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The spectrum of lung diseases associated with HIV is broad, and due to more widespread availability and access to combination
many infectious and noninfectious complications of HIV infection antiretroviral therapy (ART) has turned HIV infection into
have been recognized. The nature and prevalence of lung compli- a chronic disease. Among persons on ART, growing numbers
cations have not been fully characterized since the Pulmonary are surviving longer and are developing comorbid diseases that
Complications of HIV Infection Study more than 15 years ago, before significantly affect mortality, with serious ‘‘non-AIDS’’ condi-
antiretroviral therapy (ART) increased life expectancy. Our under- tions accounting proportionally for the majority of deaths in
standing of the global epidemiology of these diseases in the current recent studies (2–6). This paper reviews the current state of
ART era is limited, and the mechanisms for the increases in the knowledge regarding the impact of HIV on lung health, highlights
noninfectious conditions, in particular, are not well understood. The
ongoing research in this field, and serves as an introduction to the
Longitudinal Studies of HIV-Associated Lung Infections and Compli-
subsequent articles in this issue of the Proceedings of the
cations (Lung HIV) Study (ClinicalTrials.gov number NCT00933595)
American Thoracic Society that are each devoted to specific
is a collaborative multi-R01 consortium of research projects estab-
lished by the National Heart, Lung, and Blood Institute to examine
pulmonary and critical care complications of HIV infection.
a diverse range of infectious and noninfectious pulmonary diseases
in HIV-infected persons. This article reviews our current state of
knowledge of the impact of HIV on lung health and the development IMMUNOLOGIC ABNORMALITIES ASSOCIATED
of pulmonary diseases, and highlights ongoing research within the WITH HIV INFECTION
Lung HIV Study.
HIV-infected persons experience a gradual but persistent loss of
Keywords: HIV/AIDS; pulmonary infections; pulmonary complications; host immunity after infection that results in a syndrome of
smoking immune deregulation, dysfunction, and deficiency (Figure 1).
After initial infection, HIV leads to massive depletion of
Recent global estimates indicate that approximately 33 million
CD41 lymphocytes of the effector memory type from mucosal-
people are living with HIV infection (1). A disproportionate
associated lymphoid tissue (7). During the chronic phase of HIV
number live in low- and middle-income countries, with the
infection, generalized immune activation occurs, and, ultimately,
highest prevalence of HIV infection reported in sub-Saharan
progressive decline in the naive and memory T-cell pool results in
Africa (1). Many HIV-infected persons in these resource-limited
systemic CD41 lymphocyte depletion (7, 8). As well as being
regions experience serious or fatal lung complications that are
decreased in number, T cells are dysfunctional and mount
poorly characterized. HIV-associated lung complications are also
abnormal host responses to T-cell–dependent antigens. In addi-
frequent causes of illness and death in industrialized nations,
tion, B-cell dysfunction results in polyclonal activation, hyper-
where the greatly improved prognosis of HIV-infected patients
gammaglobulinemia, and lack of specific antibody responses.
Combined, these factors result in immune dysfunction, deregu-
lation, and depletion of CD41 lymphocytes that confer sub-
(Received in original form September 28, 2010; accepted in final form December 3, 2010)
stantially increased risk for opportunistic infections and other
Supported by the National Heart, Lung, and Blood Institute/National Institutes complications over the course of HIV infection. Although
of Health Grants RFA program HL-07–008 grants R01-HL090312 (R.E.C.),
immunologic abnormalities are most marked in those who do
R01-HL090483 (G.D.K.), R01-HL090316 (W.N.R.), R01-HL090313 (P.T.D.),
R01-HL090335 (L.H.), R01-HL090480 (S.C.F.), R01-HL090339 (A.M.), R01- not use ART, recent data demonstrate that, although ART
HL090342 (K.C.), and R01-HL090331 (B.W.T.). restores immune function, inflammation and immunodeficiency
Banked biospecimens will be housed at the NHLBI Biological Specimen Re- may persist, particularly in patients who initiate ART at lower
pository at the completion of the Lung HIV Study and will be available upon CD41 lymphocyte counts (9).
