Retirement Research Consortium Request for Applications (RFA) Program Announcement No. SSA-ORES-08-01, 18313-18320 [E8-6948]

Agencies

• Social Security Administration

[Federal Register Volume 73, Number 65 (Thursday, April 3, 2008)]
[Notices]
[Pages 18313-18320]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E8-6948]



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SOCIAL SECURITY ADMINISTRATION

[Docket No. SSA-2008-0018]


Retirement Research Consortium Request for Applications (RFA) 
Program Announcement No. SSA-ORES-08-01

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 growing share of older Americans in the population has 
profound long term effects on Social Security. Social Security's Board 
of Trustees projects that the program will be in poor fiscal shape over 
the long term at currently legislated payroll tax and benefit levels as 
a result of demographic changes. Through education and research 
efforts, the Social Security Administration (SSA) is committed to 
addressing these difficulties and ensuring responsive programs and 
sustainable solvency. SSA's research efforts will support informed 
public discussion and creative thinking that relates the principles of 
the program to economic and demographic realities and changing needs 
and preferences of American households.
    As authorized under section 1110 of the Social Security Act, SSA 
announces the solicitation of applications for a cooperative agreement 
to re-compete a Retirement Research Consortium to help inform the 
public and policymakers about Social Security issues. In the first 
year, the Consortium will be composed of one or more research centers. 
The centers will have a combined annual budget of approximately $7.5 
million. SSA expects to fund the centers for a period of 5 years, 
contingent on an annual review process and continued availability of 
funds.

DATES: The closing date for submitting applications under this 
announcement is June 9, 2008. Letters of Intent are due by May 9, 2008.

ADDRESSES: SSA requires that applicants submit an electronic 
application through www.grants.gov for Funding Opportunity Number SSA-
ORES-08-1. The www.grants.gov, ``Get Registered'' Internet page is 
available to help explain the registration and application submission 
process. In addition, new Federal grant applicants may find the 
Grants.gov ``Registration Brochure'' on the above noted Internet page 
to be helpful. If you experience problems with the steps related to 
registering to do business with the Federal Government or application 
submission, your first point of contact is the Grants.gov support staff 
at support@grants.gov, 1-800-518-4726. If your difficulties are not 
resolved, you may also contact the SSA Grants Management Team for 
assistance: Gary Stammer, 410-965-9501; Audrey Adams, 410-965-9469; or 
Mary Biddle, 410-965-9503. If extenuating circumstances prevent you 
from submitting an application through www.grants.gov, please contact 
the SSA Grants Management Team for possible prior approval to download, 
complete and submit an application by mail. Should SSA grant such 
approval, the downloadable application package will be available at 
www.ssa.gov/oag. Please fax inquiries regarding the application process 
to the Grants Management Team at 410-966-9310 or mail to: Social 
Security Administration, Office of Acquisition and Grants, Grants 
Management Team, Attention: SSA-ORES-08-1, 1st Floor--Rear Entrance, 
7111 Security Blvd., Baltimore, MD 21244. To ensure receipt of the 
proper application package, please include program announcement number 
SSA-ORES-08-1 and the date of this announcement.

FOR FURTHER INFORMATION CONTACT: For nonprogrammatic information 
regarding the announcement or application package, contact: SSA, Office 
of Acquisition and Grants, Grants Management Team, 7111 Security Blvd., 
1st Floor--Rear Entrance, Baltimore, MD 21244. Contact persons are: 
Gary Stammer, Grants Management Officer, telephone (410) 965-9501, (e-
mail: Gary.Stammer@ssa.gov); or Mary Biddle, Grants Management Officer, 
telephone (410) 965-9503, e-mail: Mary.Biddle@ssa.gov. The fax number 
is (410) 966-9310.
    For information on the program content of the announcement/
application, contact: Sharmila Choudhury, SSA, Office of Retirement and 
Disability Policy, 500 E St., SW., Room 913, Washington, DC 20254. The 
fax number is (202) 358-6187. The telephone number is (202) 358-6261 
(e-mail: sharmila.choudhury@ssa.gov).

