HIGHER-ORDER COGNITIVE FUNCTIONING AND AGING Release Date: February 2, 2000 PA NUMBER: PA-00-052 National Institute on Aging THIS PA USED THE "MODULAR GRANT" AND "JUST-IN-TIME" CONCEPTS. IT INCLUDES DETAILED MODIFICATIONS TO THE STANDARD APPLICATION INSTRUCTIONS THAT MUST BE USED WHEN PREPARING APPLICATIONS IN RESPONSE TO THIS PA. PURPOSE The National Institute on Aging (NIA) invites qualified researchers to submit new applications for research projects that focus on adulthood and aging- related changes in the higher-order processes and strategies required for judgment, decision-making, reasoning, problem-solving, and processing complex information. As in earlier periods of life older adults continue to make decisions related to everyday life, but with advanced age, new, and sometimes even more complex, decision-making is required of them. Recent research indicates that age-related limitations in cognitive processing resources (e.g., speed and working memory) may impact decision-making. Research also indicates that some older adults experience growth in specific areas of cognitive functioning (e.g., expertise, semantic knowledge, emotional regulation) and continue to use adaptive intelligence, demonstrating multi- directionality in adult cognitive change. It is generally recognized that research on higher-order processing is underdeveloped in the field of aging. Research proposals are needed that examine the actual processes that are engaged when older adults make important decisions, how these processes change with age and context, and what environmental supports, interventions, and training may be necessary for optimal functioning. Research may investigate either individual or collaborative, or social processes. HEALTHY PEOPLE 2000 Each NIH PA addresses one or more of 22 Health Promotion and Disease Prevention priority areas identified. These areas can be found via the WWW at http://odphp.osophs.dhhs.gov/pubs/hp2000 ELIGIBILITY REQUIREMENTS Applications may be submitted by foreign and domestic, for-profit and non- profit, public and private organizations such as universities, colleges, hospitals, laboratories, units of State and local governments, and eligible agencies of the Federal government. Racial/ethnic minority individuals, women, and persons with disabilities are encouraged to apply as principal investigators. MECHANISM OF SUPPORT The mechanisms of support will be the investigator-initiated research project grant (R01), AREA grant, and program project grant (P01). Applicants may consult with program staff listed under INQUIRIES regarding other mechanisms and relevant announcements on topics related to this program announcement. Responsibility for the planning, direction, and execution of the proposed project will be solely that of the applicant. For all competing individual research project grant (R01) applications requesting up to $250,000 direct costs per year, specific application instructions have been modified to reflect "MODULAR GRANT" and "JUST-IN-TIME" streamlining efforts being examined by NIH. Complete and detailed instructions and information on Modular Grant applications can be found at: http://grants.nih.gov/grants/funding/modular/modular.htm. Applications that request more than $250,000 in any year must use the standard PHS 398 (rev. 4/98) application instructions. RESEARCH OBJECTIVES Research in this area should be informed by the empirical and theoretical work on higher-order cognition found in the cognitive science literature. Research should also be informed by the problem-solving processes, strategies, and capabilities used by adults who are actively engaged in making judgments and solving their own problems in everyday life. Increasing age often requires adapting ways of approaching instrumental activities of independent living (e.g., managing finances, maintaining a household, shopping, using public or private transportation, preparing meals, and taking medications) and often requires making complex decisions involving both multiple choices and multiple decisions (e.g., bequests, asset allocation, opting for life and health insurance options, whether to retire or to relocate, opting for or against a medical procedure). These decisions and judgments require long-term planning, minimizing costs while maximizing benefits, require the consideration and input of others, and often have survival consequences. Older adults make these decisions even though some are functioning with reduced cognitive resources and basic abilities. The vast majority of the research conducted on older-adult decision-making has focused on the antecedents and consequences of the decisions that older adults make -- and not on the actual processes and strategies involved in reasoning, judgment, problem solving, and decision-making. Fundamental research is needed to determine how older adults define their problems and process complex information, as well as to identify the