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Catalog of Federal Domestic Assistance

Program Descriptions

96.007:  Social Security: Research and Demonstration

Popular Name:  SSA Research and Demonstration

Objectives:  (1) To conduct social, economic, and demographic research on topics important to the Social Security Old Age, Survivors and Disability Insurance and Supplemental Security Income (SSI) programs and the current and future well-being of their beneficiaries; (2) to develop and carry out experiments and research demonstration projects to determine the efficacy of: (a) alternative ways of rehabilitating beneficiaries and encouraging their return to work; and (b) modifying conditions applicable to such beneficiaries including: (i) early referral for rehabilitation services; and (ii) greater use of employers and others in the rehabilitation and placement process.

PROGRAM AND AWARD	FINANCIAL AND INFORMATION CONTACTS
ELIGIBILITY REQUIREMENTS	FINANCIAL AND ADMINISTRATIVE INFO.
APPLICATION AND AWARD PROCESS	INFORMATION CONTACTS
RELATED PROGRAMS	ASSISTANCE CONSIDERATIONS
PROGRAM ACCOMPLISHMENTS	POST ASSISTANCE REQUIREMENTS

96.007 ELIGIBILITY REQUIREMENTS:

Applicant Eligibility:  Applicants applying for grant funds may include State and local governments, educational institutions, hospitals, public and private organizations, and nonprofit and profit organizations. Private individuals are not eligible to apply. Profit organizations may apply with the understanding that no grant funds may be paid as profit to grant recipients. Profit is considered any amount in excess of the allowable costs of the grant recipient. A profit organization is a corporation or other legal entity that 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.

Beneficiary Eligibility:  State agencies, local governments, educational institutions, hospitals, nonprofit organizations, and profit organizations are eligible to apply for grant funding.

Credentials/Documentation:  Costs and administrative requirements for grantees will be determined in accordance with Department of Health and Human Services (HHS) regulations 45 CFR 74 and 92.

96.007 APPLICATION AND AWARD PROCESS:

Preapplication Coordination:  Not applicable. This program is excluded from coverage under E.O. 12372.

Application Procedure:  The standard application forms furnished by SSA must be used for this program. When grant opportunities are available, SSA publishes a notice in the Federal Register soliciting grant applications. Application kits that contain the prescribed application forms and supplemental descriptive information on the priority areas are available from: Grants Management Team, Office of Operations Contracts and Grants (OOCG), Office of Acquisition and Grants (OAG), Office of the Deputy Commissioner for Finance, Assessment and Management (DCFAM), Social Security Administration, 1-E-4, Gwynn Oak Bldg., 1710 Gwynn Oak Ave., Baltimore, MD 21207-5279. Contact: Mr. E. Joe Smith, Grants Management Officer. Phone: (410) 965-9503. Also, SSA grant program announcements and application information can be obtained from the SSA/OAG Internet site at: www.ssa.gov/oag/grants. To be considered for a grant award, all applicants must complete the prescribed application forms and submit them to the Grants Management Team. The application shall be executed by an individual authorized to act for the applicant agency or organization and who will assume the obligations imposed by the terms and conditions of the grant. As part of the project title (page 1 of the application form, Form SSA-96, item 11), the applicant must clearly indicate whether the application submitted is in response to a priority area identified in a program announcement, and must reference the applicable priority area (e.g., "001") in which it is competing. At least three independent reviewers prepare written assessments of each program-relevant grant application. Applications found irrelevant to program objectives are returned to the applicants.

Award Procedure:  OAG provides a Notice of Grant Award (or a Notice of Cooperative Agreement Award) as official notice for approved applications. The notice indicates award amount, the purpose of the award, award terms and conditions, the budget period, the anticipated project period, and the grantee's cost-sharing requirement.

Deadlines:  Closing dates for receipt of grant applications are published in the Federal Register announcement (usually 60 to 90 days after date of publication in the Federal Register).

Range of Approval/Disapproval Time:  Generally, 3 to 6 months after the closing date established in the Federal Register announcement.

Appeals:  There are no formal appeal procedures. If an application is not approved, the reasons will be stipulated in the denial notice.

