THE INFLUENCE OF GENDER ON HIV RISK

Release Date:  November 28, 2000

RFA:  HD-01-002

National Institute of Child Health and Human Development
 (http://www.nichd.nih.gov)
National Institute of Mental Health
 (http://www.nimh.nih.gov)

Letter of Intent Receipt Date:  January 6, 2001
Application Receipt Date:       March 22,  2001

THIS RFA 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 RFA.

PURPOSE

Social and cultural understandings of gender exert powerful influences on 
human behavior, particularly in the domain of sexuality.  Differences in male 
and female sexual behavior are in part biologically based, but much of the 
variation in individual and couple sexual behavior emerges from socially and 
culturally determined understandings of what is appropriate for and expected 
of males and females.  In the present context of the AIDS epidemic, where 
sexual interactions may have deleterious consequences, these gendered 
expectations and attitudes are particularly salient.  Few studies, however, 
have specifically undertaken the task of relating the impact of gender on 
AIDS risk.  This Request for Applications (RFA) seeks research that will 
contribute to a better understanding of how gender influences the risk of HIV 
infection through sexual behaviors, and of how HIV risks rooted in gendered 
expectations and behaviors may be best reduced. 

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 Request for 
Applications (RFA) 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, 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 RFA will use the National Institutes of Health (NIH) individual research 
project grant (R01) award mechanism.  Responsibility for the planning, 
direction, and execution of the proposed project will be solely that of the 
applicant.  The total project period for an application submitted in response 
to this RFA may not exceed five years.  This RFA is a one-time solicitation.  
Future unsolicited competing continuation applications will compete with all 
investigator-initiated applications and be reviewed according to the 
customary peer review procedures.  The anticipated award date is September 
2001.

Specific application instructions have been modified to reflect “MODULAR 
GRANT” and “JUST-IN-TIME” streamlining efforts being examined by the NIH.  
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 million in total costs [direct 
plus Facilities and Administrative (F&A) costs] in FY 2001 to fund six to 
eight new and/or competing continuation applications in response to this RFA.  
The NIMH intends to commit approximately $500,000 in total costs [direct plus 
Facilities and Administrative (F&A) costs] in FY 2001 to fund one to three 
new and/or competing continuation applications in response to this RFA.  An 
applicant may request a project period of up to five years.  Applicants 
considering submitting budget requests in the $300,000 to $500,000 range are 
encouraged to discuss their plans with the NICHD or NIMH program officer 
named under INQUIRIES, below.  Because the nature and scope of the research 
proposed may vary, it is anticipated that the size of each award will also 
vary.  In general, direct cost requests are expected to fall within the range 
of  $100,000 to $300,000.  Although the financial plans of the NICHD and the 
NIMH provide support for this program, awards pursuant to this RFA are 
contingent upon the availability of funds and the receipt of a sufficient 
number of meritorious applications. 

RESEARCH OBJECTIVES

Background

For purposes of this RFA, we refer to “sex” as the biological differentiation 
of male and female.  We use “gender” to refer to the set of ideas shared by 
people belonging to a given group or society regarding what it means to be 
male or female.  These include ideas about how men and women look, think, and 
behave; expectations and values about how they should look, think, and 
behave, both separately and together; and conceptions about the place of each 
sex within the social order.  Gender includes concepts of  “masculinity” or 
“femininity” which denote what types of characteristics and behaviors make 
someone male or female.   

Gendered norms and expectations are social or cultural phenomena, in that 
they are negotiated and shared among a group of people.  However, they also 
operate at the individual level, in the form of an individual’s own gendered 
attitudes, expectations, and behaviors.  Gendered norms and expectations are 
reinforced or may evolve as a result of interplay between action at the 
individual and social levels.  For example, a man who violates conventional 
gender expectations by wearing his hair long may meet with censure and 
avoidance, and/or may contribute towards changing the convention that long 
hair is inappropriate for men.  

Although gender norms and expectations may, under some circumstances, exhibit 
substantial continuity, they also vary across time, cultures, and 
socioeconomic groups.  Even within national boundaries, wide variations may 
exist within racial and ethnic groups.  Immigrants bring perceptions of men’s 
and women’s responsibilities and behavior from their culture of origin, which 
may or may not blend with the gender beliefs of their new society.  
Expectations for gendered behavior also may be context-specific, depending on 
whether one is with members of the same or opposite sex, at work or on a 
date, and, within couples, on a variety of factors including type of 
relationship (marital, casual, paid sex-worker, and same-sex versus 
heterosexual relationships).