SUPPLEMENTARY INFORMATION: 

Table of Contents

Part I. Funding Opportunity Description
    A. Purpose
    B. The Role of the Center(s)
    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
    4. Reporting
    C. Responsibilities
    1. Center Responsibilities
    2. SSA Responsibilities
Part II. Award Information
    A. Type of Award
    B. Availability and Duration of Funding
    C. Letter of Intent
Part III. Eligibility Information
    A. Eligible Applicants
    B. Cost Sharing or Matching
    C. Other
Part IV. Application and Submission Information
    A. Overview
    B. Availability of Application Forms
    C. Content and Organization of Technical Application
    D. Components of a Complete Application
    E. Guidelines for Application Submission
    F. Submission Date and Times
    G. Funding Restrictions
    H. Other Submission Requirements
Part V. Application Review Information
    A. Review Process and Funding
    B. Selection Process and Evaluation Criteria
Part VI. Award Administration Information
    A. Notification
    B. Award Notices
    C. Administration and National Policy Requirements
Part VII. Agency Contacts
Part VIII. Other

Part I. Funding Opportunity Description

A. Purpose

    As authorized under section 1110 of the Social Security Act, SSA 
announces the solicitation of applications for a cooperative agreement 
to re-compete a Retirement Research Consortium (RRC). SSA seeks 
applications in support of the RRC that will continue to serve as a 
national resource fostering high quality research, communication, and 
education on matters related to retirement policy. The Consortium may 
consist of one or more research centers. The Consortium's program 
purpose is to benefit the public through the following:
    (1) Research, evaluation, and data development. SSA expects the RRC 
to plan, initiate, and maintain a multi-disciplinary research program 
of high quality that will broadly cover retirement and Social Security 
program issues. A portion of the research effort can focus on the 
development of research data sources and providing opportunities to use 
non-publicly available data that can be accessed at restricted-use data 
sites, subject to the rules and requirements of those sites.
    (2) Dissemination. The RRC will disseminate policy research 
findings

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using a variety of media 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 related matters.

