REPLICATION OF COMMUNITY-BASED HIV INTERVENTIONS FOR YOUTH Release Date: October 22, 1998 RFA: HD-98-015 P.T. National Institute of Child Health and Human Development National Institute of Mental Health Letter of Intent Receipt Date: December 15, 1998 Application Receipt Date: February 17, 1999 PURPOSE This Request for Applications (RFA), jointly issued by the National Institute of Child Health and Human Development and the National Institute of Mental Health, invites research on the replication of community-based behavioral interventions to reduce risks of HIV among youth. The RFA invites researchers to select an HIV intervention program that has been demonstrated to be effective for an adolescent population and to replicate it in a new community or population. This replication is to be done while systematically studying those processes and aspects of the intervention hypothesized to be critical to the development of community based, culturally sensitive programs, in order to assess the variations necessary to gain cooperation, produce behavior change and evaluate the outcomes in the new setting. The primary goals of the research are to gain insight into how interventions may be adapted to new communities while preserving or indeed maximizing the effectiveness of key mechanisms through which they reduce behavioral risks of HIV. 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 RFA, Replication of Community-Based HIV Interventions for Youth, is related to the priority areas of family planning and the prevention of HIV infection and STDs. Potential applicants may obtain a copy of "Healthy People 2000" at http://www.crisny.org/health/us/health7.html. 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) research project grant (R01) 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 earliest anticipated award date is July 1, 1999. FUNDS AVAILABLE The NICHD intends to commit approximately $2 million (total costs, including direct and indirect) and NIMH intends to commit approximately $1 million (total costs) in first year costs to fund four to five grants in response to this RFA. An applicant may request a project period of up to five years. Although this program is provided for in the financial plans of NICHD and NIMH, awards pursuant to this RFA are contingent on the availability of funds and the receipt of a sufficient number of applications of outstanding scientific and technical merit. RESEARCH OBJECTIVES Summary This RFA calls for the selection, transfer, implementation and evaluation of interventions targeted to people under the age of 19 and designed to bring about changes in HIV risk-related sexual behaviors in those populations. Applicants are invited to propose strategies to evaluate and discriminate between the essential components of interventions and the components which must be changed in order to attain success in settings in which the original intervention was not tested. Proposed research should be designed to systematically study elements of the intervention that are hypothesized to be central to community acceptance, cultural sensitivity, and effectiveness in the new setting, while preserving elements through which the intervention is thought to produce behavior change regardless of setting. Applicants should propose designs that will permit the testing of hypotheses regarding the contributions of specific program elements or processes to intervention outcomes. Background Over the past several years, intervention research on HIV prevention has produced some programs which have been evaluated and shown to be effective in reaching individuals and in changing risk behavior (NIH, 1997; CDC, 1997). One component of the success of these programs has been said to be the fact that they were "community-based," designed with the input and skills of the particular community in which they were implemented (Schwab and Syme, 1997). A second component is thought to be that the programs were "culturally sensitive"; that is, they reflected the needs and cultures of the individuals expected to participate in the intervention, using media and messages relevant to those individuals and their lives (Freudenberg and Zimmerman, 1996). Issues relating to the tensions between specificity and generalizability seem to occur across a wide range of innovations (Rogers, 1995). While individual tailoring may account for success at a given location, there is pressing need for theoretically grounded interventions that will be effective in a wide range of communities (DesJarlais and Padian, 1997; Frost and Forrest, 1995). Therein lies a challenge. On the one hand, "replication" implies fidelity to the original, while on the other hand, "community-based and culturally sensitive" implies expectation of variation and sensitivity to that variation. Endless creation of new approaches with limited generalizability may be as wasteful of scarce resources as is the cookbook replication of programs found to be successful elsewhere. It is not clearly understood which elements of a given intervention are essential to success and which must be changed in order for the intervention to be of value elsewhere or with other populations. The theoretical basis for the need to vary interventions to achieve cultural sensitivity and community acceptance is widely accepted, but has been systematically developed and articulated only occasionally (e.g., Catalano, 1997). Concepts of cultural competence or cultural sensitivity are rarely fully developed and are often defined inconsistently. The formal theories most often used in the design of intervention programs have been variations on the Health Belief Model, the Theory of Reasoned Action, the Stages of Change model, and Social Learning Theory (Sonenstein, 1997). These theories usually contain a rationale as to why a given approach is expected to