Research on Social Networks and HIV
Risk Prevention
Primary
Sponsor: National Institute of Child Health and Human Development
Deadline: 3/19/2004
KEYWORDS
This Program
Announcement expires three years from the release date, unless reissued.
PA NUMBER: PAS-01-068
National Institute of
Child Health and Human Development
National Institute on Alcohol Abuse and Alcoholism
National Institute of Mental Health
PURPOSE
This Program
Announcement calls for basic, applied, and methodological research that can
advance knowledge about the influence of social networks on HIV risk and
the application of that knowledge to HIV prevention and treatment efforts.
It invites applications for research that will extend existing knowledge of
how the structure, function, and content of social and sexual networks
influence HIV risk and transmission, and advance the development of
prevention and treatment approaches based in social network theory and
methods. Through this announcement, the National Institute of Child Health
and Human Development (NICHD) seeks to advance scientific knowledge and
strategies directed at the sexual transmission of HIV in vulnerable
populations, especially including adolescents, young adults, and minority
populations, as does the National Institute of Mental Health (NIMH). The National
Institute on Alcohol Abuse and Alcoholism (NIAAA) seeks to expand prior
work on the role of social environmental influences on alcohol consumption
and sexual risk behaviors by systematically examining the relationships
among social environmental factors, alcohol use, sexual risk behaviors, and
sexually transmitted infections (STI) for groups at high risk of acquiring
and transmitting STIs.
HEALTHY PEOPLE 2010
The Public Health
Service (PHS) is committed to achieving the health promotion and disease prevention
objectives of “Healthy People 2010,” a PHS-led national activity for
setting priority areas. This Program Announcement (PA) is related to one or
more of the priority areas. Potential applicants may obtain “Healthy People
2010” at http://www.health.gov/healthypeople.
ELIGIBILITY
REQUIREMENTS
Applications may be
submitted by domestic and foreign for-profit and non-profit organizations, public
and private, such as universities, colleges, hospitals, laboratories, and
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
This PA will use the
National Institutes of Health (NIH) Research Project Grant (R01) award
mechanism. Responsibility for the planning, direction, and execution of the
proposed project will be solely that of the applicant.
For all competing R01
applications requesting up to $250,000 per year in direct costs, specific
application instructions have been modified to reflect “MODULAR GRANT” and
“JUST-IN-TIME” streamlining efforts being examined by the NIH. Applications
that request more than $250,000 in any year must use the standard PHS 398
(rev. 4/98) application instructions. Complete and detailed instructions
and information on Modular Grant applications can be found at http://grants.nih.gov/grants/funding/modular/modular.htm.
FUNDS AVAILABLE
The NICHD intends to
commit approximately $1.3 million, the NIAAA intends to commit
approximately $795,000 and the NIMH intends to commit approximately
$350,000 in total costs [direct plus Facilities and Administrative
(F&A) costs] in FY 2002 to support new and/or competing continuation
applications submitted in response to this PA. Although not participating
in this PA, the National Institute on Drug Abuse (NIDA) states their
continuing interest in this area of research.
An applicant may
request a project period of up to five years. Because the nature and scope
of the research proposed may vary, it is anticipated that the size of
awards also will vary. Although the financial plans of NICHD, NIAAA and
NIMH provide support for this program, awards pursuant to this PA are
contingent upon the availability of funds and the receipt of a sufficient
number of meritorious applications.
RESEARCH OBJECTIVES
Background
Social networks refer
to sets of linkages or relations between people, generally defined in terms
of a type of relation. For example, networks may comprise individuals who
are connected to each other through kinship, friendship, sexual contact, or
the exchange of information or services. Research on social networks
encompasses a diverse set of approaches, ranging from ethnographic studies
of people interacting within a cultural context to formal mathematical
modeling of contact structures. A significant body of theory and research
has developed identifying different ways of conceptualizing and measuring
networks (e.g., egocentric vs. sociometric networks); various dimensions of
network structure (e.g., size and range, boundedness, density,
homogeneity); and the characteristics of relations within networks (e.g.,
intimacy, duration, reciprocity, and the types and variety of activities
and resources that flow between and among actors). Critical distinctions
have been made between "strong" and "weak" network ties
and the functions these ties can assume. Research has also documented the
influence of the larger social, cultural, and physical environment on
network structure and function.
