STRATEGIES TO REDUCE HIV SEXUAL RISK PRACTICES OF DRUG USERS NIH GUIDE, Volume 23, Number 14, April 8, 1994 PA NUMBER: PA-94-054 P.T. Keywords: National Institute on Drug Abuse PURPOSE The purpose of this Program Announcement is to introduce a major research effort to develop and evaluate the efficacy of multi-phase behavioral change interventions designed to reduce high-risk sexual practices among injection drug users (IDUs) and/or crack smokers. It is expected that by implementing strategies in different community settings that are commonly utilized by drug users (e.g., primarily neighborhood settings, but also drug treatment facilities, sexually transmitted disease (STD) clinics, storefronts, etc.) there can be a substantial decrease in the probability of HIV exposure by reducing drug-related sexual risk behaviors. As the AIDS epidemic enters the midyears of the second decade, 339,000 cases of AIDS have been reported to the Centers for Disease Control (CDC) as of September 30, 1993. Of the women infected with the virus via heterosexual intercourse, 60 percent reported their sexual partners to be men who injected drugs. Some of these male injectors were also at risk from sexual contact with other men -- creating a bisexual "bridge" population to women's infection. Additionally, with many women being infected through their own or their sexual partners' drug use, heterosexual transmission of the virus from women to men is now occurring more frequently than originally believed possible. The goal of this research is to gain knowledge about the social and behavioral factors related to sexual risk taking and to develop, implement, and evaluate strategies that reduce sexually and drug related risk behaviors. HEALTHY PEOPLE 2000 The Public Health Service (PHS) is committed to achieving the health promotion and disease prevention objectives of "Healthy People 2000," a PHS-led national activity for setting priority areas. This program announcement, Strategies to Reduce HIV Sexual Risk Practices of Drug Users, is related to the priority area of alcohol and other drugs. Potential applicants may obtain a copy of Healthy People 2000 (Full Report: Stock No. 017-001-00474-0 or Summary Report: Stock No. 017-001-00473-1) through the Superintendent of Documents, Government Printing Office, Washington, DC 20402-9325 (telephone 202-783-3238). ELIGIBILITY REQUIREMENTS Applications may be submitted by foreign and domestic, for-profit and non-profit, public and private organizations such as universities, colleges, hospitals, laboratories, units of State and local governments, and eligible agencies of the Federal government. Foreign institutions are not eligible for First Independent Research Support and Transition (FIRST) (R29) awards. Women and minority investigators are encouraged to apply. Applications are encouraged from State and municipal governments with outreach units and/or State and municipal governments collaborating with university-based research units. MECHANISM OF SUPPORT This program announcement will use the National Institutes of Health (NIH) individual research project grant (R01) and FIRST (R29) award. In addition, the Interactive Research Project Grant (IRPG) program encourages the coordinated submission of related research project grants and, to a limited extent, FIRST (R29) awards may be used (see PA-93-078, NIH Guide, Vol. 22, No. 16. April 23, 1993). Responsibility for the planning, direction, and execution of the proposed project will be solely that of the applicant(s). Support will be provided for a period of up to five years (renewable for subsequent periods) for R01s, subject to continued availability of funds and progress achieved. FIRST (R29) awards must be for five years. Because the nature and scope of the research proposed in response to this program announcement may vary, it is anticipated that the size of an award will vary also. R29 awards are capped at $350,000 over a five-year period. RESEARCH OBJECTIVES Summary Since initiating its Cooperative Agreement (U01) for AIDS Community-Based Outreach/Intervention Research Program in 1990, the National Institute on Drug Abuse (NIDA) has been monitoring the HIV/AIDS epidemic in a population of out-of-treatment drug users across the country. Concurrently, other high-risk populations (including drug users) across the country have been monitored by the CDC. Behavioral change interventions are still the most promising prevention strategies available. All participating sites in NIDA's Cooperative Agreement program are participating in the development, implementation, and assessment of the effectiveness of a variety of community-based outreach intervention strategies to decrease viral transmission among IDUs and users of crack cocaine. The programs at CDC extend these efforts by including other high-risk populations. Since these program began, many changes have occurred in community ecologies of risk (social and biological environments) related to HIV and drug use. A good deal of knowledge has accrued about preventing the spread of HIV through behavior change interventions (e.g., NIDA, 1993a, 1993b, 1993c; CDC, 1992, 1993). The focus of NIDA's behavioral