request by qualified investigators. The Biologic Specimen and Data Repository HIV infection is associated with changes in the cellular profile
Information Coordinating Center (BioLINCC) (www.biolincc.nhlbi.nih.gov) is the of the alveolar space of the lung (Figure 1) (10). The mucosal
interface for applications for biospecimens, associated clinical data, or both. depletion of gut CD41 T cells does not appear to occur within the
Correspondence and requests for reprints should be addressed to Bruce lung. In contrast, bronchoalveolar lavage (BAL) fluid from HIV-
Thompson, Ph.D., President, Chairman of the Board, Clinical Trials & Surveys infected individuals early in infection has demonstrated higher
Corp., 10065 Red Run Blvd., Suite 250, Owings Mills, MD 21117. E-mail:
numbers of CD41 T cells, which were also more polyfunctional,
bthompson@c-tasc.com
when compared with the terminal ileum (11). HIV-infected
Proc Am Thorac Soc Vol 8. pp 275–281, 2011
DOI: 10.1513/pats.201009-059WR individuals, particularly in early- to mid-stage disease, have in-
Internet address: www.atsjournals.org creased numbers of HIV-specific cytotoxic CD81 T lymphocytes
276 PROCEEDINGS OF THE AMERICAN THORACIC SOCIETY VOL 8 2011
TABLE 1. SPECTRUM OF LUNG INFECTIONS AND Nonetheless, in asymptomatic HIV-infected patients, immune
COMPLICATIONS IN HIV responses and signaling pathways may be abnormal even among
Infectious and Noninfectious those on ART (19). Risk for premature comorbidities, such as
Complications cardiovascular disease, renal, and liver disease, has been associ-
ated with residual inflammation and immunodeficiency despite
Bacteria Streptococcus pneumoniae
treatment with ART (20). A possible association of ART with
Haemophilus species
Staphylococcus aureus airflow obstruction has been suggested (21, 22), although ART
Pseudomonas aeruginosa has not been found to have direct toxic effects on the lungs. The
Other bacteria consequences of persistently increased inflammation and the
effects of ART on the pathogenesis of lung complications in
Mycobacteria Mycobacterium tuberculosis
Mycobacterium avium complex HIV-infected persons are poorly understood.
Mycobacterium kansasii
Other mycobacteria
SPECTRUM OF HIV-ASSOCIATED LUNG INFECTIONS
Fungi Pneumocystis jirovecii (formerly P. carinii) AND COMPLICATIONS
Cryptococcus neoformans
Histoplasma capsulatum The spectrum of lung complications associated with HIV is
Coccidioides immitis broad, and many infectious and noninfectious complications
Aspergillus species (most often A. fumigatus) have been recognized (Table 1) (23, 24). These complications
Blastomyces dermatitidis include diseases that are AIDS-defining or HIV-associated (e.g.,
Penicillium marneffei
Pneumocystis pneumonia [PCP], tuberculosis [TB], or bacterial
Other fungi
pneumonia), disorders that are not classified as AIDS-defining
Viruses Cytomegalovirus but are more common in patients with HIV infection (e.g., lung
Other viruses cancer, pulmonary arterial hypertension, and chronic obstruc-
Parasites Toxoplasma gondii tive pulmonary disease), and conditions whose association with
Other parasites HIV is inconclusive or coincidental (e.g., sarcoidosis). In
addition, lung complications can result from immune reconsti-
Malignancies Kaposi sarcoma
Non-Hodgkin lymphoma tution inflammatory syndrome (also called immune reconstitu-
Lung cancer tion syndrome), which may occur after initiation of ART (25).
Throughout the HIV/AIDS epidemic, opportunistic pneu-
Other Chronic obstructive pulmonary disease
monias have been major causes of morbidity and mortality. In
Asthma
Lymphocytic interstitial pneumonitis 1981, 15 cases of PCP heralded the onset of the HIV/AIDS
Nonspecific interstitial pneumonitis epidemic, and, at its peak, more than 20,000 cases of PCP a year
Pulmonary arterial hypertension were reported as AIDS-defining diagnoses in the United States.
Sarcoidosis Two factors—the use of combination ART and Pneumocystis
Immune reconstitution inflammatory syndrome prophylaxis—have combined to dramatically reduce the num-
ber of cases of PCP. Nevertheless, PCP continues to occur,
chiefly among persons who are unaware of their HIV infection,
those who fail to seek medical care, and those who fail to adhere
within the alveolar space (12). These cells secrete high amounts of to or respond to ART or Pneumocystis prophylaxis (26–28).
IFN-g (13). Lung cells that can be infected with HIV include Approximately one third of the world’s population is esti-
alveolar macrophages, T cells, and fibroblasts (10). Recent ev- mated to be infected with Mycobacterium tuberculosis. World-
idence suggests that T cells may be a long-lived reservoir of wide, TB is the major cause of mortality in persons with HIV
infection within the lung (14). infection, and the World Health Organization estimates that TB
HIV infection causes alteration in several lines of host de- is the cause of death for 13% of persons who die with HIV/
fenses in the lung and respiratory tract that contribute to an AIDS. In developed countries, community-acquired bacterial
increased risk for lung complications. These alterations include pneumonia is more frequent than PCP or TB. Although the
abnormalities in mucociliary function and soluble defense rates of opportunistic pneumonias have declined markedly among
molecules, such as defensins within respiratory secretions (10). HIV-infected persons on ART, the rate of bacterial pneumonia
Within the lung parenchyma, innate and adaptive immune re- has not declined proportionately (29, 30).