Social networks are
believed to affect health through a variety of mechanisms. They influence
the creation and enforcement of behavioral norms; they channel the flow of
resources, including social support, information, and material goods and
services; and they influence the social engagement and integration of
network members. Their influence on the health of individual network
members can potentially be seen at the behavioral, psychological, and
physiological levels. These mechanisms may influence health in both
positive and negative ways. For example, the norms that develop within
networks may encourage healthy or risky behaviors; the
"resources" exchanged may include positive tools for health
promotion or dangerous pathogens.
Application of social
network research to HIV risk and prevention can take many forms. Many
analysts have studied the characteristics of "risk networks,"
composed of individuals who engage in HIV risk behaviors together. These
include drug injection networks and sexual networks, and are relevant
because they define the potential for disease transmission and the
opportunities for interrupting transmission. Researchers have modeled the
transmission of HIV within and across social networks based on varying
assumptions of partnership choice, duration, and concurrency. They have
demonstrated that individuals’ probability of infection depends on their
location within a network, and that the spread of HIV depends on its point
of introduction within a risk network. They have developed the concept of
“core transmitters” and applied it in contact tracing and in interventions
to interrupt the spread of disease and to improve the dissemination of
treatment. They have documented the role of bridge populations, such as
heterosexually active injection drug users and men who have sex with both
men and women, in transmitting HIV between infected and uninfected
population groups. They have studied the relationship between sexual and
drug-using networks and the geographic locations (shooting galleries,
bathhouses, bars, workplaces, schools, etc.) that help to tie networks
together. They have introduced the concept of a "sexual
marketplace" within which a network or networks may operate.
Social networks that
are unrelated to HIV-risk behaviors also may play an important role in
influencing HIV risk. Social networks based on kinship, friendship,
employment in a common firm or occupation, membership in a religious or
community organization, or other basis can influence an individual's HIV
risk through affecting behaviors, channeling resources, and affecting social
integration and psychological well-being. The social influence and social
learning that occur in such networks are accomplished through a variety of
mechanisms, including persuasion, modeling of behavior, sanctioning of
behavior, and the creation of normative environments that encourage some
behaviors and discourage others. Networks play a powerful role in mediating
transmission of information about HIV risk and protective behaviors, at
both general (how does one avoid risk?) and specific (who is engaging in
risky behavior?) levels. Network characteristics affect how quickly and
effectively information is transmitted, and how information is interpreted
and transformed as it is communicated. They also influence the ability of
network members to monitor and influence the behaviors of other members.
Social networks based
on kinship, friendship, and other "non-risk" attributes also may
influence the composition and characteristics of risk networks. For example,
family and friends often have influence over the selection of sexual
partners and the course of sexual relationships. The extent to which risk
networks overlap "non-risk" social networks may influence
behavior. Research has found that personal network characteristics are
associated with risky sexual behaviors among injection drug users; that
network members' self- reported alcohol use predicted individuals' alcohol
consumption, and network members' substance use predicted individuals'
risky sexual behaviors. Overlap between risk and non-risk networks also may
affect the extent to which sexual and drug-using behaviors are subject to
effective monitoring and social control. On the one hand, an individual
surrounded by caring friends and family members may be better able to avoid
involvement in risky behaviors; on the other hand, norms emphasizing mutual
support among friends and kin may make it more difficult to sanction
individuals who engage in risky sexual behaviors. Norms governing how and
to whom individuals communicate about their sexual behaviors also matter.
Networks in which frank and open communication is the norm will be better
able to identify and react to unsafe individual behavior than networks in
which the norms support exaggeration, denial, or silence about sexual
matters.
Social networks provide
a natural frame for interventions designed to interrupt the transmission of
HIV infection and to change values, beliefs, and behaviors that increase or
reduce HIV risk. Some interventions that make explicit use of social
networks have already proven effective, including programs designed to
change adolescent peer norms and the norms of networks of drug injectors.
However, much more could be learned about the development and effective
implementation of network-based interventions. Interventions may target
risk reduction through changing network structures or dynamics, changing
the culture or norms of networks, or influencing individuals occupying
strategic locations within or between networks. Interventions may target
networks at varying levels of specificity: risk networks, social networks
of risk-taking individuals, or social networks within schools,
neighborhoods or communities. Different approaches and strategies may be
appropriate to different intervention goals.
Research Scope
This announcement
invites basic, applied, and methodological research that can advance
knowledge about the influence of social networks on HIV risk and the
application of that knowledge to HIV prevention and treatment efforts.
Successful applicants will articulate a theory specifying the role of
social and/or sexual networks in HIV risk and demonstrate how the proposed
work will advance strategies for HIV prevention and intervention
approaches. Applications to design, implement, and evaluate interventions
are appropriate. Applicants may address any population, but are strongly
encouraged to address populations and locations where the risk of HIV is
high or increasing. International as well as domestic studies are encouraged.
