[Federal Register Volume 59, Number 128 (Wednesday, July 6, 1994)] [Unknown Section] [Page 0] From the Federal Register Online via the Government Publishing Office [www.gpo.gov] [FR Doc No: 94-16284] [[Page Unknown]] [Federal Register: July 6, 1994] ----------------------------------------------------------------------- DEPARTMENT OF HEALTH AND HUMAN SERVICES Social Security Administration Federal Old-Age, Survivors, and Disability Insurance [Program Announcement No. SSA-ORS- 94-1] AGENCY: Social Security Administration, HHS. ACTION: Announcement of the availability of fiscal year 1994 funds for Section 1110 research grants. ----------------------------------------------------------------------- SUMMARY: The Social Security Administration (SSA) announces that competing applications will be accepted for new research grants authorized under Section 1110 of the Social Security Act. This announcement, consisting of three parts, describes the nature of the grant activities and gives notice of the anticipated availability of fiscal year (FY) 1994 funds in support of the proposed activities. Part I discusses the purpose of the announcement and briefly describes the application process. Part II describes the programmatic priorities under which SSA is soliciting applications for funding. Part III describes the application process and provides guidance on how to submit an application. DATES: The closing date for the receipt of grant applications in response to this announcement is September 6, 1994. FOR FURTHER INFORMATION OR BACKGROUND MATERIAL CONTACT: Ms. Faye Aziz, Coordinator for Extramural Research; Office of Research and Statistics; Social Security Administration; Van Ness Center, room 205; 4301 Connecticut Avenue, NW., Washington, DC 20008; telephone (202) 282- 7215. Part I. Purpose and the Grants Process A. Program Purpose This research is intended to add to existing knowledge and to improve methods and techniques for the management, administration, and effectiveness of SSA programs. Professionals in actuarial science, demography, economics, sociology and related fields are potential users of the results. In general, SSA will fund types of projects that relate to or examine: 1. Women's issues, especially aged women in poverty. 2. Economic and demographic assumptions used in making projections for the Old Age, Survivors, and Disability Insurance (OASDI) Trust Funds. 3. Issues related to an increase in the retirement age. 4. Issues, using the New Beneficiary Data System, on how aged individuals become poor and how the economic status of individuals with disabilities and their families change. 5. Issues related to differences in calculated poverty rates between the Survey of Income Program Participation (SIPP) and the Current Population Survey (CPS). B. FY 1994 Grant Process The grant application process for FY 1994 will consist of a one- stage, full application. Applications are limited to 20 single- or 40 double-spaced pages (excluding resumes, forms, etc.) and must relate to the selection criteria established for review of applications. Priority areas in this announcement permit applicants to propose research efforts from 12 to 24 months in duration. In item 11 of the Face Sheet (page 1 of form SSA-96-BK) indicate the priority area under which the application is submitted, i.e., ORS-94-001, ORS-94-002, etc. Part II. Priority Research Areas In particular, the following projects will be considered for funding: A. Economic Circumstances of Aged Widows--ORS-94-001 A high proportion of the elderly who are economically vulnerable are widowed women. Although as a group they experience one of the highest rates of poverty, approximately three-quarters of widows aged 65 or older are not poor. Data from the SIPP provide an opportunity to understand the economic circumstances of aged widows and to identify those factors that are associated with their late-life poverty. Proposals are sought for SIPP-based research that conducts two types of analyses of the poverty of aged widows. The first of these tasks is to provide a comprehensive description of the personal, financial, and environmental characteristics of poor elderly widows. These characteristics will include details of income amounts and specific sources, assets, personal and household characteristics (e.g., age, race, education, work history, fertility history, welfare recipiency history, health status, urban vs rural location, age at which widowhood occurred). This descriptive material should compare and contrast the incidence of poverty and its circumstances for aged widows with similar measures for single elderly women who have never married, aged married women, and, where sample size permits, elderly divorced women. The second task is to simulate the resulting economic scenario for married women aged 65 or older in the event of the death of their husbands. This will involve projecting the time path of income and assets for the widow, given the couple's economic circumstances at time of the SIPP interviews. The hypothetical widow's income should be based on Social Security and Supplemental Security Income program rules, any pension income she has earned in her own right, whether a husband with public or private pension rights has elected a survivor's option, asset income, the