B. The Role of the Center(s)

a. Priority Research Areas (PRAs)
    The successful applicant shall develop and conduct a research and 
evaluation program that also appropriately balances dissemination and 
training activities directed toward understanding retirement policy. 
SSA has identified six priority research areas within the realm of 
retirement income policy. Reviewers will score favorably applications 
that feature high quality research projects that address the priority 
areas. The priority research areas are:
    1. Social Security and Retirement: Here we seek to understand how 
Social Security's programs influence the nature and timing of 
retirement and the claiming of benefits, and the impact of changes in 
Social Security program rules on Trust Fund solvency. Examples of 
research topics for this area include new insights on claiming 
behavior, demand and supply of older workers, health and functional 
capacity of older workers with an emphasis on whether older workers can 
work longer given longer life expectancies, early retirement and the 
disability program, retirement decisions of married couples, effects of 
voluntary individual accounts, and implications of changes in the 
Social Security retirement ages and other parameters of the Social 
Security program (e.g., tax rate, benefit amount, benefit computation.)
    2. Macroeconomic Analyses of Social Security: This includes the 
macroeconomic and financial effects of Social Security and changes in 
policy on national saving, investment, and economic growth. 
Macroeconomic analysis also includes, but is not limited to, the 
intertemporal effects on capital formation, retirement savings, and the 
unified budget. Examples of research topics include the study of 
demographic change on saving, effects of national tax policy on Social 
Security Trust funds, and the impact on financial markets of Social 
Security reform.
    3. Wealth and Retirement Income: This area considers the role of 
Social Security in retirement income and wealth accumulation. This area 
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 
include the role of financial literacy in wealth accumulation/
decumulation, the optimal design of retirement investment vehicles, 
effects of 401(k) and 403(b)plans on retirement wealth, measuring 
retiree well-being, and the distribution of retirement income sources 
among subgroups of interest.
    4. Program Interactions: This covers interactions between current 
Old Age and Survivors' Insurance (OASI) and other public or private 
programs, like Disability Insurance (DI), Supplemental Security Income 
(SSI), and Medicare, as well as private pension plans and personal 
saving. Examples of research topics include interactions between 
Veterans' Disability Insurance, SSI and Social Security, reforms to 
promote work among the disabled, understanding retirees' take up of 
Medicare Part D, and in general how changes in the Social Security 
program (e.g., retirement ages, tax rates, benefit amounts, benefit 
computation) might influence applications to the DI or SSI programs.
    5. International Research: The aim here is to learn from other 
countries' social insurance experiences. This includes cross-country 
comparisons of social, demographic, and institutional characteristics 
as well as studies of specific countries as they institute reform. 
Examples of research topics include cross-national comparisons of 
retirement policy reform, health insurance and retirement behavior, and 
pension reform in various countries.
    6. Demographic Research: This area includes changes in mortality, 
fertility, immigration, health, and marital status, and their 
implications for retirement policy. Also included in this area are 
differences in the effects of Social Security policy alternatives among 
workers and beneficiaries by age, race/ethnicity, sex, and occupation. 
Examples of research topics include trends in fertility and mortality, 
labor market behavior of immigrants, marital histories and retirement 
income security, and health limitations and retirement behavior.
    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. 
SSA expects each center to describe its quality assurance process. The 
goal of the Consortium as a whole is to produce high-quality research 
covering the range of objectives discussed above, across 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 that meets 
the highest standards of rigor and objectivity.
    Joint research between Consortium and SSA researchers is 
encouraged, as is collaboration with other organizations interested in 
retirement income policy. 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, SSA also considers it appropriate, for example, to 
engage in activities to make advances in research techniques, where 
these are related to primary objectives of the Consortium.
    SSA recognizes the value of high-quality comprehensive micro-data 
for conducting policy research. The RRC should work to facilitate the 
development of micro-data sources as well as provide researchers with 
opportunities to use non-publicly available data for research purposes 
under secure conditions. Such efforts must adhere to clear privacy 
protection requirements. For example, RRC researchers may be allowed to 
access SSA administrative data, including administrative data files 
that have been linked to surveys sponsored by SSA or other Federal 
agencies, at SSA sites by following the requirements of SSA and those 
other Federal agencies. They may be subject to background checks and 
fingerprinting in accordance with SSA personnel suitability 
requirements. SSA will distribute the necessary forms and consents for 
completion to awardees interested in accessing administrative data at 
SSA sites. RRC researchers can also access restricted data at other 
federal agency restricted data sites, such as those of the Census 
Bureau and the National Center for Health Statistics, subject to the 
rules and restrictions of those sites. Restricted data from the Health 
and Retirement Study can be obtained after meeting their requirements 
for approval.
    Examples of data improvement efforts include improving the quality 
of existing data sources and their documentation; aiding researchers to 
use administrative data extracts at SSA sites for policy-relevant 
research projects; developing sophisticated

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statistical techniques to mask micro-data; and developing new sources 
of data for retirement policy analysis.
    In order to ensure 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 I, Section 
C, Center Responsibilities) shall periodically review the center's 
activities.
    2. Dissemination. Another important feature of each center's 
responsibilities is making knowledge and information available to the 
academic and policy communities and the public. 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 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 among 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 preparing and distributing a bound volume of 
conference papers and related materials to conference participants.
    SSA encourages applicants to propose 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 to educate academics and practitioners on new techniques 
and research findings on issues of retirement policy. SSA expects each 
center 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.
    SSA expects the centers to financially support the training and 
research of young scholars or scholars new to the field of retirement 
research. The RRC should allocate funding in two ways: Dissertation 
fellowships to support graduate students and small research grants to 
support postdoctoral researchers and junior scholars. Applications 
solicited widely and nationally are encouraged. Graduate students 
working with RRC researchers on funded projects as research assistants 
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 work 
plan. The grantee should pay particular attention in the reports to 
achieving any milestones set forth in the work plan, 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.

C. Responsibilities

    1. Center Responsibilities: The centers have the primary and lead 
responsibility to define objectives and approaches; 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. These 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 $40,000. The agency can 
raise the ceiling above $40,000 for quick turnaround projects if both 
need and funds exist.
    Jointly with SSA, each center will select approximately six 
nationally recognized scholars and practitioners who are unaffiliated 
with any 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, all centers' scholars/practitioners will 
meet jointly to evaluate and provide advice on Consortium objectives 
and progress. Further, the centers may contact the scholars/
practitioners throughout the year for suggestions regarding center 
activities. The SSA Project Officer or representative will participate 
in all meetings.
    2. SSA Responsibilities: SSA will be involved with the Consortium 
in jointly establishing research priorities 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 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. 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, 
technical performance requirements are not met, or 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.
    In general, SSA seeks organizations with demonstrated capacity for 
providing quality policy research and training, and working with 
government policymakers.

