Barriers to Research and Capacity Building at Hispanic-Serving Institutions: The Case of HIV/AIDS Research at the University of Puerto Rico

Abstract

Substantive barriers to research, such as cultural, language, and methodological variables, exist in Hispanic-serving institutions. Historical and contextual variables account for the differences between academic settings with research-intensive centers and those with limited infrastructure for competitive research.

We provide a case example to serve as a model for developing and strengthening the research infrastructure in Hispanic-serving institutions and for providing the mentorship Latino investigators may need to compete with other investigators in research-intensive centers. We present recommendations to reduce these barriers.

INCREASING PARTICIPATION by members of ethnic minorities in the creation of knowledge continues to be an important goal for the scientific community. Although minority communities in the United States have grown rapidly, their representation in the scientific enterprise remains unremarkable. The National Research Council concluded that there has been no increase in the number of PhD degrees awarded to minorities involved in behavioral or biomedical research over the past decade. The council recommended an increase in efforts to identify and support programs that prepare underrepresented minorities to work in biomedical and behavioral sciences.¹ Drawing from this report, the National Institute of Mental Health (NIMH) leadership concluded that “racial/ethnic minority groups are underrepresented among the mental health workforce”^2(p9) despite important efforts by the NIMH to increase representation.

An example of such underrepresentation can be seen in a National Advisory Mental Health Council report, which noted that in 1999, “few minority investigators submitted research applications … and even fewer were funded.”^3(p4) Of the total applications the National Institutes of Health (NIH) received in 2002, only 0.8% were awarded to African Americans, 2.3% to Latinos, and 0.1% to Native Americans.³ Taken together, only 3.2% of all research and program grants were awarded to these minorities, who accounted for 25% of the US population. The report concludes that current and projected numbers of ethnic-minority researchers are insufficient to meet the needs of the science workforce.²

We describe the barriers to research and capacity building in a Hispanic-serving institution (i.e., an institution of higher education with full-time, Hispanic students making up at least 25% of all enrollees), examine the historical and contextual variables that explain some of these barriers, and present a model program designed to strengthen and support the career development of Latino scientists conducting HIV/AIDS research at a historically Hispanic-serving institution, the University of Puerto Rico.

LATINOS AND LATINAS IN THE UNITED STATES

Latinos in the United States number 44.3 million, representing 14.8% of the total population.⁴ The Latino community is diverse and heterogeneous: 64% are Mexican American, 12.7% are Central and South American, 9.6% are Puerto Rican, 3.6% are Cuban, 2.6% are Dominican, and 7.6% are either from Spain or do not trace their origin to a particular Latin American country.

Latino migration to the United States is the result of various social, economic, and political circumstances.^5,6 The majority of Mexicans who migrate are motivated by high unemployment levels and low wages in Mexico and by the demand for cheap labor in the United States.⁶ Thus, most Mexican immigrants are of low socioeconomic status. Similar circumstances spurred a large wave of Puerto Rican immigrants to the United States during the 1940s and 1950s, primarily stimulated by a government attempt to ameliorate poverty and overpopulation in Puerto Rico.⁷ By contrast, Cuban immigration has historically been characterized primarily by political forces, though more recent immigrants report economic motives.⁶ Latinos from countries that have experienced times of conflict, such as Argentina, Chile, El Salvador, and Nicaragua, have come to the United States largely for political reasons.

Though differences may be noted among Latino groups living in the United States and its territories, they share social conditions such as poverty, inadequate housing, a high proportion of single-parent families, acculturative stress, and discrimination.⁵ Culturally, Latinos share the Spanish language and values such as personalismo (emphasis on the importance of personal contact), familismo (familialism or orientation toward the family group), and simpatía (high value of social engagement or charm).⁷ Both the heterogeneity and the similarities among Latinos must be taken into consideration when designing programs that aim to foster a Latino presence in academic research, especially, mental health research and HIV/AIDS research.

