This Program Announcement expires three years from the release date, unless reissued. RESEARCH ON SOCIAL NETWORKS AND HIV RISK PREVENTION Release Date: March 15, 2001 PA NUMBER: PAS-01-068 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) THIS PA USES THE MODULAR GRANT AND JUST IN TIME CONCEPTS. IT INCLUDES DETAILED MODIFICATIONS TO STANDARD APPLICATION INSTRUCTIONS THAT MUST BE USED WHEN PREPARING APPLICATIONS IN RESPONSE TO THIS PA. 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. AUTHORITY AND REGULATIONS This program is described in the Catalog of Federal Domestic Assistance Nos. 93.864 (NICHD Population Research), 93.273 (NIAAA) and 93.121 and 93.242 (NIMH). Awards are made under authorization of Sections 301 and 405 of the Public Health Service Act as amended (42 USC 241 and 284) and administered under NIH grants policies and Federal Regulations 42 CFR 52 and 45 CFR Parts 74 and 92. This program is not subject to the intergovernmental review requirements of Executive Order 12372, or to 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 people.


Weekly TOC for this Announcement
NIH Funding Opportunities and Notices



NIH Office of Extramural Research Logo
  Department of Health and Human Services (HHS) - Home Page Department of Health
and Human Services (HHS)
  USA.gov - Government Made Easy
NIH... Turning Discovery Into Health®



Note: For help accessing PDF, RTF, MS Word, Excel, PowerPoint, Audio or Video files, see Help Downloading Files.