Questions may include,
but are not limited to, the following:
o Basic Research
How do the structure
and content of egocentric and sociometric networks affect social norms,
HIV-related risk-taking behaviors, and HIV transmission? What types of
networks (sexual, friendship, kin, etc.) are most influential in
influencing HIV risk and transmission and in what ways? Does this vary
among different populations or groups?
What are the social
network influences on alcohol consumption and sexual risk behaviors among
groups at risk for HIV and other sexually transmitted infections (STIs)?
What influences the
overlap between sexual and other types of social networks, and how does
this overlap influence HIV-related risk behavior? How do social and sexual
networks interact and influence each other?
How does the larger
physical, social, economic, and cultural environment influence the
structure and characteristics of networks, and the ways in which networks
affect HIV risk? What is the role of institutions, commercial
establishments, features of the physical environment, social and economic
stratification, and other factors?
What influences change
within networks over time, and how does permanence or change affect the
dynamics of HIV transmission and/or the influence of networks on HIV risk
through norms and behavior?
o Applied research
How can intervention
strategies grounded in social network theory and methods be developed,
extended, and evaluated?
What types of networks
can provide effective mechanisms for stimulating behavioral change to
reduce HIV risk, under what circumstances?
What approaches work
best in implementing network-based interventions? Should one target key
individuals (e.g., core members, opinion leaders, or individuals who bridge
between networks) or attempt to engage a network as a whole unit, perhaps
through geographic or institutional focal points that help to bring network
members together? How can the larger social contexts, such as faith
communities, schools or worksites, within which networks exist, be used as
leverage points for intervention work?
How can the culture of
networks be changed, and how can that change be measured?
How do networks differ
systematically across groups differing with respect to age, race, culture,
sexual orientation, and geography, and what are the implications of these
differences for intervention approaches?
While “peer education”
has been widely utilized in a variety of settings, are there other
techniques utilizing the more “hidden” properties of social networks, which
might be used in intervention designs?
o Methodological
Questions
Can the techniques for
measuring social and sexual networks associated with HIV transmission be
refined and, if so, how?
What are the
implications of error in the measurement of social networks (e.g., failure
to report ties, incomplete measurement of network ties) for analyses
related to HIV risk and transmission?
What are optimum
sampling methodologies for network studies?
What are the ethical
and intervention implications for data collected via local, partial or
complete network designs?
Since data reported
from individuals in local or ego-centric networks cannot be viewed as
statistically independent, what methods for modeling are appropriate?
What methods are
appropriate for measuring and analyzing dynamic change in the composition,
structure, and other characteristics of networks over time?
How can we improve the
ability of network studies to differentiate the influence of network
structures and processes on individuals from the propensity of individuals
to associate in networks that reflect their values, norms, and behaviors?
How can network studies
effectively integrate qualitative and quantitative methods to advance our
understanding of network structure and function, and their implications for
HIV risk?
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 are provided indicating 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 UPDATED
"NIH Guidelines for Inclusion of Women and Minorities as Subjects in Clinical
Research," published in the NIH Guide for Grants and Contracts on
August 2, 2000
http://grants.nih.gov/grants/guide/notice-files/NOT-OD-00-048.html);
a complete copy of the updated Guidelines are available at http://grants.nih.gov/grants/funding/women_min/guidelines_update.htm.
The revisions relate to NIH-defined Phase III clinical trials and require:
a) all applications or proposals and/or protocols to provide a description
of plans to conduct analyses, as appropriate, to address differences by
sex/gender and/or racial/ethnic groups, including subgroups if applicable;
and b) all investigators to report accrual, and to conduct and report
analyses, as appropriate, by sex/gender and/or racial/ethnic group
differences.
INCLUSION OF CHILDREN
AS PARTICIPANTS IN RESEARCH INVOLVING HUMAN SUBJECTS
It is the policy of NIH
that children (i.e., individuals under the age of 21) must be included in
all human subjects research, conducted or supported by the NIH, unless
there are scientific or ethical reasons not to include them. This policy
applies to all initial (Type 1) applications submitted for receipt dates
after October 1, 1998.
All investigators
proposing research involving human subjects should read the “NIH Policy and
Guidelines on the Inclusion of Children as Participants in Research
Involving Human Subjects,” published in the NIH Guide for Grants and
Contracts, March 6, 1998, and available at: http://grants.nih.gov/grants/guide/notice-files/not98-024.html.