The issues and problems associated with research underdevelopment at a Hispanic-serving institution must be understood within a social and historical context. Puerto Rico is a Spanish-speaking island in the Caribbean, about twice the size of Rhode Island. There are 3.8 million people living on Puerto Rico,⁸ with an additional 4.6 million Puerto Ricans living in the United States.⁹ According to the 2002 Census,⁸ 44.6% of all families on the island had incomes below the poverty level. Puerto Rico's GNP per capita is about 28% of the US average and less than half that of Mississippi, the state with the lowest per capita income.

A study of perceptions of the conditions for conducting psychological research in Puerto Rico identified a number of social and economic factors that limit productivity,¹⁰ such as the lack of resources for research, funding, and a supportive intellectual climate. The Minority Research Infrastructure Program is aimed at reducing institutional barriers at a historically Hispanic-serving institution. The assumption underlying our program is that faculty members working in an environment characterized by underdevelopment need an alternative structure of support to conduct independent mental health and HIV/AIDS research.

RESEARCH INFRASTRUCTURE

In 2006, the Río Piedras campus of the University of Puerto Rico increased its emphasis on graduate studies and research, reconfiguring the university's mission from that of a comprehensive university to that of a research-intensive institution. Since then, important policy changes have been implemented. The mission is now explicit on providing graduate education of the highest quality, a policy also aimed at enhancing undergraduate education. Within the new mission, “research is considered an indispensable condition for the implementation and development of graduate studies”¹¹

Having introduced efforts to strengthen its undergraduate curriculum, graduate programs, and research activities, the Río Piedras campus has been reclassified by the Carnegie Foundation as a “research-intensive institution” on the basis of its “very high research activity.”¹² Despite these institutional developments, research capacity at the campus is still limited. The College of Natural Sciences, with its strong program of research, is the only exception. The College of Social Sciences and the School of Education lag behind, particularly regarding mental health and HIV/AIDS research. The institutional barriers that limit the faculty's capacity to develop and sustain research programs include the previous lack of a clear policy on research, the university's historical classification as a teaching institution, low salaries and incentives, infrastructure limitations (space, equipment, and support personnel needed for research), isolation, lack of a critical mass of researchers and academic research models, and lack of core batteries of reliable and valid instruments for conducting mental health research and HIV/AIDS research.

Faculty members are required to teach 4 courses per semester (a minimum of 12 credit hours per semester). However, in our survey of teaching loads in the Psychology Department, we found that faculty at the assistant and associate professor level were consistently teaching 16 to 18 credit hours per semester. Low salaries and lack of financial incentives constitute another major barrier to conducting research. The low salaries motivate some faculty members to accept extra courses or part-time work in private practice, consultation, or teaching outside the university system. This situation serves as a disincentive for those who are interested in research but also need to respond to economic realities. Some progress has been made in this area, however. A recent certification by the Council of Higher Education approved a new plan to augment the salaries of researchers who receive external funds.¹³

Faculty members lack support for key academic development activities needed to carry out research. Many faculty members have no access to updated information about funding sources, do not have the skills to prepare a research proposal, or have not been able to upgrade their computer and statistical skills. This scenario is compounded by a lack of peer support for research, an absence of consultants for data management and analysis, and the distance from major research centers. Isolation makes it difficult to establish collaborative research relationships with colleagues in the continental United States and in other international forums. Fortunately, new communication technologies have helped reduce this barrier.

THE MINORITY RESEARCH INFRASTRUCTURE PROGRAM

The Minority Research Infrastructure Program at the University of Puerto Rico, Río Piedras has been funded since 1992 to advance research on mental health and on HIV/AIDS. The program involves faculty members in funded pilot work, supports the participation of students, and offers research development activities for faculty, thereby enhancing the institutional infrastructure for conducting research. This program includes 2 components: research infrastructure development and individual faculty research projects.