The social and cultural processes that determine how gendered norms and 
expectations evolve are still incompletely understood.  At the societal 
level, they are clearly influenced by the historical interplay of economic, 
political, and social forces.  For example, the movement of women into the 
labor force in most industrialized countries has been linked to a wide 
variety of factors.  These include the wartime necessity to involve women in 
factory work, falling fertility rates and rising divorce rates, increasing 
education for women, the passage of laws prohibiting discrimination on the 
basis of sex, and the ideas promulgated by the women’s movement.   
Institutions, including religious organizations, workplaces, schools, media, 
and governments, play an important role in reinforcing or changing gender 
norms.  Norms, attitudes, and beliefs also evolve through social interaction 
within and across social networks defined by ties such as friendship, 
residential proximity, work, and kinship.  Various factors may also influence 
gender development and attitudes at the individual level, including family, 
peers, socioeconomic status, religion, and the media.  Attitudes and 
perception of gender may also be influenced by an individual’s biology (e.g., 
hormonal influences) and by his/her life experiences.  

Gendered norms, expectations, and behaviors are central to HIV risk primarily 
because of their influence on sexual behavior.  Attitudes and behaviors 
relating to partner selection, sexual activity, contraceptive use, fidelity, 
and marriage are all highly colored by gender.  Below, we highlight some 
aspects of gender involved with the risk and transmission of HIV and AIDS.

o Gender roles, or societal expectations regarding how men and women behave 
and function, may play a role in HIV risk dynamics.  For example, in some 
societies men are assumed to have the right to decide whether and when to 
have sex, regardless of the woman’s wishes.  In some situations, young women 
are expected to control sexual situations, and blamed if they are unable to 
do so.  Expectations of sexual fidelity often differ by sex, putting one or 
the other partner at greater risk of infection.

o Personal gender ideologies may influence sexual behavior as individuals 
seek to act in ways that are consistent with their concepts of masculinity or 
femininity (also referred to as gender display).  For example, condom use may 
be promoted by ideas of masculinity that include the importance of protecting 
one’s partner.  Satisfaction with one’s partner or relationship may be easier 
to maintain if both partners’ gender ideologies emphasize the value of 
commitment.  The introduction of condoms into an ongoing relationship may 
signal a change in that commitment.  Men who believe that risk-taking is an 
expression of masculinity may be more likely to engage in high-risk sexual 
and drug-using behaviors.

o  Gender-based power differentials can influence the risk of unprotected 
intercourse.  Some examples may be found in coercive sex, a woman’s 
unwillingness to demand condom use, or a wife’s inability to refuse sex with 
an infected partner.  Power differentials are often linked to economic 
factors, and can often be traced to disparities in income and earning 
potential between the sexes and structural or normative conditions that limit 
the economic autonomy of women.  In many areas of high HIV prevalence, women 
work as sex workers despite the risk of infection because of economic 
necessity.  Other sources of power differentials include age differences and 
cultural norms that assign members of one sex a subservient position.

To the extent that sexual networks may be heterogeneous with respect to 
social and cultural constructions of gender, the dynamics of achieving 
protection from HIV risk may be complicated.  The expectations and beliefs 
one person holds may not coincide with those of a partner, or of a larger 
network.  When these differences result in unshared assumptions between 
partners, they may increase risk of HIV.

Previous Research

Research over the last 25 years on the meanings of “masculinity” and 
“femininity” and other aspects of gender has laid a scientific foundation for 
an enhanced research effort to understand the impact of gendered expectations 
and gender dynamics on sexual behaviors related to HIV risk.  Varying 
theories and perspectives on gender and gender roles have been proposed.  A 
recent burgeoning of quantitative and qualitative research on topics related 
to gender provides an important basis for research on sexuality.  For 
example, research has found that teenaged males in the U.S. with traditional 
attitudes toward gender roles have more sex partners, less condom use, a less 
intimate relationship with their last partner (Pleck, Sonenstein, and Ku 
1993), and are more likely to interpret women’s courtship/dating behavior as 
sexual (Kowalski 1993).  Gender may also be a determinant in partner 
selection.  Individuals tend to form a couple with those who possess similar 
gender-related attitudes (Aube and Koestner 1995). 

Underlying all of the findings mentioned, however, is the fact that the 
research has focused on United States participants with gender norms 
implicitly based on U.S. culture.  Because there are cultural variations of 
gender that exist between societies, the treatment and behavior of men and 
women are, to a great extent, dictated by cultural attitudes and practices 
that are developed, passed on, and altered by historical events and economic 
needs.  For example, the women’s movement of the 1960s in the United States 
modified traditional gender roles, in turn lessening the stigma of stay-at-
home dads and working moms.  To the contrary, the Taliban in Afghanistan 
indoctrinated beliefs whereby men and women must strictly adhere to 
traditional gender roles. Cultural sensitivity is, therefore, of the utmost 
importance in an examination of gender differences. 