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Part II. Award Information

A. Type of Award

    All awards made under this program will be made in the form of a 
cooperative agreement. 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. SSA's involvement may include collaboration or 
participation 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, and will be issued 
along with notice of award.
    The grantee must apply to continue the cooperative agreement in 
order to receive funds in subsequent years of the 5-year agreement. The 
grantee will produce a continuation application, subject to review and 
approval by SSA. The continuation application should clearly describe a 
set of research, training, and dissemination activities that best 
address the priorities of SSA. SSA will engage in a dialogue with 
grantees throughout the award period regarding research topics. Based 
on that dialogue, SSA will provide the grantee with guidance (in 
writing) on the agency's research priorities for the subsequent 
continuation cycle.

B. Availability and Duration of Funding

    1. Up to $7.5 million will be available to fund the initial 12-
month budget period of a proposed five-year cooperative agreement(s) 
pursuant to the announcement.
    2. Applicants must include detailed budget estimates for the first 
year.
    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 $7.5 million.
    4. Nothing in this announcement states that the annual funds will 
be divided proportionately among the centers.
    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, 2008.
    Although up to three awards are anticipated, nothing in this 
announcement restricts SSA's ability to make more or fewer 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 $2.75 million per center per year.

C. Letter of Intent

    Prospective applicants are asked to submit by May 9, 2008, 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 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: Sharmila Choudhury, RRC 
Letter of Intent, Office of Retirement and Disability Policy, Social 
Security Administration, 500 E St., SW., ITC Room 913, Washington, DC 
20254-0001. E-mail: Sharmila.Choudhury@ssa.gov.

Part III. Eligibility Information

A. Eligible Applicants

    SSA seeks applications from domestic Institutions of Higher 
Education, Hospitals, Non-Profit organizations, Commercial 
organizations, Federal and State Governments, and Native American 
tribal organizations. 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.
    No cooperative agreement funds may be paid as profit to any 
cooperative agreement recipient. For-profit organizations may apply 
with the understanding that no funds may be paid as profit. 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. Cost Sharing

    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.

C. Other

    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 
Consortium activities. 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 specified 
priority areas must be available. The 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.

Part IV. Application and Submission Information

A. Overview

    This part contains information on the preparation of an application 
for submission under this announcement and the forms necessary for 
submission. Potential applicants should read this part carefully in 
conjunction with the information provided in Part I.
    SSA anticipates 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

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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 D). As part of the annual review process, 
this information will be updated and reviewed to limit duplicative 
funding for center projects.

B. Availability of Application Forms

    The application kit is available at www.grants.gov. For information 
regarding the application package, contact: SSA, Office of Acquisition 
and Grants, Grants Management Team, 7111 Security Blvd., 1st Floor Rear 
Entrance, Baltimore, MD 21244. Contact persons are: Gary Stammer, 
Grants Management Officer, telephone (410) 965-9501, (e-mail: 
Gary.Stammer@ssa.gov); or Mary Biddle, Grants Management Officer, 
telephone (410) 965-9503, e-mail: Mary.Biddle@ssa.gov. The fax number 
is (410) 966-9310. To request an application kit for those without 
Internet access or for those experiencing extenuating circumstances 
preventing the submission of an electronic application, contact the 
Grants Management Office as mentioned above.
    When requesting an application kit, the applicant should refer to 
the program announcement number SSA-ORES-08-1 and the date of this 
announcement to ensure receipt of the proper application kit.

C. Content and Organization of Technical Application

    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.
    Budget Narrative: In addition to providing an explanation of the 
budget categories specified in the required forms, the budget narrative 
must also link 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 I, 
Section C-1).
    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.
    Project Narrative: The core of the application must contain five 
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 issues.
    (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 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. The prospectus 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 
I, Section B-b, 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. The application should specify how administrative 
arrangements would be made to minimize start-up and transition delays. 
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

[[Page 18318]]

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 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. 
The staffing proposal 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 I, Section C-1).
    The application should provide 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. The discussion 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.