types of information that are most salient when older adults make decisions. Research applications are also encouraged that have implications for facilitating adaptive or even optimal functioning. Research applications involving both new data collection and analysis of existing data sets are encouraged. A. DEFINING THE PROBLEM FROM THE PERSPECTIVE OF THE OLDER ADULT Research applications are invited that include examining situations and the perception of problems from the perspective of the older adult. Applications should include methods that assess explicit goals, as well as less obvious, implicit, and seemingly conflicting goals. Problems are defined by the context and goals of the situation and -- for the problems of older adults -- involve adapting to new situations, considering the motivations of the self and of others, and weighing potential long-term consequences. Prototypical goals that define problems may include, but are not limited to, combinations of the following: adjustments in procedures and routines, compensation for resource deficits, situation avoidance, planning, organization, social judgments, optimal interpersonal experiences, weighing the benefits and risks, seeking new knowledge, creating or developing a product, advancing an idea or social cause, and implementing decisions and solutions. B. HOW IS KNOWLEDGE OBTAINED, SELECTED, OR SUPPRESSED FOR HIGHER-ORDER PROCESSING? Finding solutions to problems involves the ongoing processes of acquiring new knowledge, determining the relative relevance of old and new information, and updating obsolescent information. Research is needed on the manner in which older adults acquire and select decision-relevant information while suppressing irrelevant information. The complexity of this research objective cannot be overestimated: Adults bring a lifetime of experiences and acquired knowledge to bear on problem-solving situations. These experiences and information are accessed and considered consciously as well as non- consciously. Moreover, the ability to consciously access previously held knowledge, to consciously inhibit irrelevant or wrong information, to acquire new knowledge, and to process complex information may be compromised with increased age. C. WHAT ARE THE COGNITIVE, SOCIAL, AND EMOTIONAL PROCESSES ENGAGED AND HOW DO THEY IMPACT HIGHER-ORDER PROCESSING? Applications are sought that focus on age-related changes in cognitive, social, and emotional domains used for judgment, decision-making, reasoning, and problem-solving. For example, researchers have proposed that older adults are more likely than younger adults to solve problems by analogy and by other efficient heuristics, strategies that may compensate for declines in processing resources. Research should consider that everyday problems, which often occur in a social context, require the consideration and regulation of self and others and, often, involve collaboration in decision-making as well as the involvement of others in implementation. Research applications should consider that decisions are often made for problems with multiple causal origins for which there are several potential solutions. Furthermore, they should address the processes and strategies involved when pursuing different types of goals, motivations, and problems (e.g., altruistic motivations, solutions which appear to defy rationality, problems which require definitive solutions and those involving continually devising and revising strategies, developing plans to avoid future problems, planning to deal with problems as they arise, making social judgments). Research applications are sought that examine the processes and strategies engaged as well the demand characteristics such as logic (e.g., concrete, formal, and post-formal operations, probabilistic considerations), the amount of information to be considered, the number of decisions required, the complexity of factors in consideration, the salience of emotional involvement of self and others, and the importance of ill-defined, contradictory, ambiguous and/or probabilistic information. Research should also determine whether there are age differences in such factors as how risks versus benefits are weighted, in the bounds of rationality, altruism, impatience, and how the importance of the consequences affects older adults decision making. Research applications in this area are not limited to reasoning, judgment, decision-making and problem-solving. Other constructs such as creativity and emotional regulation are applicable to research in aging. One way to construe creativity is the ability to generate and implement original and effective solutions to familiar and unfamiliar problems. As in earlier periods of life, older adults continue to face unfamiliar situations, and, these novel situations increasingly involve the challenges of everyday life (e.g., maintaining high levels of functioning with physical losses, caring for a spouse