Research Scope

This RFA invites research that will contribute to a better understanding of 
how gender influences the risk of HIV infection through sexual behaviors, and 
of how HIV risks rooted in gendered expectations and behaviors best may be 
reduced.  The ultimate goal of the research is the identification of 
strategies to reduce the spread of HIV and applicants should justify the 
significance of the proposed research in relation to this goal.  Applicants 
may propose basic or intervention research, and research in either domestic 
or international settings.  Proposed research should be well grounded in 
theory.  Research that combines qualitative and quantitative measurement 
strategies may be particularly well suited to the goals of this RFA.

Illustrative research topics include, but are not limited to: 

Studies that examine the diversity of cultural understandings and gendered 
behaviors related to sexual risk of HIV within and across national, racial, 
and ethnic populations, particularly those with high or increasing prevalence 
of HIV. 

Studies that examine individual, social, cultural, and economic processes 
that create or modify gendered norms, expectations, and behaviors related to 
sexual risk of HIV.

Studies that examine the influence of gender on some aspect of HIV-related 
sexual behavior. For example:  

o The contexts in which condoms are used.  How do gender norms affect the 
ease of condom use in different types of relationships (e.g., temporary 
versus committed)?  How does correct and consistent condom use in the context 
of an ongoing relationship vary in relation to which partner introduces it 
and when?

o Partner acquisition and the stability and exclusivity of sexual 
relationships; acquisition of serial and simultaneous sexual partners.

o Sexual networking and partner selection in men and women:  How do gender 
and gender norms affect how men and women pursue partners; where and how they 
seek sex partners (work, bars, through social connections or dating 
services), and whom they choose as sex partners (prostitutes, friends, 
strangers)? 

o Initiation into risky sexual behaviors: What aspects of gender increase the 
risk of young men and women beginning to engage in sexual behaviors that 
could lead to HIV infection?

Studies of social interactions between men and women and their impact on HIV 
risk.  

Studies of gender in relation to the consequences of HIV infection (the 
provision of or the expectation of support from others, stigma of having 
disease, consequences to relationship strength, access to treatment and care, 
use of health services).  

Conflict or coherence in attitudes toward sexual intercourse (in terms of 
partners, protection, power and pleasure) at the dyadic, group, and cultural 
level, and the implications of conflict or coherence for HIV risk.  

The effects of outside influences (religion, family, friends, media, work, 
etc.) on childhood/adolescent/adult development of gender roles and 
ideologies and how they shape one’s perception of AIDS, sexual experience, 
and risk behavior.  

Studies of the interplay of biological and social influences on gendered 
sexual behaviors (for example, decisions for sex, partner selection and 
exclusivity, condom use, risk behavior, perceptions of risk).

Meanings of gender and gendered norms, expectations, and behaviors within gay 
and lesbian individuals and couples and their relation to AIDS risk 
perceptions and behavior. 

Studies of the role of gender in the development of strategies for reducing 
HIV risk and transmission.  If expectations of behavior change are targeted 
disproportionately to one sex, what social, economic, political, and social 
processes influence this and what are the implications for HIV prevention?

Intervention studies that target the role played by gender in influencing 
HIV-risk behaviors and the consequences of HIV infection. 

References 

Archer, John. 1989. “The Relationship between Gender-Role Measures: A 
Review.” British Journal of Social Psychology  28: 173-184.

Aube, Jennifer and R. Koestner. 1995. “Gender Characteristics and 
Relationship Adjustment: Another Look at Similarity-Complementarity 
Hypotheses.” Journal of Personality  63(4): 879-904.

DiBlasio, Frederick A. and B.B. Benda. 1992. “Gender Difference in Theories 
of Adolescent Sexual Activity.” Sex Roles  27(5/6): 221-239.

Irvine, Janice M. 1990. “From Difference to Sameness: Gender Ideology in 
Sexual Science.”  The Journal of Sex Research  27(1): 7-24.  

Kowalski, Robin M. 1993. “Inferring Sexual Interest from Behavioral Cues: 
Effects of Gender and Sexually Relevant Attitudes.” Sex Roles  29(1/2): 13-
36.
 
Lorber, Judith. 1998.  Gender Inequality: Feminist Theories and Politics.  
Los Angeles: Roxbury Publishing Co.

Pleck, Joseph H, F.L. Sonenstein, and L.C. Ku. 1993. “Masculinity Ideology: 
Its Impact on Adolescent Males’ Heterosexual Relationships.”  Journal of 
Social Issues  49(3): 11-29.

Udry, JR. 1994. “The Nature of Gender.”  Demography 31(4): 561-573.

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 and 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 on the Internet 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 may also 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.

LETTER OF INTENT

Prospective applicants are asked to submit a letter of intent that includes a 
descriptive title of the proposed research, the name, address, and telephone 
number of the Principal Investigator, the identities of other key personnel 
and participating institutions, and the number and title of this RFA.  
Although a letter of intent is not required, is not binding, and does not 
enter into the review of a subsequent application, the information that it 
contains allows NIH staff to estimate the potential review workload and plan 
the review.

