[Federal Register Volume 64, Number 198 (Thursday, October 14, 1999)]
[Notices]
[Pages 55797-55805]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-26676]


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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.

[[Page 55798]]

    (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

[[Page 55799]]

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

[[Page 55800]]

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

[[Page 55801]]

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,

[[Page 55802]]

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