D. Components of a Complete Application

    A complete application package consists of one electronic 
application. It should include the following items:
    1. Project Abstract/Summary (not to exceed three pages);
    2. Table of Contents;
    3. Part I (Face Sheet)--Application for Federal Assistance 
(Standard Form 424);
    4. Part II--Budget Information--
    a. Form SF-424A--Sections A through F
    b. Form SSA SF-424 Section G--Personnel
    5. Budget Narrative for Section B--Budget Categories;
    6. Copy of the applicant's approved indirect cost rate agreement, 
if appropriate;
    7. Part III--Project Narrative. The project narrative should be 
organized in five sections:
    (1) Background Analysis,
    (2) Research, Evaluation, and Data Development Prospectus,
    (3) Dissemination Prospectus,
    (4) Training and Education Prospectus,
    (5) Staffing Proposal Including Staff Utilization, Staff 
Background, and Organizational Experience.
    8. Assurances--Form SF-424B;
    9. Disclosure of Lobbying Activities, Form SF-LLL, if applicable.
    10. Any appendices/attachments.

E. Guidelines for 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.
--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.
--Length: Applications should be as brief and concise as possible, but 
assure successful communication of the applicant's proposal to the 
reviewers. The Project Narrative portion of the application may not 
exceed 150 double spaced pages (excluding the resume and outside 
funding appendices), equivalent to being 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.
--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 sub 
grantees or subcontractors.

F. Submission Dates and Times

    Applicants must submit applications through www.grants.gov by the 
closing date of June 9, 2008. However, when the SSA Grants Management 
Team approves the submission of a mailed application due to extenuating 
circumstances, applications may be mailed or hand-delivered to: Social 
Security Administration, Office of Acquisition and Grants, Grants 
Management Team, Attention: SSA-ORES-08-1, 1st Floor-Rear Entrance, 
7111 Security Blvd., Baltimore, MD 21244. 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:
     Received from Grants.gov on or before the deadline date; 
or
     Received at the above address on or before the deadline, 
when a mailed application has been authorized by the Grants Management 
Team; or
     Postmarked by June 9, 2008 when a mailed application has 
been authorized by the Grants Management Team. Packages approved for 
mailing must be sent through the U.S. Postal Service or by commercial 
carrier on or before the deadline date and received in time to be 
considered during the competitive review and evaluation process. 
Applicants are cautioned to request a legibly dated U.S. Postal Service 
postmark or to obtain a legibly dated receipt from a commercial carrier 
as evidence of timely mailing. Private metered postmarks are not 
acceptable as proof of timely mailing.
    Applications 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.
    Letters of intent, which are optional, are requested by May 9, 
2008. See Part II, Section C for details.

G. Funding Restrictions

    There will be limitations concerning allowable construction 
expenses. Submitted budgets may include minor construction expenses, 
such as alterations and renovations. This could include work required 
to change the interior arrangements or other physical characteristics 
of an existing facility or installed equipment so that it may be more 
effectively used for the project. Alteration and renovation may include 
work referred to as improvements, conversion, rehabilitation, 
remodeling, or modernization, but is distinguished from construction 
and large scale permanent improvements.
    Awards will not allow reimbursement of pre-award costs.

[[Page 18319]]

H. Other Submission Requirements

    SSA requires applicants to submit an electronic application through 
www.grants.gov for Funding Opportunity Number SSA-ORES-08-1. If you 
experience problems with application submission, your first point of 
contact is the Grants.gov support staff at support@grants.gov, 1-800-
518-4726. If your difficulties are not resolved, you may also contact 
the SSA Grants Management Team for assistance: Gary Stammer, 410-965-
9501; Audrey Adams, 410-965-9469; or Mary Biddle, 410-965-9503. If 
extenuating circumstances prevent you from submitting an application 
through www.grants.gov, please contact the SSA Grants Management Team 
for possible prior written approval to download, complete and submit an 
application by mail. When such approval is granted, the downloadable 
application package will be available at www.ssa.gov/oag. The address 
for pre-approved mailed applications is: Social Security 
Administration, Office of Acquisition and Grants, Grants Management 
Team, Attention: SSA-ORES-08-1, 1st Floor-Rear Entrance, 7111 Security 
Blvd., Baltimore, MD 21244. To ensure receipt of the proper application 
package, please include program announcement number SSA-ORES-08-1 and 
the date of this announcement.