couple's life insurance holdings, and so forth. It is expected that, where possible, the economic status of the couple prior to the husband's death will be related to factors such as lifetime work experience of each spouse, current health status and health insurance coverage, etc. In addition, various scenarios for asset decumulation associated with health expenditures brought on by the husband's death might be introduced to account for reduced assets subsequently available to the surviving spouse [See Linda Del Bene and Denton R. Vaughan, ``Income, Assets and Health Insurance: Economic Resources for Meeting Acute Health Care Needs of the Aged,'' Social Security Bulletin, Spring 1992]. We are interested in learning how the economic status of aged widows compares with their circumstances prior to the husband's death, whether particular background factors can be used to predict which married women are particularly at risk of poverty in their old age, and how the incomes and assets of widows change as the duration of widowhood increases. Grant proposals must be based on well-developed rigorous analysis. Applications may be submitted for multi-year funding not to exceed 24 months in duration. The applications for multi-year funding should include a budget for the first budget period (not to exceed 12 months). If the application is approved, a grant will be awarded for the initial 12-month budget period. Funding will subsequently be provided for an additional 12- month budget period dependent on satisfactory performance of the initial budget period, continued relevance of the project, and the availability of FY funds. It is anticipated that an amount up to $100,000 will be allocated to fund one project under this priority area for the initial 12-month budget period. B. Selected Economic and Demographic Assumptions Used to Project the Financial Status of the OASDI Trust Funds--ORS-94-002 The annual reports of the Board of Trustees of the Federal OASDI Trust Funds contain long-range, 75-year projections on the financial status of the trust funds. The assumptions and methodology underlying those projections were reviewed by the Panel of Technical Experts (the Panel) convened by the quadrennial Advisory Council on Social Security and recommendations for research were made. (The ``Social Security Technical Panel Report to the 1991 Advisory Council on Social Security'' and its appendices were reprinted in the November and December 1990 issues of the Social Security Bulletin.) To address some of the Panel's recommendations for research, the principal topics of this priority are to better understand: (i) the determinants of changes in productivity and earnings, and how to develop better methods of projecting future productivity and earnings; (ii) the determinants of nominal and real interest rates and of how to project them; (iii) the determinants of fertility and how to project future fertility rates; (iv) the determinants of mortality and how to project future mortality rates; (v) the analysis of illegal immigration and how to project such immigration; and (vi) the conceptual framework for the current low-cost and high-cost projections. Among the questions to be addressed on productivity and earnings are: What are the determinants of linkages between productivity and earnings, particularly hours of work and fringe benefits? What are the effects of the changing quality (including the question of measuring quality) and demographic mix of the labor force? What are the effects of research and development by both the public and the private sectors? What are the effects of capital formation by the public sector (e.g., public infrastructure) and by the private sector? What is the effect of the increasing integration of U.S. and foreign markets? Are there analytical methods or strategies for selecting which averaging periods are most appropriate in determining the various economic assumptions? What is the long-term relationship, if any, between productivity and earnings and other economic and demographic factors? Among the questions to be addressed on nominal and real interest rates are: To what extent can the current structure of interest rates be used to predict future interest rates? What are the determinants of inflation and are there analytical methods for projecting future inflation rates? What strategies are optimal for incorporating both historical and current interest rate information into the projections? What is the long-term relationship, if any, between nominal and real interest rates and other economic and demographic variables? Among the questions to be addressed on fertility patterns in this priority area are: What are the determinants of fertility and changes in fertility? What is the relationship between age at first birth and the total fertility rate? How do birth rates of immigrants and of their children compare with those of non-immigrants and their children? Will future trends in fertility rates by race and ethnic group mirror past trends? For assumptions used in projecting fertility, can an analytical framework be developed to help decide how much weight to put on long- term trend information and how much weight to put on the most recent trends? Is there empirical evidence supporting alternative weighting schemes? Among those