Renewals:  Grants can be extended and continued via formal application, which is subject to approval. If an application is recommended for approval for 2 or more budget years, the grantee must submit a formal request for funding continuation each year accompanied by a progress report. This will be evaluated prior to a recommendation of continuation of funding.

Criteria for Selecting Proposals:  Generally, applications are evaluated on the following criteria: (1) Adequacy of project design; (2) relevance of the activity to the objectives of the program; (3) qualifications of personnel; (4) adequacy of facilities to conduct activity; (5) reasonableness of costs; and (6) usefulness of the results.

Examples of Funded Projects:  (1) Trends and Differences in Health and Ability to Work; (2) Changes in the Economic Status of Aged and Disabled Beneficiaries and their Correlates; (3) Real Wealth Change Among the Newly Retired; (4) Poverty Among Older Women: A Cross National Perspective; (5) Putting the Pieces Together for Employment; (6) Individual Planning for Self Sufficiency; (7) Making Work Pay: Reducing Medicaid and Social Security Barriers to Employment; (8) Pathway to Independence; and (9) Educating Special Education Students about the work incentives program.

Range and Average of Financial Assistance:  From $100,000 to $1,250,000. Figures may vary with type of program.

96.007 RELATED PROGRAMS:

• 84.133 National Institute on Disability and Rehabilitation Research;
• 93.560 Family Support Payments to States: Assistance Payments (AFDC);
• 93.563 Child Support Enforcement (CSE);
• 93.648 Child Welfare Services Training Grants;
• 93.048 Special Programs for the Aging: Title IV: Training, Research and Discretionary Projects and Programs;
• 93.779 Health Care Financing Research, Demonstrations and Evaluations;
• 96.006 Supplemental Security Income (SSI).

96.007 PROGRAM ACCOMPLISHMENTS:

96.007 FINANCIAL AND ADMINISTRATIVE INFO:

Federal Agency:  SOCIAL SECURITY ADMINISTRATION

Type of Assistance:  Project Grants (Cooperative Agreements).

Obligations:  (Grants) FY 99 $9,708,696; FY 00 est $45,450,000; and FY 01 est $45,000,000.

Budget Account Number:  28-8704-0-7-601.

Authorization:  Social Security Act of 1935, Title II and Title XVI, Section 1110, as amended; 42 U.S.C. 401-433, 902, 1310, 1381-1388c.

Regulations, Guidelines, and Literature:  None.

96.007 INFO CONTACTS:

Regional or Local Office:  Not applicable.

Headquarters Office:  E. Joe Smith, Grants Management Officer, Office of Operations Contracts and Grants, Office of Acquisition and Grants (OAG), DCFAM, Social Security Administration, 1-E-4, Gwynn Oak Bldg., 1710 Gwynn Oak Ave., Baltimore, MD 21207-5279. Phone: (410) 965-9503.

(See Appendix IV for more contact info.)

96.007 ASSISTANCE CONSIDERATIONS:

Formula and Matching Requirements:  Grantees are required to share the cost of projects. The cost-sharing ranges from 5 to 25 percent of total project costs. This program has no statutory formula.

Length and Time Phasing of Assistance:  Funds are usually granted for a period of 12 to 17 months. Funds, however, can be granted for a minimum of 3 months, and up to a maximum of 60 months.

Uses and Use Restrictions:  Grants are awarded for innovative research and demonstrations which add to existing knowledge and improve methods and techniques for the management, administration, and effectiveness of Social Security Administration (SSA) programs. Grant funds may not be used for construction or major renovation of buildings.

96.007 POST ASSISTANCE REQUIREMENTS:

Reports:  Progress and financial reports are required on all projects. Quarterly reports are due within 30 days after the end of each quarter of the budget period. Comprehensive final reports are due no later than 90 days after the grant expires.

Audits:  Audits shall be conducted in accordance with the provisions of HHS regulations 45 CFR 74 and 92.

Records:  Grantees must maintain financial records, supporting documents, statistical records and all other records pertinent to an award for 3 years. In the event of an audit, records must be maintained until all questions are resolved.