Part V. Application Review Information

A. 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 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 at www.grants.gov by June 9, 2008 for preparing 
applications requesting funding under this cooperative agreement 
announcement. These guidelines describe the minimum amount of required 
project information. However, when completing the Project Narrative, 
please follow the guidelines under Part IV, Section C, above.
    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. 
Additional details regarding safeguarding of Personally Identifiable 
Information are available in the SSA Grants Administration Manual, 
Section 3-10-60, available at https://www.ssa.gov/oag/grants/ssagrant_
info.htm.

B. Selection Process and Evaluation Criteria

    The evaluation criteria correspond to the outline for the 
development of the Budget and Project Narrative Statement of the 
application described in Part IV, Section C, above. The application 
should be prepared in the format indicated by the outline described in 
the components of a complete application (Part IV, Section D).
    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:
    (1) Quality of the background analysis. (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 issues and how these 
are tied to their proposed research agenda.
    (2) Quality of the research and evaluation prospectus. (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 I, Section B, part a. The discussion 
and research proposed must address at least three priority research 
areas, preferably with a multi-disciplinary approach. 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. 
Besides detailed plans for research projects in the first year, the 
research agenda should discuss possible projects over the longer five-
year horizon. Reviewers will rate applications on the contents of the 
plans to conduct policy relevant research.
    (3) Dissemination. (15 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.
    (4) Training. (10 points)
    The evaluation of the training and education 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. An approach that solicits applications 
widely and from across the nation is encouraged. In addition, reviewers 
will evaluate proposed strategies for educating and training 
policymakers and practitioners on issues of retirement.
    (5) Quality of the staffing proposal and proposed administration. 
(15 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

[[Page 18320]]

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. 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.
    (6) Appropriateness of the budget for carrying out the planned 
staffing and activities. (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 that 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 I.

Part VI. Award Administration Information

A. Notification

    Grants.gov will issue application receipt acknowledgements.

B. Award Notices

    Applicants who have been selected will receive an official 
electronic notice of award signed by an SSA Grants Management Officer 
around September 15, 2008. Those who were not selected will be notified 
by official letter.

C. Administration and National Policy Requirements

Executive Order 12372 and 12416--Intergovernmental Review of Federal 
Programs
    This program is not covered by the requirements of Executive Order 
(E.O.) 12372, as amended by E.O. 12416, relating to the Federal policy 
for consulting with State and local elected officials on proposed 
Federal financial assistance.

VII. Agency Contacts

    For matters related to the application and submission process for 
this cooperative agreement, contact Grants Management Officer, Gary 
Stammer at (410) 965-9501 or gary.stammer@ssa.gov, or Mary Biddle, 
Grants Management Officer, at (410) 965-9503 or Mary.Biddle@ssa.gov. 
The mailing address is SSA, Office of Acquisition and Grants, Grants 
Management Team, 7111 Security Blvd., 1st Floor, Rear Entrance, 
Baltimore, MD 21244. The fax number is (410) 966-9310.
    For program content information, contact the RRC Project Officer, 
Sharmila Choudhury at (202) 358-6261 or sharmila.choudhury@ssa.gov. The 
mailing address is SSA, Office of Retirement and Disability Policy, 500 
E St., SW., Room 913, Washington, DC 20254. The fax number is (202) 
358-6187.

VIII. Other

    This announcement is for the re-competition of the RRC. The 
cooperative agreement for the RRC currently in place was awarded in 
2003 and will expire in September 2008.
    Along with the official notice of award each year, SSA will issue a 
set of Terms and Conditions that define closely the responsibilities of 
the center and SSA towards meeting the goals of the cooperative 
agreement.
    An Annual Priority Research Memo will also be issued each year 
before the start of the continuation cycle to guide the centers in 
preparing their continuation applications.
    SSA is committed to accessibility of its products to persons with 
disabilities. Each center's Web site should meet accessibility 
standards identified in Section 508 of the Rehabilitation Act. The 
annual conference also should be accessible to persons with 
disabilities.
    Additional information on how SSA sponsors grants and other details 
may be found on the Grants Home page at  https://www.ssa.gov/oag.

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

    Dated: March 21, 2008.
Michael J. Astrue,
Commissioner of Social Security.
 [FR Doc. E8-6948 Filed 4-2-08; 8:45 am]
BILLING CODE 4191-02-P