questions to be addressed on mortality are: What are the determinants of mortality and rates of change in mortality? What evidence is there for projecting changes in mortality for specific causes (e.g., cancer, heart, etc.) based on changes in smoking, nutrition, and other lifestyle patterns? For assumptions used in projecting mortality, can an analytical framework be developed to help decide how much weight to put on long-term trend information and how much weight to put on the most recent trends? Is there empirical evidence supporting alternative weighting schemes? Among the questions to be addressed on illegal immigrants are: Estimates of current numbers, labor-force participation rates, and rates of immigration of illegal immigrants; analysis of factors likely to affect future immigration rates of illegal immigrants and projections based on this analysis; the length of coverage and average earnings of illegal immigrants and the length of time they remain in the country; and the extent to which illegal immigrants receive benefits based upon their coverage under the system. Among the questions to be asked with respect to the conceptual framework for the current low-cost and high-cost projections are: Although theoretically, the current low-cost and high-cost projections represent a collection of extreme values for each of the variables, how should these bounds be interpreted--as absolute bounds on what could possibly happen, as confidence levels, as illustrative alternative projections, or as sensitivity analyses? (Attention should be given to the way in which rates of inflation are incorporated into the low-cost and high-cost projections.) Should the projections incorporate interrelationships among the economic and demographic variables (for example, among others, interactions among fertility, marital status, labor force participation, and birth expectations), and if so, which interrelationships are critical, and how should they be incorporated? Grant proposals must be based on well-developed rigorous analysis. Applications may be submitted for multi-year funding not to exceed 24 months in duration. The applications for multi-year funding should include a budget for the first budget period (not to exceed 12 months). If the application is approved, a grant will be awarded for the initial 12-month budget period. Funding will subsequently be provided for an additional 12- month budget period dependent on satisfactory performance of the initial budget period, continued relevance of the project, and the availability of FY funds. It is anticipated that up to $240,000 will be allocated to fund one or more projects under this priority area for the initial 12-month budget period. C. Issues Related to the Scheduled Increase in the Retirement Age--ORS- 94-003 The Social Security Amendments of 1983 (Public Law 98-21) provide for a gradual increase in the age at which unreduced retired-workers benefits are first payable (for brevity, the retirement age) from 65 to 67 between the years 2000 and 2027. Benefits for retired workers still will be available at age 62, but the amount payable will be gradually reduced from the currently payable 80 percent of the unreduced benefit to 70 percent. It has further been proposed to speed up the phase-in to a higher retirement age, and to increase the retirement age to 68 (70 in one proposal). At least one proposal also increases the early retirement age to 65. (The executive summary of the report mandated by Congress and consultant reports were reprinted in the October 1986 and February 1987 issues of the Social Security Bulletin.) 1. The increase in retirement age is based on the assumption that the increase in life expectancy has been accompanied by a corresponding improvement in health and capacity to work. But past studies are inconclusive about the relationship between longevity and work ability, especially among persons in their sixties. Proposals are sought to further investigate these relationships, using either new approaches, more current data, and/or new databases. One possible approach would be to use microdata collected by the National Health Interview Survey (NHIS) to examine trends in health and ability to work. Data should be presented for subgroups of major interest for the retirement age issue (both early and normal retirement), subject to sampling error problems. A wide range of variables that measure health and ability to work should be included. 2. The retirement-age increase may also impact on the Social Security Disability Insurance (DI) program. Studies are needed to address questions such as: (i) what is the expected impact on the number of DI beneficiaries and their duration on the rolls and on the DI Trust Fund; (ii) how many workers would qualify for DI benefits at age 65 and 66 and how many would elect to receive benefits; and (iii) among those aged 62-64 who do not now elect to apply for DI benefits, how many might do so because of the additional reduction in benefits for early retirement that accompanies a retirement-age increase (including the elimination in some proposals of early benefits for workers aged 62-64)? Grant proposals must be based on well-developed, rigorous analysis. Applicants may submit applications for funding not to exceed 17 months in duration. The