who is cognitively impaired). Research on the roles of emotions, affect, and emotional regulation in cognitive functioning is also relevant to understanding judgement, decision-making, and reasoning. D. WHAT SITUATIONS AND INTERVENTIONS FACILITATE OPTIMAL PROCESSING FOR OLDER ADULT DECISION-MAKING? Research applications that focus on facilitating optimal functioning and optimal use of intact abilities are sought. Examples of research topics are listed below, but applications are not limited to these topics: o Assessing individual abilities and differences (e.g., identifying when problems are too complex, identifying individual abilities and limitations, identifying specific processing limitations that can be ameliorated or compensated, identifying abilities that can be applied in new ways). o Providing environmental support (e.g., identifying distracting stimuli, identifying supportive structures). o Assisting information acquisition (e.g., identifying optimal formats for presenting information, identifying aids that support the acquisition of new knowledge, identifying distractions to learning new information). o Training to improve underlying skills for complex decisions. o Training family members and individuals working with aging adults to provide optimal decision-making support and structure. Research applications that focus on developing assistive products are sought. Examples of research topics are listed below, but applications are not limited to these topics: o Developing decision-making algorithms for computers. o Developing tools for processing and maintaining access to relevant information. o Developing tools that assist in implementing solutions. Research applications that focus on assisting individuals in specific areas of problem-solving are sought. Examples of research topics are listed below, but applications are not limited to these topics: o Maintaining a household or other self care problems. o Medical, financial, retirement, career, and other important types of complex decision-making. o Deciding the level of care necessary or the appropriate housing situation. o Death and dying decisions. INCLUSION OF WOMEN AND MINORITIES IN RESEARCH INVOLVING HUMAN SUBJECTS It is the policy of the NIH that women and members of minority groups and their sub-populations must be included in all NIH supported biomedical and behavioral research projects involving human subjects, unless a clear and compelling rationale and justification is provided that inclusion is inappropriate with respect to the health of the subjects or the purpose of the research. This policy results from the NIH Revitalization Act of 1993 (Section 492B of Public Law 103-43). All investigators proposing research involving human subjects should read the "NIH Guidelines For Inclusion of Women and Minorities as Subjects in Clinical Research," which have been published in the Federal Register of March 28, 1994 (FR 59 14508-14513) and in the NIH Guide for Grants and Contracts, Volume23, Number 11, March 18, 1994, http://grants.nih.gov/grants/guide/notice-files/not94-100.html APPLICATION PROCEDURES Applications are to be submitted on grant application form PHS 398 (rev. 4/98). Application kits are available at most institutional offices of sponsored research and may be obtained from the Division of Extramural Outreach and Information Resources, National Institutes of Health, 6701 Rockledge Drive, MSC 7910, Bethesda, MD 20892-7910, Phone (301) 710-0267, Email: GRANTSINFO@NIH.GOV. Applications are also available on the internet at http://grants.nih.gov/grants/funding/phs398/phs398.html . Applicants planning to submit an investigator-initiated new (type 1), competing continuation (type 2), competing supplement, or any amended/revised version of the preceding grant application types requesting $500,000 or more in direct costs for any year are advised that they must contact the Institute or Center (IC) program staff before submitting the application, i.e., as plans for the study are being developed. Furthermore, applicants must obtain agreement from the IC staff that the IC will accept the application for consideration for award. Finally, applicants must identify, in a cover letter sent with the application, the staff member and Institute or Center who agreed to accept assignment of the application. This policy requires applicants to obtain agreement for acceptance of both any such application and any such subsequent amendment. Refer to the NIH Guide for Grants and Contracts, March 20, 1998 at: http://grants.nih.gov/grants/guide/notice-files/not98-030.html Submit a signed, typewritten, original of the application, including the checklist and five signed photocopies in one package to: CENTER FOR SCIENTIFIC REVIEW NATIONAL INSTITUTES OF HEALTH 6701 ROCKLEDGE DRIVE, ROOM 1040, MSC 7710 BETHESDA, MD 20892-7710 BETHESDA, MD 20817 (for express/courier service) The title and number of the program announcement must