interventions has been to facilitate IDUs to reduce their HIV risk behaviors (i.e., to reduce drug use and to increase use of sterile needles)--for which the interventions appear to have been met with success. There is less understanding about sexual risk taking and success in reducing risky sexual behaviors of injection drug users and crack smokers. For example, preliminary data from NIDA's Cooperative Agreement program (N=6161) show that approximately 75 percent of drug users interviewed reported they were sexually active in the last 30 days, with almost two-thirds reporting no condom use, and 50 percent reporting that they had engaged in more than 11 unprotected sexual acts with more than two partners. Because these practices did not change significantly, the risk of HIV continues to threaten the health and well-being of many drug-using persons and their sexual partners. Findings from NIDA-sponsored and other research programs have demonstrated that a range of risk reduction interventions have been effective in facilitating at-risk injection drug users to enter into treatment, to reduce drug use, not to share needles, and/or to disinfect needles prior to re-using them. There is a compelling need to improve behavior change strategies to promote HIV related risk-reduction behaviors and help drug users who have made positive changes to maintain them and not relapse into greater risk. The challenge is to encourage drug users and their sexual partners to adopt and practice sexual behaviors that reduce their own risks and their partners' risks for acquiring or transmitting HIV infection. It is NIDA's intention to support the development, refinement, and evaluation of innovative interventions which retain a focus on reducing HIV related drug risks but that are particularly aimed at eliminating or reducing high risk sexual behavior in the following high-risk groups: (1) individuals or networks of sexually active male and female heterosexual/bisexual/gay injection drug users (IDUs), crack cocaine users, and/or poly-drug users; and (2) individuals or networks of male and female IDUs, crack cocaine users and poly-drug users who exchange sex for money or drugs for sex. There is a need to improve behavior change strategies, particularly with respect to high-risk sexual practices, to reduce the further spread of HIV. NIDA wishes to expand current research efforts by phasing in and evaluating approaches that focus on reducing drug risks and are aimed at eliminating or reducing high risk sexual behavior. The complexity of sexual and drug-related risks should be acknowledged when developing appropriate interventions; that is, risks related to different drugs and multiple injection and disinfection practices in combination with a range of sexual behaviors including condom use, number of partners, and partners' HIV status. For strategies to be potentially effective and interpretable, they should be guided theoretically and should target sexual risks of drug users and/or their partners or networks of sexual and drug using companions or communities in which sexual behaviors or norms are enacted or maintained. Multiple level, multi-component intervention strategies are encouraged. Program Description It is important to understand the extent to which HIV prevention efforts are needed, already exist, or can be developed and can be effective for sexually active drug users at risk for HIV/AIDS. To this end, NIDA considers epidemiologic, ethnographic, and evaluation perspectives critical aspects of a multi-phase research effort. CDC also supports this approach. Baseline and longitudinal ethnographic, sociobehavioral and/or epidemiologic data are needed to identify and monitor the nature and extent of sexual and/or drug-related risk behaviors and their interactions, as well as the social settings or relationships that affect these behaviors. These data may be qualitative in nature, using ethnographic field observations and/or interviews, or they may derive from survey or other quantitative research. Baseline and longitudinal epidemiologic data are also needed on the serostatus of identifiable subgroups as a function of their risk characteristics. Investigators shall use these epidemiologic and ethnographic data to develop and refine appropriate sexual risk reduction interventions. Finally, controlled evaluation efforts are necessary to assess the effectiveness of prevention projects in eliminating or reducing sexual risk behavior and maintaining risk reduction behavior. Evaluation efforts may also be directed at modeling program effects on HIV serostatus. This program announcement can be viewed as complementing other Program Announcements, i.e., Drug Abuse Aspects of AIDS, PA-93-098; Partner Notification to HIV-Infected Drug Users, PA-93-111; and Research on Needle Hygiene and Needle Exchange Programs (NEP), PA-94-010 in which NIDA and CDC have collaborated. Many previous HIV prevention studies have relied on behavioral change models that focus on the individual to change high-risk behavior or utilize generalized approaches to behavior that is not specific to sexual practices, gender differences, or cultural differences that influence