applications should include a budget for the total period of the grant (not to exceed 17 months). If the application is approved, a grant will be awarded for the entire budget period of the grant. It is anticipated that up to $190,000 will be allocated to fund one or more projects for up to 17 months under this priority area. D. Analyses of the New Beneficiary Data System--ORS-94-004 This project is intended to encourage research with the New Beneficiary Data System (NBDS) developed by SSA over the past decade to study the changing circumstances of aged and disabled beneficiaries. Based initially on a survey of new beneficiaries at the beginning of the 1980's, the dataset has been expanded with information from administrative records (on benefits, covered earnings, Supplemental Security Income, and Medicare) and followup interviews with survivors from the original survey. With the exception of the Medicare records, all administrative data have been obtained both for respondents and spouses. The original sample contained representative samples of new Social Security beneficiaries who filed for benefits as retired workers, disabled workers, wives, widows, divorced wives, and surviving divorced wives. There was also a representative sample of persons aged 65 and over who were entitled to Medicare benefits but who had not yet received Social Security cash benefits. The aged sample was, for the most part, in its mid- to late-60's in 1982 and in its mid- to late- 70's in 1991. Some of the sample members were affected by the ``notch'' that was created when legislation was enacted to correct for an overcompensation in the benefit formula for inflation. The original interview covered a wide range of topics, including demographic characteristics, marital and childbearing history, employment history, current income (in the format of the SIPP) and assets, and health. The followup interview, in addition to asking many of the same questions as the original interview, collected a history of critical events since 1982 (such as widowhood or divorce, work cessation, migration, and the sale of the home) and the financial impact of these critical events. The original health items of work disability, functional capacity, and presence of major diseases were expanded to assess specific Activities of Daily Living and Instrumental Activities of Daily Living, private health insurance provisions, and the longest experience in a long-term care facility. Disabled workers who returned to work were asked about their job search experience, employer accommodations to their disability, and their use of vocational and rehabilitation services. Background material and a compilation of reports based on the 1982 New Beneficiary Survey are available. These reports were also published in various editions of the Social Security Bulletin from 1983 to 1993. Using the NBDS, the following projects will be considered for funding: 1. Understanding How Aged Beneficiaries Become Poor Although poverty rates among the aged have declined substantially over the last 30 years, there are still some troublesome problems and poverty among aged women is a particular concern. Various legislative proposals have been made or discussed to improve the treatment of women under the Social Security program, including care-giving credits, increasing benefits at some age, eliminating the actuarial reduction for early benefit receipt at some age, modifying the Social Security special minimum benefit, and redesigning couple benefits in order to enhance survivor benefits. However, many of the proposals are not well targeted to the poor. Proposals for research are sought to increase our understanding of why aged beneficiaries, and especially aged women, become poor, which will improve our ability to form policy in this area. Some of the key research questions are: To what extent is aged poverty a continuation of a lifetime of low income? To what extent is aged poverty a result of aged couples decumulating assets as they age? What are the economic effects of widowhood, including the extent to which sources of income are lost or reduced, and the extent to which high health care expenditures surrounding the death of a spouse are a major cause of high poverty rates among the aged who have become widowed? Is the type of social security benefit received (retired worker benefits, wife or widow benefits, worker benefits that are supplemented because of entitlement to a higher spouse or survivor benefit and those that are not, retirement benefits that were converted from a disability benefit at age 65 and those that were not) related to differing poverty rates in 1982, and are those patterns the same among beneficiaries 10 years later? How different is the role of major sources of income (including social security, other pensions, asset income, earnings, and Supplemental Security Income--an SSA-administered ``safety net'' program) in 1991 than it was in 1982? 