The letter of intent is to be sent to Dr. Susan Newcomer at the address 
listed under INQUIRIES, below, by January 6, 2001.

APPLICATION PROCEDURES

The research grant application form PHS 398 (rev. 4/98) is to be used in 
applying for these grants. 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. 

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 (rev. 4/98) is to be used 
in applying for these grants, with the modifications noted below.

For this RFA, Modular Grant applications will request direct costs in $25,000 
modules, up to a total direct cost request of $500,000 per year.  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 $500,000) 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 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 RFA label available in the PHS 398 (rev. 4/98) application form must be 
stapled to the bottom of the face page of the application and must display 
the RFA number HD-01-002.  A sample RFA label is available at 
http://grants.nih.gov/grants/funding/phs398/label-bk.pdf.   Please note this 
is in the pdf format.  Failure to use this label could result in delayed 
processing of the application such that it may not reach the review committee 
in time for review.  In addition, the RFA title and number 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)

Applications must be received by March 22, 2001.  If an application is 
received after that date, it will be returned to the applicant without 
review.
  
The Center for Scientific Review (CSR) will not accept any application in 
response to this RFA that is essentially the same as one currently pending 
initial review, unless the applicant withdraws the pending application.  The 
CSR will not accept any application that is essentially the same as one 
already reviewed.  This does not preclude the submission of substantial 
revisions of applications already reviewed, but such applications must 
include an introduction addressing the previous critique.

REVIEW CONSIDERATIONS

Upon receipt, applications will be reviewed for completeness by the CSR and 
for responsiveness to the RFA by the NICHD and NIMH.  If the application is 
not responsive to the RFA, staff may contact the applicant to determine 
whether to return the application to the applicant or submit it for review in 
competition with unsolicited applications at the next review cycle.

Applications that are complete and responsive to the RFA will be evaluated 
for scientific and technical merit by an appropriate peer review group 
convened by the Center for Scientific Review in accordance with the review 
criteria stated below.  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 the applications under review, will be discussed, assigned a priority 
score, and receive a second level review by the National Advisory Child 
Health and Human Development Council or the National Advisory Mental Health 
Council.

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, applications will be evaluated with respect to:

o The adequacy of the proposed plan to share data, if appropriate.

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, and children 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.

Schedule

Letter of Intent Receipt Date:    January 6, 2001
Application Receipt Date:         March 22,  2001
Peer Review Date:                 June/July 2001
Council Review:                   September 2001
Earliest Anticipated Start Date:  September 2001

AWARD CRITERIA

Criteria that will be used to make award decisions include:

o scientific and technical merit (as determined by peer review)
o availability of funds
o programmatic priorities.

INQUIRIES

Inquiries concerning this RFA are encouraged.  The opportunity to clarify any 
issues or answer questions from potential applicants is welcome.

Direct inquiries regarding NICHD-related programmatic issues to:

Susan Newcomer, Ph.D.
Demographic and Behavioral Sciences Branch
National Institute of Child Health and Human Development
6100 Executive Boulevard, Room 8B07, MSC 7510
Bethesda, MD 20892-7510
Telephone:  (301) 435-6981
E-mail:  Snewcomer@nih.gov 

Direct inquiries regarding NIMH-related programmatic issues to:

Willo Pequegnat, Ph.D.
Center for Mental Health Research on AIDS
Division of Mental Disorders, Behavioral Research and AIDS
National Institute of Mental Health
6001 Executive Boulevard, Room 6205, MSC 9619
Bethesda, MD 20892-9619
Telephone:  (301) 443-1187
FAX:  (301) 443-9719
E-mail:  wpequegn@nih.gov 

Direct inquiries regarding NICHD-related fiscal and administrative matters 
to:

Mary Ellen Colvin
Grants Management Branch
National Institute of Child Health and Human Development
6100 Executive Boulevard, Room 8A17G, MSC 7510
Bethesda, MD 20892-7510
Telephone:  (301) 496-5001
E-mail:  colvinm@nih.gov 

Direct inquiries regarding NIMH-related fiscal matters to:

William F. Caputo
Grants Management Branch
National Institute of Mental Health
6001 Executive Boulevard, Room 6115, MSC 9605
Bethesda, MD 20892-9605
Telephone:  (301) 443-0004
FAX:  (301) 443-6885
E-mail:   wcaputo@nih.gov 

Direct all inquiries regarding review issues to:

Angela Pattatucci-Aragon, Ph.D.
Center for Scientific Review
6701 Rockledge Drive, Room 5220
Bethesda, MD 20892
E-mail:  PattatuA@nih.gov

AUTHORITY AND REGULATIONS

This program is described in the Catalog of Federal Domestic Assistance Nos. 
93.864 (Population Research) 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 Health Systems Agency review.

The PHS strongly encourages all grant 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.


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