work for a particular behavior, but not often for a particular cultural or community context. To the extent that the potential for behavior change is influenced not only by intra-individual psychological factors but also by characteristics of the social and cultural context, such theories may provide an incomplete basis for the design of effective intervention programs. Research Considerations Since this RFA calls for replication of interventions, a primary basis for the proposal will be the selection of the intervention to be used. The intervention to be replicated must have been reported or accepted for publication in a refereed journal, and it must have demonstrated statistically significant behavior change related to at least one of these risk factors: sexual initiation, numbers or types of partners, the frequency of sexual intercourse and/or the consistent and correct use of condoms. In addition, the population and setting in which the intervention was implemented must have been described in detail. Interventions which have been demonstrated to be effective in the prevention of adolescent pregnancy or other adolescent health-risk behaviors may be appropriate for use in response to this RFA, if they can be shown to have an impact on one or more of the risk factors enumerated above (see Moore et al., 1995; Frost & Forrest, 1995; Kirby, 1997; Sociometrics, 1998). The original intervention need not have been implemented in the United States. A successful application will present a compelling rationale for the transfer of the intervention, demonstrating that there is reason to believe that the intervention (or a specified modification thereof) might be effective in a different setting or with a different population. Applicants are strongly encouraged to present a theoretical model for the proposed research which addresses the following elements: o How the intervention works to produce behavior change; o How the cultural, political and social context in which the intervention is implemented may influence its success, through interactions between its core mechanisms of action and the local context, or through affecting the process of implementation; o Differences between the original and proposed sites/populations that are relevant to the operation of the intervention in the new setting (e.g., differences in the determinants of risky sexual behaviors across sites, differences in meanings attributed to sexual behaviors, differences in the location of relevant opinion leaders and gatekeepers within community institutions, etc.); and o Alterations in the program content, design or implementation that are hypothesized to be necessary for the successful replication of the intervention. The research should be designed to provide a test of the theoretical model motivating alterations to the original intervention. Applicants are also encouraged to provide a strong theoretical rationale for the choice of the new setting or population, based on the model set forward and the differences and similarities between the original and new sites. The replication location must be different from the original site OR involve a substantially different population (e.g., different race, ethnicity, age, gender, or income level). In either case, the replication should be carried out in a community that is demonstrably dissimilar along theoretically relevant cultural, social, economic or political dimensions from that in which the original intervention was conducted. The applicant is encouraged to consider whether the participation, cooperation or collaboration of individuals involved in the original intervention could improve the quality of the replication (NIH, 1997). In addition, the applicant must provide evidence that the appropriate organizations, agencies or individuals at the selected site are willing and able to participate in the study. 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 are provided that inclusion is inappropriate with respect to the health of the subjects or the purpose of the research. This policy results from the NIH Revitalization Act of 1993 (Section 492B of Public Law 103-43). All investigators proposing research involving human subjects should read the "NIH Guidelines for Inclusion of Women and Minorities as Subjects in Clinical Research," which were published in the Federal Register of March 28, 1994 (FR 59 14508-14513) and in the NIH Guide for Grants and Contracts, Volume 23, Number 11, March 18, 1994, available on the web at: https://grants.nih.gov/grants/guide/notice-files/not94-105.html. 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" that was published in the NIH Guide for Grants and Contracts, March 6, 1998, and is available at: https://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. LETTER OF INTENT Prospective applicants are asked to submit, by December 15, 1998, 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 of title of the RFA in response to which the application may be submitted. 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 NICHD staff to estimate the potential review workload and avoid conflict of interest in the review. The letter of intent is to be sent to the program staff listed under INQUIRIES. APPLICATION PROCEDURES The research grant application form PHS 398 (rev. 5/95) is to be used in applying for these grants. These forms are available at most institutional offices of sponsored research and from the Division of Extramural Outreach and Information Resources, National Institutes of Health, 6701 Rockledge Drive, MSC 7910, Bethesda MD 20892-7910, telephone 301-710-0267, Email grantsinfo@nih.gov. The RFA label available in the PHS 398 (rev. 5/95) application form must be affixed to the bottom of the face page of the application. 