2. Changing Economic Status of Individuals With Disabilities and Their Families We know that newly disabled individuals in 1982 were less well-off than newly retired individuals in terms of both income and assets. However, little or no research has been done to follow disabled individuals over time to determine whether they have particular problems maintaining an adequate standard of living. The well-being of many individuals with disabilities depends not only on their own income but also on the income and/or services provided by family members, such as the earnings of spouses, or help with activities of daily living that may mean the difference between living in the community and having to be institutionalized. Among the questions to be addressed are: How adequate are the income and assets of individuals with disabilities just after benefit receipt and 10 years later? To what extent do disabled individuals maintain their economic status over this period of time? What factors are associated with changes in economic status over the period? How do family members affect the economic status of disabled workers? Analyses should include background factors (such as demographic characteristics, previous occupational characteristics and earnings, living arrangements, family characteristics, and health conditions), major changes in life circumstances (such as widowhood or divorce, changes in living arrangements, or a spouse changing hours of work or retiring), sources of income, changes in the health status, and health- care costs and how these factors relate to various economic outcomes. Proposals should identify the expected methods of analysis, the possible variables to be considered, and the logic for inclusion. Application may be submitted for multi-year funding not to exceed 24 months in duration. The applications for multi-year funding should include a budget for the first budget period (not to exceed 12 months). If the application is approved, a grant will be awarded for the initial 12-month budget period. Funding will subsequently be provided for an additional 12- month budget period dependent on satisfactory performance of the initial budget period, continued relevance of the project, and the availability of FY funds. It is anticipated that up to $190,000 will be allocated to fund one or more projects for the initial 12-month budget period under this priority area. E. Documenting and Explaining SIPP-CPS Differences in Aged Poverty Rates--ORS-94-005 The official poverty measure and its three derivative statistics (poverty counts, poverty rates and poverty gaps) are important and frequently used criteria employed in the formulation of policy and the evaluation of program outcomes for the aged and disabled populations served by SSA. Twelve-month poverty rates based on the SIPP are somewhat lower for many population subgroups than the poverty rates estimated from the CPS. Much of the comparison of poverty rates from the two surveys has been based on the first operational SIPP panel (the 1984 panel) which pertained to the 1983-85 time period. In the 1984 panel context, SIPP- CPS poverty rate differences for the aged, were, if anything, less marked than for younger age groups. Based on a review of published poverty rate estimates based on SIPP panels for 1985-1990 and comparison to corresponding estimates based on the CPS, it appears that a significant change in the pattern of SIPP-CPS differences in poverty rates appeared with the introduction of the 1985 SIPP panel. Key features of the change in the pattern of SIPP-CPS differences in poverty rates include: 1) a modest decline in the poverty rate for all ages in the SIPP relative to the CPS; 2) a much more marked SIPP-CPS difference in poverty rates for the aged than the nonaged (with SIPP rates for the aged ranging between 28 and 34 percent below those based on the CPS); 3) a marked attenuation of the tendency for poverty rates to increase strongly with age among those age 65 and older in the SIPP context as compared with the CPS. Furthermore, preliminary research conducted at SSA indicates that SIPP--CPS poverty rate differences among the aged appear to vary significantly by sex, age, marital status, race and ethnicity; differences appear to be particularly marked for persons who are married, white, or age 85 or older. Studies are needed (1) to describe more fully the pattern of SIPP-- CPS differences in poverty estimates for the aged, and (2) to establish, if possible, the factors giving rise to the observed differences. SIPP-CPS differences should be delineated for population subgroups defined in terms of salient characteristics such as marital status, more broadly defined aspects of family composition, including the presence of nonaged family members, age, race and ethnicity. Differences should, at a minimum, be characterized in terms of poverty counts, rates, and the poverty gap. Particular attention should be given to evaluating possible differences between the two surveys in the portrayal of poverty as it relates to increasing age. Given that the pattern of poverty by population subgroup is of particular interest, the relatively small sample size available in single SIPP panels as compared with the CPS is likely to be of some concern. If, as is suggested by review of published estimates, it can be shown that the basic patterns of SIPP-CPS differences are stable across the post-1984 SIPP panels, serious consideration should be given to pooling the post- 1984 panels in order to support as detailed a subgroup analysis as is possible, given the substantially larger sample sizes available from pooled samples. If the