the social context of risk taking. Applicants are encouraged to pay attention to social factors that influence changes in sexual practices and involve not only individual drug users but can also involve couples, groups, or communities in which sexual behaviors or norms are practiced and maintained. Prevention behavior change strategies can include, but need not be limited to: cognitive-behavioral skills training models, community/social norm change models, community mobilization efforts, diffusion of innovation models, and/or social networks approaches. Multidisciplinary perspectives are highly encouraged as is collaboration between researchers, populations at risk, and community-based organizations. Phase I exploratory studies are sought to link macro (community, group, or network) and micro (individual) level factors influencing safer sex practices and reduce exposure to HIV by (1) identifying the nature and antecedents of sexual risk taking and change; (2) developing (or adapting) behavioral and/or social interaction models that are theoretically based and that are specifically designed to change high risk sexual practices (e.g., multiple partners, unprotected sex), antecedent cognitive and social conditions under which unsafe sex occurs (e.g., being high, lacking condoms), or relationship norms that maintain risky practices or affect negotiations over safe sex (e.g., casual versus steady partners, paying versus nonpaying partners); and (3) developing and pilot testing materials, interventions, strategies and methods of locating, engaging and retaining individuals or networks of crack smokers and injection drug users with elevated risk of transmitting HIV through unsafe sexual activities. Interventions must take into account gender, race/ethnicity, sexual orientation, and/or risk behaviors and the social context in which the individual behaviors occur. We anticipate that multiple intervention strategies will be needed to take into account the behavioral heterogeneity among subpopulations at risk for HIV as well as the varying HIV seroprevalence of different communities. Applications should address such issues as gender-based outreach strategies, culturally appropriate HIV prevention strategies, and for behaviorally and socially specific interventions. Phase II implementation and evaluation (quantitative and qualitative) will include interventions developed in Phase I. Evaluation will require research plans that include measurement of project implementation and compliance with protocol, estimates of sample size and periods of data collection, plans for minimizing attrition, strategies for client followup, specification of variables to be analyzed and measures to be used, statistical techniques to be employed, a discussion of the strengths and weaknesses of the analytic strategies, as well as a strategy for component analysis to identify the most and least effective parts of the intervention. In addition to measuring specific behaviors, norms, and other outcomes, the evaluation research must separately analyze intervention effects by specific subgroups who are at risk for HIV and must be sensitive to potential negative effects of the project. The final defining characteristic of Phase II research is the replicability of the selected intervention and the development of mechanisms for its operationalization at other sites. Attention must focus on the process of implementation and impact on the target populations to help us better understand the dynamics of behavior change. It is critical to address methodological restrictions that can limit the contributions of Phase I or Phase II research to understanding HIV prevention. Much information can be gained if the interventions are theoretically grounded, specific behaviors clearly identified and measured, design issues related to sampling, attrition, and followup specifically planned or controlled and intervention strategies are specific to the behaviors targeted for change. It should be noted that the NIDA has developed a valid and reliable questionnaire (Risk Behavior Assessment) that may be modified and used to obtain drug and/or sexual risk information in the proposed study. Attention to using the most advanced strategies (new technologies for identifying, accessing, recruiting hidden populations and for data collection and transfer) are encouraged. As well, CDC has additional questionnaires. If the applicant plans to modify any currently used instrument, s/he should include an explanation of how validity and reliability will be assessed on the revised instrument. Confidential voluntary HIV antibody testing must be made available to all study participants. The NIDA will work closely with each project to ensure the smooth operation of this requirement. PHS Policy requires that every effort be made to inform persons who are tested of their HIV results. Policy also requires that counseling and treatment be provided to all persons testing positive for HIV infection, and that retesting after six months be offered all persons testing negative. Detailed protocols for implementing HIV testing and pre- and post-test counseling have been previously described by