be typed on line 2 of the face page of the application form and the YES box must be marked. SPECIFIC APPLICATION INSTRUCTIONS FOR MODULAR GRANTS The modular grant concept establishes specific modules in which direct costs may be requested as well as a maximum level for requested budgets. Only limited budgetary information is required under this approach. The just-in-time concept allows applicants to submit certain information only when there is a possibility for an award. It is anticipated that these changes will reduce the administrative burden for the applicants, reviewers and Institute staff. The research grant application form PHS 398 (rev. 4/98) is to be used in applying for these grants, with the modifications noted below. BUDGET INSTRUCTIONS Modular Grant applications will request direct costs in $25,000 modules, up to a total direct cost request of $250,000 per year. (Applications that request more than $250,000 direct costs in any year must follow the traditional PHS398 application instructions.) The total direct costs must be requested in accordance with the program guidelines and the modifications made to the standard PHS 398 application instructions described below: PHS 398 o FACE PAGE: Items 7a and 7b should be completed, indicating Direct Costs (in $25,000 increments up to a maximum of $250,000) and Total Costs [Modular Total Direct plus Facilities and Administrative (F&A) costs] for the initial budget period. Items 8a and 8b should be completed indicating the Direct and Total Costs for the entire proposed period of support. o DETAILED BUDGET FOR THE INITIAL BUDGET PERIOD - Do not complete Form Page 4 of the PHS 398. It is not required and will not be accepted with the application. o BUDGET FOR THE ENTIRE PROPOSED PERIOD OF SUPPORT - Do not complete the categorical budget table on Form Page 5 of the PHS 398. It is not required and will not be accepted with the application. o NARRATIVE BUDGET JUSTIFICATION - Prepare a Modular Grant Budget Narrative page. (See http://grants.nih.gov/grants/funding/modular/modular.htm for sample pages.) At the top of the page, enter the total direct costs requested for each year. This is not a Form page. o Under Personnel, list key project personnel, including their names, percent of effort, and roles on the project. No individual salary information should be provided. However, the applicant should use the NIH appropriation language salary cap and the NIH policy for graduate student compensation in developing the budget request. For Consortium/Contractual costs, provide an estimate of total costs (direct plus facilities and administrative) for each year, each rounded to the nearest $1,000. List the individuals/ organizations with whom consortium or contractual arrangements have been made, the percent effort of key personnel, and the role on the project. Indicate whether the collaborating institution is foreign or domestic. The total cost for a consortium/contractual arrangement is included in the overall requested modular direct cost amount. Include the Letter of Intent to establish a consortium. Provide an additional narrative budget justification for any variation in the number of modules requested. o BIOGRAPHICAL SKETCH - The Biographical Sketch provides information used by reviewers in the assessment of each individual"s qualifications for a specific role in the proposed project, as well as to evaluate the overall qualifications of the research team. A biographical sketch is required for all key personnel, following the instructions below. No more than three pages may be used for each person. A sample biographical sketch may be viewed at: http://grants.nih.gov/grants/funding/modular/modular.htm. - Complete the educational block at the top of the form page, - List position(s) and any honors, - Provide information, including overall goals and responsibilities, on research projects ongoing or completed during the last three years, - List selected peer-reviewed publications, with full citations. o CHECKLIST - This page should be completed and submitted with the application. If the F&A rate agreement has been established, indicate the type of agreement and the date. All appropriate exclusions must be applied in the calculation of the F&A costs for the initial budget period and all future budget years. o The applicant should provide the name and phone number of the individual to contact concerning fiscal and administrative issues if additional information is necessary following the initial review. REVIEW CONSIDERATIONS Applications will be assigned on the basis of established Public Health Service referral guidelines. Applications that are complete will be evaluated for scientific and technical merit by an appropriate peer review group convened in accordance with NIH peer review procedures. As part of the initial merit review, all applications will receive a written critique and undergo a process in which only those applications