Faculty research activities are a key element of the research infrastructure development. The goal is to maximize the use of NIMH programs (small research grants, or “R03s”; predoctoral fellowship programs, or “F31s”; and minority supplements), other fellowship programs (e.g., American Psychological Association Minority Fellowship Program and Ford Foundation fellowships), and University of Puerto Rico institutional mechanisms to support junior faculty and graduate student research. The plan is to support participants as they move through the program, with the goal of submitting a proposal to an appropriate mental health or HIV/AIDS funding source. The faculty research activities phases are designed to respond to the individual needs of faculty at different stages of their academic development. In other words, not every faculty member will go through each phase. The structuring of research activities into phases integrates and organizes both university and Minority Research Infrastructure Program resources. The outcome at each phase sets the basis for the research activity at the subsequent phase. The faculty research activities phase is summarized in Table 1.

TABLE 1.

Elements of Faculty Research Activities at the University of Puerto Rico, Río Piedras, by Phase

Phase	Pilot Research with Institutional Funds and Proposal for M-RISP or Similar Program	M-RISP Pilot Study	Independent Research Project
Research activities	Write a proposal for institutional pilot funds	Conduct an M-RISP pilot study	Conduct an independent research project or equivalent
	Conduct the research project	Write a proposal for expanding an M-RISP pilot study	Write articles
	Write an expanded proposal with the collected pilot data for M-RISP funds, small research grants (RO3), fellowships (F31, F32, K Awards, dissertation grants), etc.	Write article
	Write article
Resources	Research practicum (3 credits)	25% release time (reduction of one 3-credit course per semester) for research	25% release time (reduction of one 3-credit course per semester) for research
	FSDA and MSC resources; 25% release time (3 credits) for research	Research practicum (3 credits)	Research practicum (3 credits)
	Research practicum (3 credits)	FIPI and M-RISP funds	RO1, RO3, R21, training program, etc.
		FSDA and MSC resources	Faculty becomes resource to M-RISP
Outcomes	Submit a proposal for University of Puerto Rico funds	Submit a proposal for a continuation of an M-RISP pilot or to a Small Grant, RO1 or K Award, or equivalent	Submit a competing continuation proposal
	Submit a proposal for an M-RISP pilot	Publish articles	Publish articles
Time Line	2 years for pilot	2–5 years	3–5 years
	2–3 years for proposal for extramural funds

Note. M-RISP = Minority Research Infrastructure Program; FSDA = Faculty Student Development Activity; MSC = Methodological Statistical Core; FIPI = Institutional Funds for Research; RO1, R21, R03 = research mechanisms at National Institutes of Health (NIH); F31, F21 = fellowship awards at NIH; K Award = Career Development Award at NIH.

Faculty research activities include 3 unique features. First, participants are involved in planning or conducting research upon entry into the program. Second, the program supports the faculty member in an individualized manner, with the objective of producing a competitive research proposal. Third, the program organizes existing institutional resources as part of a coherent and integrated plan of career development in support of mental health and HIV/AIDS research.

HIV/AIDS Among Latinos

Puerto Rico ranks 10th in AIDS case rates among all states and territories, and Puerto Ricans living in the United States have the second highest case rate of all minority groups (24.6 people with AIDS per 100 000 population). The number of AIDS cases among Puerto Ricans living in the mainland United States is higher than the number of cases among Mexican Americans, Cuban Americans, and Americans deriving the greater part of their cultural heritage from Central and South America. In 2002, HIV/AIDS was the third leading cause of death among Latino men aged 35 to 44 years, and the fourth leading cause of death among Latinas in the same age group.¹⁴

Barriers for Latino Researchers

Latino researchers face structural, institutional, and cultural barriers to HIV/AIDS research, such as the nature and history of Hispanic-serving institutions, lack of access to research-intensive institutions, limited language and cultural diversity, and methodological limitations to conducting culturally sensitive research.