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 three 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) At the time of submission, two additional copies of the application must be sent to: Scott Andres, Ph.D. Division of Scientific Review National Institute of Child Health and Human Development 6100 Executive Boulevard, Room 5E03, MSC 7510 Bethesda MD 20892-7510 Rockville MD 20852 (for express/courier service) Applications must be received by February 17, 1999. 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 responsiveness to this RFA by NICHD and NIMH staff. Incomplete applications will be returned to the applicant without review. If the application is not responsive to the RFA, CSR 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 NICHD 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 applications under review, will be discussed, assigned a priority score, and receive a second level review by the NICHD and NIMH National Advisory Councils. 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 their 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? Review criteria specific to this RFA are: o The strength of the theories used as basis for the design of an effective replication of the selected intervention. o The ability of the design to provide an effective test of the intervention. o The cooperation evidenced among all agencies participating in the application, as demonstrated both in written form from the cooperating organization directors and in the body of the application. o The knowledge and experience pertaining to the site-specific component of the study and the targeted population(s). o The definition of and access to an appropriate population. 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. The scientific review group will also examine the provisions for the protection of human subjects and the safety of the research environment. Schedule Letter of Intent Receipt Date: December 15, 1998 Application Receipt Date: February 17, 1999 Council Review: May/June 1999 Earliest Anticipated Start Date: July 1, 1999 AWARD CRITERIA Awards will be made based on scientific merit as determined by peer review, on programmatic priorities and on the availability of funds. INQUIRIES Written, email, and telephone inquiries concerning this RFA are encouraged. The opportunity to clarify any issues or questions from potential applicants is welcome. Direct inquiries regarding programmatic issues to: Susan F. Newcomer, Ph.D. Demographic and Behavioral Science Branch National Institute of Child Health and Human Development 6100 Executive Boulevard, Room 8B07 Bethesda, MD 20892 Telephone: (301) 496-1174 FAX: (301) 496-0962 Email: sn19y@nih.gov Willo Pequegnat, Ph.D. National Institute of Mental Health Parklawn Building, Room 18/101 Bethesda, MD 20892 Telephone: (301) 443-6100 Email: wpequegn@mail.nih.gov Direct inquiries regarding fiscal matters to: Ms. Melinda Nelson Grants Management Branch National Institute of Child Health and Human Development Building 61E, Room 8A17K Bethesda, MD 20892 Telephone: (301) 496-5481 FAX: (301) 402-0915 Email: mn23z@nih.gov Diana S. Trunnell Grants Management Branch National Institute of Mental Health 5600 Fishers Lane, Room 7C-08 Rockville, MD 20857 Telephone: (301) 443-3065 FAX: (301) 443-6885 Email: Diana_Trunnell@nih.gov AUTHORITY AND REGULATIONS This program is described in the Catalog of Federal Domestic Assistance Nos. 93.864, 93.121, 93.242. Awards are made under authorization of the Public Health Service Act, Title IV, Part A (Public Law 78-410, as amended by Public Law 99-158, 42 USC 241 and 285) and administered under PHS grant policies and Federal Regulations, 42 CFR Part 52 and 45 CFR Part 74. 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. Sources Catalano, Richard. 1997. My Health, My Community: A free, reproducible adaptable curriculum for community-based adolescent health education, available from Social Development Research Group, 146 N. Canal Street #211, Seattle WA 98103. CDC, Division of Adolescent and School Health. 1997. "Research to Classroom Project: Programs that Work." Information available from DASH/CDC 770.488.5360 DesJarlais, Don and Nancy Padian.1997. "Strategies for universalistic and targeted HIV prevention." Journal of Acquired Immune Deficiencies Syndrome and Human Retrovirology. 16:127-136. Fishbein, Martin and Roel Coutinho, editors. 1997 "NIMH Multisite HIV Prevention Trial" AIDS. Volume 11, supplement 2, December. Freudenberg, Nicholas and Marc A Zimmerman. 1996. AIDS Prevention in the Community. Washington, D.C.: American Public Health Association. Frost, Jennifer and JD Forrest. 1995. "Understanding the Impact of Effective Teenage Pregnancy Prevention Programs." Family Planning Perspectives 27(5):188-195. Ikovics, Jeanette and Hiorkazu Yoshikawa.1998. "Preventive interventions to reduce heterosexual HIV risk for women: current perspectives, future directions." AIDS 12(supplA):5197-5208. Kirby, Douglas. 1997. No Easy Answers: research findings on programs to reduce teen pregnancy. A report to the National Campaign to Prevent Teen Pregnancy. Washington, D.C. Moore, Kris, Barbara Sugland, Connie Blumenthal, Dana Glei and Nancy Snyder. 1995. Adolescent Pregnancy Prevention Programs: Interventions and Evaluations. Washington, D.C.: Child Trends. NIH. 1997 Interventions to prevent HIV Risk Behaviors. NIH Consensus Statement 1997 February 11-13:15(2) Rogers, Everett M. 1995. The Diffusion of Innovation (4th edition). New York: Free Press. Schwab, Michael & SL Syme. 1997. "On paradigms, community participation and the future of public health." American Journal of Public Health.87(12):2049- 2051. Sociometrics Corporation.1998. PASHA 170 State Street, suite 260, Lost Altos CA 94022 Sonenstein, Freya. 1997. "Using self reports to measure program impact." Children and Youth Services Review 19(7):567-585.
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