deemed to have the highest scientific merit, generally the top half of applications under review, will be discussed, assigned a priority score, and receive a second level review by the appropriate national advisory council or board. Review Criteria The goals of NIH-supported research are to advance our understanding of biological systems, improve the control of disease, and enhance health. In the written comments reviewers will be asked to discuss the following aspects of the application in order to judge the likelihood that the proposed research will have a substantial impact on the pursuit of these goals. Each of these criteria will be addressed and considered in assigning the overall score, weighting them as appropriate for each application. Note that the application does not need to be strong in all categories to be judged likely to have major scientific impact and thus deserve a high priority score. For example, an investigator may propose to carry out important work that by its nature is not innovative but is essential to move a field forward. 1. Significance: Does this study address an important problem? If the aims of the application are achieved, how will scientific knowledge be advanced? What will be the effect of these studies on the concepts or methods that drive this field? 2. Approach: Are the conceptual framework, design, methods, and analyses adequately developed, well-integrated, and appropriate to the aims of the project? Does the applicant acknowledge potential problem areas and consider alternative tactics? 3. Innovation: Does the project employ novel concepts, approaches or method? Are the aims original and innovative? Does the project challenge existing paradigms or develop new methodologies or technologies? 4. Investigator: Is the investigator appropriately trained and well suited to carry out this work? Is the work proposed appropriate to the experience level of the principal investigator and other researchers (if any)? 5. Environment: Does the scientific environment in which the work will be done contribute to the probability of success? Do the proposed experiments take advantage of unique features of the scientific environment or employ useful collaborative arrangements? Is there evidence of institutional support? In addition to the above criteria, in accordance with NIH policy, all applications will also be reviewed with respect to the following: o The adequacy of plans to include both genders, minorities, and their subgroups as appropriate for the scientific goals of the research. Plans for the recruitment and retention of subjects will also be evaluated. o The reasonableness of the proposed budget and duration in relation to the proposed research. o The adequacy of the proposed protection for humans, animals or the environment, to the extent they may be adversely affected by the project proposed in the application. AWARD CRITERIA Applications will compete for available funds with all other approved applications. The following will be considered in making funding decisions: o Quality of the proposed project as determined by peer review o Availability of funds o Program priority. INQUIRIES Inquiries are encouraged. The opportunity to clarify any issues or questions from potential applicants is welcome. Direct inquiries regarding programmatic issues to: Jared B. Jobe, Ph.D. Behavioral and Social Research National Institute on Aging 7210 Wisconsin Avenue Gateway Building, Suite 533 Bethesda, MD 20892-9205 Telephone: (301) 496-3137 FAX: (301) 402-0051 E-mail: Jared_Jobe@nih.gov Questions on fiscal matters may be directed to: Joseph Ellis Grants and Contracts Management National Institute on Aging 7201 Wisconsin Avenue, Suite 2N212, MSC 9205 Bethesda, MD 20892 Telephone: (301) 496-1472 FAX: (301) 402-3672 Email: ellisJ@extramur.nia.nih.gov AUTHORITY AND REGULATIONS This program is described in the Catalog of Federal Domestic Assistance No. 93.866. Awards are made under authorization of the Public Health Service Act, Title IV, Part A (Public Law 78-410), as amended by Public Law 99-158, 42 USC 241 and 285) and administered under PHS grants policies and Federal Regulations 42 CFR 52 and 45 CFR Part 74. This program is not subject to the intergovernmental review requirements of Executive Order 12372 or Health Systems Agency review. The PHS strongly encourages all grant and contract recipients to provide a smoke-free workplace and promote the non-use of all tobacco products. In addition, Public Law 103-227, the Pro-Children Act of 1994, prohibits smoking in certain facilities (or in some cases, any portion of a facility) in which regular or routine education, library, day care, health care or early childhood development services are provided to children. This is consistent with the PHS mission to protect and advance the physical and mental health of the American Higher order cognition 11/29/99 9/10

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