amount of funds awarded, the purpose of the award, 
the budget period for which support is given, the total project period 
for which support is contemplated, the amount of grantee financial 
participation, and any special terms and conditions of the grant award.
6. Screening Requirements
    In order for an application to be in conformance, it must meet all 
of the following requirements:
    (a) Number of Copies: An original signed and dated application plus 
at least two copies must be submitted. Five additional copies are 
optional and will expedite processing of the grant application.
    (b) Length: The narrative portion of the application (Part III of 
form SSA-96-BK) must not exceed 20 single-or 40 double-spaced pages, 
exclusive of resumes, forms, etc., typewritten on one side only using 
standard size (8 \1/2\'' x 11'') paper. Applications should neither be 
unduly elaborative nor contain voluminous documentation.
7. Closing Date for Receipt of Applications
    The closing date for receipt of grant applications for Federal 
funds in response to this announcement is July 14, 1998.
    Applications may be mailed or sent by commercial carrier or 
personally delivered to: Grants Management Team; Office of Operations 
Contracts and Grants; Office of Acquisition and Grants; Social Security 
Administration; ATTN: SSA-ORES-98-2; 1-E-4 Gwynn Oak Building; 1710 
Gwynn Oak Avenue; Baltimore, Maryland 21207-5279.
    Hand-delivered applications are accepted during the hours of 8:00 
a.m. to 5:00 p.m., Monday through Friday. An application will be 
considered as meeting the deadline if it is either:

(a) Received on or before the deadline date at the above address; or
(b) 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. 
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. Private metered 
postmarks are not acceptable as proof of timely mailing.

    Applications which do not meet the above criteria are considered 
late applications. SSA will notify each late applicant that its 
application will not be considered.

    Note: Facsimile Copies Will Not Be Accepted.

Notice Procedures

Paperwork Reduction Act

    This notice contains reporting requirements in the ``Application 
Process'' section. However, the information is collected using form 
SSA-96-BK, Federal Assistance, which has Office of Management and 
Budget clearance No. 0960-0184.

Executive Orders 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 Federal 
agencies providing opportunities for consultation with State and local 
elected officials on proposed Federal financial assistance or direct 
Federal development.

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

    Dated: May 7, 1998.
Kenneth S. Apfel,
Commissioner of Social Security.
[FR Doc. 98-12962 Filed 5-14-98; 8:45 am]
BILLING CODE 4190-29-P