Hispanic-serving institutions have evolved primarily as teaching institutions with the mission of training and educating future professionals who share a language and a cultural heritage and who will become mentors to future generations. Yet the severe scarcity of Latino academics explains why faculty members are often required to teach a large number of courses and to accept administrative positions in response to the demands of increasing student enrollment. In many Hispanic-serving institutions, a full load is defined as 12 teaching credits, but many faculty members teach 16 to 18 credit hours. Such a high credit load significantly limits research productivity.

Access to research-intensive institutions where HIV/AIDS studies are conducted is also limited for Latino faculty. Latinos usually gain access to these research centers through special opportunities such as fellowships, postdoctoral programs, minority programs, or supplementary applications. When research grants are available for investigators at a Hispanic-serving institution, budgets tend to be small or are capped, even when the research conducted is evaluated with the same rigorous standards.

The high value placed on publications in English-language journals reflects a lack of language diversity, which is another barrier bilingual Latinos face in the United States, particularly in the case of Puerto Rican investigators. Frequently, these investigators conduct research in their country of origin and publish their findings in peer-reviewed Latin American or European journals that are published in Spanish. These journals are not considered prestigious publications because of their low impact factor, so publishing in them may limit or even penalize Latinos competing for NIH funds. Nevertheless, publishing in such venues is essential to disseminate findings in Spanish-language communities.

Conducting culturally sensitive research places a greater burden on Latino investigators because it is more expensive, labor-intensive, time-consuming, and complex, and it is often not well understood. Risky HIV/AIDS–related behaviors are strongly influenced by cultural factors that must be incorporated as central variables of interest rather than as background or demographic information. Culturally informed research is scarce, which results in a limited knowledge base on Latinos.

Mainstream methodologies pose another challenge. Because little is known about Latino sexualities, predominant research methods may not be suitable for the kind of exploratory, developmental research that is needed in many communities. Many Latino investigators do not have access to large samples. This is not always because participants are hard to reach; it is often because of reduced numbers within a specific interest group (e.g., HIV-positive gay men in Puerto Rico). Indeed, the small sample size of a subgroup of Latinos is a barrier that may limit traditional power analyses or sophisticated quantitative techniques for extra-individual levels of analysis.

Although sex is a universal phenomenon, constructions of sexualities are linked to ethnicity and culture.¹⁵ This reality must not be ignored in research and intervention. Bernal and Scharron stress the need to understand “how ethnicity interacts with (or may be a proxy for) cultural values, discrimination, community resources and socioeconomic status,” and that evaluation of intervention models must take into account that “ethnic and cultural concepts may also conflict with mainstream values inherent to traditional psychotherapies”^16(p331) if cultural imperialism is to be avoided. This is also true for evaluation research on sexuality and HIV/AIDS.

Research on Latino sexualities does not have to be conducted exclusively by Latinos. However, when non-Latino researchers are involved, special attention must be given to the particular nuances and cultural constructions of phenomena observed. The whole research process, from the research questions to the interpretation of findings, must take into account how sex-related issues and behaviors are defined and signified in Latino cultures.¹⁷

Program Success Stories

An associate professor in psychology at University of Puerto Rico, Río Piedras joined the Minority Research Infrastructure Program. She drafted a pilot proposal within the program that was evaluated as part of the overall project grant, and she received support. Subsequently, she was awarded 2 supplemental grants by NIMH's Office of AIDS Research to study normative beliefs, social norms, and risky sexual practices in heterosexual men. Because of the program, institutional resources were negotiated, and her department granted her 25% release time (reduction of one 3-credit course per semester) so that she could conduct her research. Her salary was increased by summer compensation paid by the grant, and research assistants were available through research practice, which augmented the research personnel for her project. She also benefited from consultants to the program, faculty development activities, support for publishing data-based papers, statistical consultants, and other consultants to help develop her own independent project. In 2007, she submitted her first R01 (a research project to be performed by an investigator in an area of his or her specific interests and competencies) proposal and will soon resubmit a revised proposal to NIMH on HIV/AIDS prevention. Her experience illustrates how institutional and NIH resources can be combined to reduce barriers and provide the needed resources for an individual's transition to independent research.

