[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

[[Page 20419]]

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

[[Page 20420]]

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

[[Page 20422]]

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

[[Page 20423]]

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