combining of SIPP panels seems feasible, the combined panels should be employed to support the explanatory phase of the overall study, as well. After developing a plan for documenting more fully SIPP-CPS differences in the portrayal of poverty among the aged, the grantee might discuss how the observed differences might be explained. In this regard a critical review of the literature that has considered the differences between poverty rate estimates from the Panel Study of Income Dynamics (PSID) and the CPS might prove quite useful in generating hypotheses and in formulating empirical approaches to testing the hypotheses. While several possible factors are likely to be suggested by this review (e.g., sample weighting, particularly that component of the overall weighting scheme designed to deal with panel attrition; differing operationalizations of the income unit; differing income concepts; and the quality of income data), emphasis in empirical work should be given to the last factor, the relative quality of the income data from the two surveys. However, some attention could also be given to the change in SIPP-CPS differences in poverty estimates that occurred with the introduction of the 1985 SIPP panel.1 The nature of each hypothesized factor to be considered and how it might cause the observed pattern of SIPP-CPS differences might be described. A closely reasoned plan for empirically assessing the possible impact data quality on the differences in SIPP-CPS poverty rates for the aged may be presented. Particular emphasis should be given to explaining the relevance of each proposed test for clarifying the observed pattern of SIPP-CPS differences, notwithstanding the fact that it may not be possible to devise fully unambiguous tests of the effects of income data quality on the observed SIPP-CPS differences. --------------------------------------------------------------------------- \1\The prospective grantee will find it useful to consult recent work conducted by the Bureau of the Census comparing income estimates for calendar year 1990 from the two surveys and Report no. 17, Studies in Income Distribution, for similar material related to SIPP/CPS differences for the 1983-84 period. Recent work conducted at the Bureau of the Census by Lamas, Tin and Eargle about the effect of attrition in the SIPP context on differences in SIPP-CPS poverty rates should also be consulted. --------------------------------------------------------------------------- Given the level of available funding, empirical work should be limited to describing the pattern of SIPP-CPS differences in poverty estimates (rates, counts, and gaps). As much of the study will revolve around comparison of alternative estimates within or between survey contexts, issues of statistical inference also need to be given careful consideration. In particular, given the results of SSA research on the variance properties of SIPP- based estimates of the aged, standard errors for SIPP estimates should be based on the generalized variance parameters as estimated by SSA (see the note by Bye and Gallicchio appearing in the winter 1993 Social Security Bulletin) or calculated directly from the survey file using the methods outlined in the Bye-Gallicchio article. Grant proposals must be based on well-developed, rigorous analysis. Applicants may submit applications for funding not to exceed 17 months in duration. The applications should include a budget for the total period of the grant (not to exceed 17 months). If the application is approved, a grant will be awarded for the entire budget period of the grant. It is anticipated that an amount up to $135,000 will be allocated to fund one or more projects for up to 17 months under this priority area. Note: To foster the sharing of research, principal investigators for each grant awarded will be required to (1) include in the final report an executive summary which SSA could publish in the quarterly Social Security Bulletin and (2) discuss the results of their research with SSA staff. Funds should be included in the grant budget for a meeting at the SSA Office of Research and Statistics, Washington, DC. Part III. Application Process A. Eligible Applicants Any State or local government, public or private organization, nonprofit or for-profit organization, or agency, hospital, or educational institution may apply for a grant under this announcement. Applications will not be accepted from applicants which do not meet the above eligibility criteria at the time of submission of applications. Individuals are not eligible to apply. For-profit organizations may apply with the understanding that no grant funds may be paid as profit to any grant recipient. Profit is considered as any amount in excess of the allowable costs of the grant recipient. A for-profit organization is a corporation or other legal entity which is organized or operated for the profit or benefit of its shareholders or other owners and must be distinguishable or legally separable from that of an individual acting on his/her own behalf. B. Availability and Duration of Funding SSA anticipates allocating up to $100,000 to fund the initial 12- month budget period of a 24-month grant for one project in priority area ORS-94-001, ``Economic Circumstances of Aged Widows.'' SSA anticipates