NIDA and CDC and will be made available upon request. As noted in this section, NIDA and CDC have collaborated, and will continue to collaborate, in the development and implementation of this program announcement. STUDY POPULATIONS 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 subpopulations must be included in all NIH supported biomedical and behavioral research projects involving human subjects, unless a clear and compelling rationale and justification is provided that inclusion is inappropriate with respect to the health of the subjects or the purpose of the research. This new policy results from the NIH Revitalization Act of 1993 (Section 492B of Public Law 103-43) and supersedes and strengthens the previous policies (Concerning the Inclusion of Women in Study Populations, and Concerning the Inclusion of Minorities in Study Populations) which have been in effect since 1990. The new policy contains some new provisions that are substantially different from the 1990 policies. All investigators proposing research involving human subjects should read the "NIH Guidelines For Inclusion of Women and Minorities as Subjects in Clinical Research", which have been published in the Federal Register of March 9, 1994 (FR 59 11146-11151), and reprinted in the NIH Guide for Grants and Contracts, Vol. 23, No. 11, March 18, 1994. Investigators may obtain copies from these sources or from the program staff or contact person listed below. Program staff may also provide additional relevant information concerning the policy. APPLICATION PROCEDURES Applications are to be submitted on the grant application form PHS 398 (rev. 9/91) and will be accepted at the standard AIDS-related application deadlines as indicated in the application kit. Application kits are available at most institutional offices of sponsored research and may be obtained from the Office of Grants Information, Division of Research Grants, National Institutes of Health, Westwood Building, Room 240, Bethesda, MD 20892, telephone 301-710-0267. The title and number of the program announcement must be typed in Item 2a on the face page of the application. The completed original and five permanent, legible copies of the PHS 398 form must be submitted to: Division of Research Grants National Institutes of Health Westwood Building, Room 240 Bethesda, MD 20892** REVIEW CONSIDERATIONS Applications received under this program announcement will be assigned to an initial review group (IRG) in accordance with established PHS referral guidelines. The IRGs, consisting primarily of non-Federal scientific and technical experts, will review the applications for scientific and technical merit in accordance with the standard NIH peer review procedures. Notification of the review recommendations will be sent to the applicant after the initial review. Applications will receive a second-level review by an appropriate National Advisory Council, whose review may be based on policy considerations as well as scientific merit. Only applications recommended for further consideration by the Council may be considered for funding. AWARD CRITERIA Applications recommended for further consideration by an appropriate Advisory Council will be considered for funding on the basis of overall scientific, clinical and technical merit of the application as determined by peer review, program needs and balance, and availability of funds. INQUIRIES Written and telephone inquiries are encouraged. The opportunity to clarify any issues or questions from potential applicants is welcome. Direct inquiries regarding programmatic issues to: Richard Needle, Ph.D., M.P.H. Community Research Branch National Institute on Drug Abuse 5600 Fishers Lane, Room 9A-30 Rockville, MD 20857 Telephone: (301) 443-6720 Direct inquiries regarding fiscal matters to: Gary Fleming, J.D., M.A. Grants Management Branch National Institute on Drug Abuse 5600 Fishers Lane, Room 8A-54 Rockville, MD 20857 Telephone: (301) 443-6710 AUTHORITY AND REGULATIONS This program is described in the Catalog of Federal Domestic Assistance No. 93.279. Awards are made under authorization of the Public Health Service Act, Section 301 and administered under PHS policies and Federal Regulations of Title 42 CFR 52 "Grants for Research Projects", Title 45 CFR Part 74 and 92, "Administration of Grants" and 45 CFR Part 46, "Protection of Human Subjects". Title 42 CFR Part 2, "Confidentiality of Alcohol and Drug Abuse Patient Records" may be applicable to these awards. Title 42 Part 241(d) "Certificates of Confidentiality and Communicable Disease Reporting" will also apply. This program is not subject to the intergovernmental review requirements of Executive Order 12372. References National Institute on Drug Abuse 1993a The Behavioral Counseling Model for Injection Drug Users. Rockville, MD: The National Institute on Drug Abuse. National Institute on Drug Abuse 1993b The Indigenous Leader Outreach Model. Rockville, MD: The National Institute on Drug Abuse. National Institute on Drug Abuse 1993c The NIDA HIV Counseling and Education Intervention Model. Rockville, MD: The National Institute on Drug Abuse. .
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