Investigators also may
obtain copies of these policies from the program staff listed under
INQUIRIES. Program staff also may provide additional relevant information
concerning the policy.
URLS IN NIH GRANT
APPLICATIONS OR APPENDICES
All applications and
proposals for NIH funding must be self-contained within specified page
limitations. Unless otherwise specified in an NIH solicitation, Internet
addresses (URLs) should not be used to provide information necessary to the
review because reviewers are under no obligation to view the Internet
sites. Reviewers are cautioned that their anonymity may be compromised when
they directly access an Internet site.
APPLICATION PROCEDURES
Applications are to be
submitted on the grant application form PHS 398 (revised 4/98) and will be
accepted at the standard application deadlines for AIDS and AIDS-related
applications, as indicated in the application kit. These forms are
available at most institutional offices of sponsored research, on the
Internet at http://grants.nih.gov/grants/funding/phs398/phs398.html,
and from the Division of Extramural Outreach and Information Resources,
National Institutes of Health, 6701 Rockledge Drive, MSC 7910, Bethesda, MD
20892-7910, telephone 301-435-0714, E-mail: grantsinfo@nih.gov.
Applicants planning to
submit an investigator-initiated new (Type 1), competing continuation (Type
2), competing supplement (Type 3), 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 NIH program staff
before submitting the application, i.e., as plans for the study are being
developed. Furthermore, the applicant must obtain agreement from NIH staff
that the institute will accept the application for consideration for award.
Finally, the applicant must identify, in a cover letter sent with the
application, the staff member who agreed to accept assignment of the
application.
This policy requires an
applicant 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.
Any application subject
to this policy that does not contain the required information in a cover
letter sent with the application will be returned to the applicant without
review.
Modular Grant
Application Instructions
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 NIH staff. The
research grant application form PHS 398 (revised 4/98) is to be used in
applying for these grants, with the modifications noted below.
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 PHS 398 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:
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.
Under Personnel, list
all 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 F & A) 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 all 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 telephone number of the individual to contact
concerning fiscal and administrative issues if additional information is
necessary following the initial review.
Submission Instructions
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.
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)
REVIEW CONSIDERATIONS
Upon receipt,
applications will be reviewed for completeness by the NIH Center for Scientific
Review (CSR). Applications will be assigned on the basis of established PHS
referral guidelines. Applications will be evaluated for scientific and
technical merit by an appropriate scientific review group convened in
accordance with the standard 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 methods? 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 also will
be reviewed with respect to the following:
o The adequacy of plans
to include both genders, minorities and their subgroups, and children as
appropriate for the scientific goals of the research. Plans for the
recruitment and retention of subjects also will 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 recommended applications. The
following will be considered in making funding decisions: Merit of the
proposed project as determined by peer review, availability of funds, and
program priorities.
INQUIRIES
Inquiries are
encouraged. The opportunity to clarify any issues or questions from
potential applicants is welcome. A complete listing of contacts for both
programmatic and fiscal/administrative inquiries may be found at: http://www.nichd.nih.gov/PA/Social_Networks.htm.
National Institute of
Child Health and Human Development
(http://www.nichd.nih.gov)
National Institute on
Alcohol Abuse and Alcoholism
(http://www.niaaa.nih.gov)
National Institute of
Mental Health
(http://www.nimh.nih.gov)
KEYWORDS:
00A000790
National Institute of Mental Health
00A000778 National Institute on Alcohol Abuse and Alcoholism
00A000760 National Institute of Child Health and Human Development
000795003 Disease Control
000785035 Clinical Medicine General
000785000 Specialties of Medical & Allied Fields
000765033 Pathogenesis
000745070 Treatment Medical
000745027 Disease Prevention
000745000 Intervention Types of (Health & Safety & Medical)
000740000 Intervention Agents for (Health & Safety & Medical)
000730070 Public Health
000730005 Child & Maternal Health
000720000 Education & Instruction (Health & Safety & Medical)
000715182 Sexually Transmitted Diseases
000715125 Infectious Diseases & Agents
000715102 HIV Infection
000715095 Emotional & Mental Health
000715008 AIDS
000710030 Biomedical Research Multidisciplinary
000710012 Behavior & Health
000710005 Adolescent Health
000700000 Health & Safety, Medical Sciences, Biomedical
000414068 Mental Health
000414000 Psychology
000404065 Transmission of HIV/AIDS
000404003 Alcohol & Alcoholism
000404000 Behavioral Studies & Social Problems
000403001 Adolescents
000400000 Behavioral & Social Sciences
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