allocating up to $240,000 to fund the initial 12-month budget period for one or more projects in priority area ORS-94-002, ``Selected Economic and Demographic Assumptions Used to Project the Financial Status of the OASDI Trust Funds.'' SSA anticipates allocating up to $190,000 to fund one or more projects not to exceed 17 months in duration in priority area ORS-94-003, ``Issues Related to the Scheduled Increase in the Retirement Age.'' SSA anticipates allocating up to $190,000 to fund the initial 12-month budget period of 24-month grants for one or more projects in priority area ORS-94-004, ``Analysis of the New Beneficiary Data System.'' Also, SSA anticipates allocating up to $135,000 to fund one (1) or more projects not to exceed 17 months in duration in priority area ORS-94-005, ``Documenting and Explaining SIPP-CPS Differences in Aged Poverty Rates.'' C. Grantee Share of the Project Costs Grant recipients receiving assistance to conduct these research projects are expected to contribute towards the project costs. Generally, 5 percent of the total costs is considered acceptable. No grant will be awarded that covers 100 percent of the project's costs. D. The Application Process for Proposals Requesting Grant Funds Organizations wishing to compete for grants under this announcement must submit an application by September 6, 1994. Applications received in response to this announcement will be reviewed by Federal and non- Federal personnel. Successful applicants may expect funding during the fourth quarter of FY 1994 (prior to September 30, 1994). 1. Availability of Application Forms Application kits which contain the prescribed application forms for grant funds are available from the Grants Management Staff; Division of Contract and Grant Operations; Office of Acquisition and Grants; Social Security Administration; 1-E-4 Gwynn Oak Building; 1710 Gwynn Oak Avenue; Baltimore, MD 21207; telephone (410) 965-9500; Mr. Lawrence H. Pullen, Chief, Grants Management Staff. When requesting an application kit, the applicant should refer to program announcement number SSA-ORS-94-1 and the date of this announcement to ensure receipt of the proper application kit. 2. Additional Information For additional information concerning project development, please contact Ms. Faye Aziz, Coordinator for Extramural Research; Office of Research and Statistics; Social Security Administration; Van Ness Center, Room 205; 4301 Connecticut Avenue, NW; Washington, DC 20008; telephone (202) 282-7215. 3. Application Submission All applications requesting Federal grant funds must be submitted on the standard forms provided by the Grants Management Staff. The application shall be executed by an individual authorized to act for the applicant organization and to assume for the applicant organization the obligations imposed by the terms and conditions of the grant award. As part of the project title (page 1 of the application form SSA- 96-BK, item 11), the applicant must clearly indicate the application submitted is in response to this announcement (SSA-ORS-94-1) and must show the appropriate priority area project identifier (i.e., ORS-94- 001, ORS-94-002 etc.). Applications must be submitted to: Grants Management Staff; Division of Contract and Grant Operations; Office of Acquisition and Grants; Social Security Administration; 1-E-4 Gwynn Oak Building; 1710 Gwynn Oak Avenue; Baltimore, MD 21207. 4. Application Consideration Applications are initially screened for relevance to this announcement. If judged irrelevant, the applications are returned to the applicants. Applications that conform to the requirements of this program announcement will be reviewed and evaluated against the criteria specified in No. 6(b) of this announcement and evaluated by Federal and non-Federal personnel. The results of this evaluation will assist SSA in selecting the applications to be funded. 5. Application Approval Grant awards will be issued within the limits of Federal funds available following the approval of the applications selected for funding. The official award document is the ``Notice of Grant Award.'' It will provide the amount of funds awarded, the purpose of the award, the budget period for which support is given, the total project period for which support is contemplated, the amount of grantee financial participation, and any special terms and conditions of the grant award. 6. Criteria for Screening and Reviewing of Applications (a) Screening Requirements. In order for an application to be in conformance, it must meet all of the following requirements: (1) Number of Copies: An original signed application and two copies must be submitted. Five additional copies are optional and will expedite processing of the grant application. (2) Length: The narrative portion of the application (Part III of form SSA-96-BK) must not exceed 20 single- or 40 double-spaced pages, exclusive of resumes, forms, etc., typewritten on one side only using standard size (8\1/2\'' x 11'') paper. Applications should neither be unduly elaborative nor contain voluminous documentation. (3) Non-Federal Contribution (Match): Grant recipients must contribute towards the project costs (cash or in-kind). Generally, 5 percent of the total costs is acceptable. SSA will not provide 100 percent or total funding