Another participant exemplifies the movement through the various phases of development shown in Table 1. His experience in research began when he was an undergraduate NIMH Career Opportunities in Research fellow. This program offered him 2 years of research experience, with practicum placements and research mentoring with senior faculty. When he completed his undergraduate work he already had several publications. Part of the training he received was in proposals for graduate fellowships. He was accepted at the University of Puerto Rico Department of Psychology Graduate Program and awarded a 3-year fellowship from the American Psychological Association Minority Fellowship Program. His interests shifted to HIV/AIDS research, and, as part of the university's Minority Research Infrastructure Program, he participated in research seminars and was assigned a research mentor.

With support from the university program, he began to work on a dissertation grant award. NIMH approved and funded his R03 proposal in the area of HIV/AIDS–related stigma. Before receiving his doctorate he responded to a request for proposals on HIV/AIDS-related stigma to conduct an exploratory developmental study. NIH approved and funded this project as well. After earning his doctorate, he joined the faculty of the University Center for Psychological Studies and Services and was involved in mental health and HIV/AIDS research. Subsequently, a tenure-track position became available in the University of Puerto Rico's College of Social Sciences, and he successfully competed for that position. As an assistant professor he began to participate in postdoctoral projects at a non–Hispanic-serving university, which prepared him to draft an R01 application. Recently, he was awarded his first R01 in the area of HIV/AIDS prevention. His experience exemplifies what can occur when a capacity-building environment is created, supporting trainees at various levels of development.

DISCUSSION

A stronger structure of support for investigators in Hispanic-serving institutions is essential for the incorporation and strengthening of minorities in academic research. The Minority Research Infrastructure Program has produced notable increases in the numbers of minority faculty and students involved in research, and has produced important advances in research infrastructure. Currently, a core group of investigators and support staff are engaged in HIV/AIDS research. Several of the program's investigators are reaching R01 capability, and some have been awarded competitive funding. We are convinced that programs of this nature—which are flexible and responsive to both specific institutional barriers and the individual needs of investigators—foster movement toward independent competitive research. A capacity-building program of this sort facilitates the development of culturally sensitive research.

Recently, a group of experts convened by NIMH (15 senior researchers with backgrounds in treatment and services research with Latinos) concluded that improved research on mental health status and treatment of Latinos in the United States “will contribute to the improved services for this fast-growing community,”^18(p8) after reviewing several reports indicating that minorities receive substandard medical and psychiatric treatment. For the same reason, it is necessary to broaden the knowledge base on determinants of HIV/AIDS–related risk behaviors and efficacious and effective prevention and treatment strategies so that interventions can target Latino populations. Yet, to broaden the knowledge base, Latinos and other ethnic minorities need to be involved in the process of constructing science. Indeed, particular attention must be given to attracting minorities to academic research and maintaining them there, lest a major shortage of scientific resources affect all levels of the research enterprise.

There is a critical need to expand and enhance research development programs that support racial/ethnic minorities in their pursuit of careers in HIV and mental health research. Therefore, funding mechanisms that focus on capacity building and research training should be strengthened and expanded. The vision for these programs should be long term and developmental. Mechanisms for capacity building should be designed flexibly so that the complex and dynamic barriers to research can be properly addressed and reduced. Taking into consideration regional, cultural, and language diversity is one step in that direction. Furthermore, the availability of grant mechanisms that support training at various levels of development is essential for the establishment and maintenance of research pipelines that will continue to produce investigators for the research enterprise. Finally, regional, national, and even international networks and partnerships to provide research mentoring and capacity building can enhance research training that exceeds the local capabilities.