for any project grant. (b) Evaluation Criteria. Applications which pass the screening process will be reviewed by at least three individuals. Reviewers will score the applications, basing their scoring decisions on the criteria shown below. An unacceptable rating on any individual criterion may render the application unacceptable. Consequently, applicants should take care to ensure that all criteria are fully addressed in the application. Relative weights for the criteria are shown in parentheses. (1) Project Objective: (25 points) How closely do the project objectives fit those of the announcement? Is the need for the project discussed in terms of the importance of the issues to be addressed? Does it describe how the project builds upon previous research? What is the potential usefulness of the anticipated result and expected benefits to the target groups? What is the potential usefulness of the proposed project for the advancement of scientific knowledge? (2) Project Design: (30 points) Is the design of the project adequate and feasible as indicated by the appropriateness of the work statement and the technical approach, including: (a) a concise and clear statement of goals and objectives; (b) theoretical analysis of the problem and, if appropriate, hypotheses to be tested and/or parameters to be estimated; (c) specification of data sources; (d) plan for data analysis, including appropriateness of statistical methods to be used; and (e) scheduling of tasks and milestones in the progress of the project? Does the proposal describe specific plans for conducting the project in terms of the tasks to be performed, and how the approach proposed will accomplish the project objectives? (3) Qualifications: (30 points) Do the qualifications of the project personnel, as evidenced by training, experience, and publications, demonstrate that they have the knowledge of subject matter and skills required to competently carry out the research and to produce a final report that is comprehensible and usable? Is the staffing pattern appropriate for the proposed research, linking responsibilities clearly to project tasks? (4) Organization and Budget: (15 points) Are the resources needed to conduct the project specified, including personnel, time, funds, and facilities? Are any collaborative efforts with other organizations clearly identified and written assurances referenced? Is all budget information provided, including a description by category (personnel, travel, etc.) of the total of the Federal funds required? Where appropriate, are justifications and explanations of costs provided? Are the project's costs reasonable in view of the level of effort and anticipated outcome? Does the applicant's organization have adequate facilities and resources to plan, conduct, and complete the project? Please Note: For-profit organizations may not use grant funds to purchase equipment under the grant. Equipment means tangible, non- expendable, personal property having a useful life of more than 1 year and an acquisition cost of $5,000 or more per unit. 7. Closing Date for Receipt of Applications The closing date for receipt of grant applications for Federal funds in response to this announcement is September 6, 1994. Applications may be mailed or sent by commercial carrier or personally delivered to: Grants Management Staff; Division of Contract and Grant Operations; Office of Acquisition and Grants; Social Security Administration; 1-E-4 Gwynn Oak Building; 1710 Gwynn Oak Avenue; Baltimore, MD 21207. Hand-delivered applications are accepted during the hours of 8:00 a.m. to 5:00 p.m., Monday through Friday. An application will be considered as meeting the deadline if it is either: (a) Received on or before the deadline date at the above address; or (b) Mailed through the U.S. Postal Service or sent by commercial carrier on or before the deadline date and received in time to be considered during the competitive review and evaluation process. Applicants are cautioned to request a legibly dated U.S. Postal Service postmark or to obtain a legibly dated receipt from a commercial carrier as evidence of timely mailing. Private metered postmarks are not acceptable as proof of timely mailing. Applications which do not meet the above criteria are considered late applications. SSA will notify each late applicant that its application will not be considered. Note: Facsimile copies will not be accepted. Notice Procedures Paperwork Reduction Act This notice contains reporting requirements in the ``Application Process'' section. However, the information is collected using form SSA-96-BK, Federal Assistance, which has Office of Management and Budget clearance No. 0960-0184. Executive Orders 12372 and 12416--Intergovernmental Review of Federal Programs This program is not covered by the requirements of Executive Order 12372, as amended by Executive Order 12416, relating to Federal agencies providing opportunities for consultation with State and local elected officials on proposed Federal financial assistance or direct Federal development. (Catalog of Federal Domestic Assistance: Program No. 93.812, Social Security-Research and Demonstration) Dated: June 22, 1994. Shirley S. Chater, Commissioner of Social Security. [FR Doc. 94-16284 Filed 7-5-94; 8:45 am] BILLING CODE 4190-29-P