sponses to pathogens may be impaired (15). For example, Because more people are living with HIV/AIDS and are living
alveolar macrophages from HIV-infected individuals have been longer, noninfectious complications and comorbid illnesses have
shown to be deficient in pathogen recognition. HIV also results in increased in frequency (2). In addition to an increased risk for
chronic stimulation and activation of inflammatory cells within infectious pulmonary diseases, HIV-infected persons appear
the alveolar space (10). to have an increased risk for several noninfectious pulmonary
The impact of ART on lung health of HIV-infected persons is conditions, including chronic obstructive pulmonary disease
not well understood. Systemically, treatment with ART de- (COPD), lung cancer, and pulmonary arterial hypertension.
creases HIV replication, immune activation, and chronic in- HIV infection has been associated with several different mani-
flammation and increases CD41 lymphocyte counts. Within the festations of COPD and airway abnormalities, including features
alveolar space, ART decreases pulmonary HIV viral load and of emphysema (32), chronic bronchitis (33), nonspecific airway
decreases pulmonary inflammatory responses (14, 16). ART abnormalities, and bronchial hyperresponsiveness (34, 35). In one
results in measureable drug levels detected within the BAL fluid study of 114 HIV-infected persons compared with 44 age-, sex-,
after initiation of therapy (17). After starting ART, the total and smoking-matched HIV-uninfected control subjects, 15% of
number and percentage of BAL lymphocytes decreases due the HIV-infected persons had emphysema on CT scan, compared
exclusively to a decrease in CD81 T lymphocytes in the alveolar with only 2% of non–HIV-infected persons (P 5 0.025) (32).
space (14). CD41 cells in the BAL fluid reconstitute with ART, Another study found that HIV infection was associated with a 50
and their infection rate decreases (18). to 60% increased odds of COPD diagnosis (36).
Crothers, Thompson, Burkhardt, et al.: HIV and Lung Complications 277
TABLE 2. LONGITUDINAL STUDIES OF HIV-ASSOCIATED LUNG INFECTIONS AND COMPLICATIONS (RFA: HL07-008):
OVERVIEW OF PROJECTS BY CLINICAL CENTER
Clinical Enrollment Sites; Date
Center Study Goal/Intervention Enrollment Began Affiliated Cohort Study Patient Population
1 Longitudinal Evaluation of 1. Establish a database and South Africa; 11/2008 HIV Wellness Cohort, 1,000 HIV1 adults from
Lung Health in a Woweto tissue repository from a Soweto; Novel TB Soweto, South Africa:
Cohort of HIV-infected clinical cohort of HIV-infected preventive Therapy 500 from previous RCT
Adults (PI, Richard South Africans. Study Cohort (44, 45) of TB preventive therapy
Chaisson; co-PI, 2. Assess the epidemiology, regimens, 500 from HIV
Neil Martinson) natural history, and clinical Wellness Clinics
course of AIDS-associated
lung diseases longitudinally.
2 Study of HIV Infection 1. Investigate the prevalence USA; 12/2008 Three affiliated HIV cohort Approximately
in the Etiology or incidence and risk factors studies in Baltimore: 3,500 HIV1 outpatients
of Lung Disease for noninfectious lung AIDS Linked to the enrolled in parent cohort
(SHIELD) (PI, disease, including COPD, IntraVenous Experience studies; 450 of these
Gregory Kirk) lung cancer, and pulmonary (ALIVE), Johns Hopkins enrolled in focused COPD
arterial hypertension. HIV Clinical Cohort and 750 in PAH studies
(JHHCC), Study to Help
the AIDS Research Effort
(SHARE) (46–48)
3 Longitudinal Studies of 1. Follow 400 HIV1 subjects USA and South N/A 400 HIV1 subjects
HIV-Associated for bacterial pneumonia. Africa; 10/2008 enrolled. Bacterial
Bacterial Pneumonia 2. Evaluate BAL and peripheral pneumonia diagnosed in
(PI, William Rom) blood specimens for differences z36 patients at each
in cytokines, cell surface site lavaged for mechanistic
molecules, and HIV replication studies focused on HIV
and mutations. and bacterial pneumonia.
Two control HIV1 patients
lavaged at the same time
for studies on lung HIV,
neutrophils, and alveolar
macrophages.
4 Smoking Cessation and 1. Examine the effects of smoking USA; 9/2008 N/A 365 HIV1 current smokers
the Natural History cessation on respiratory
of HIV-associated symptoms, pulmonary function
Emphysema and alveolar macrophage biology
(PI, Philip Diaz) in a cohort of HIV1 smokers.
5 International 1. Determine the frequency and USA, Uganda; N/A 2,400–3,000 HIV1 inpatients
HIV-associated mortality of HIV-associated 10/2008 with suspected pneumonia
Opportunistic opportunistic pneumonias.
Pneumonias 2. Evaluate the sensitivity and
(IHOP) Study specificity of molecular tools for
(PI, Laurence Huang) PCP and pulmonary TB diagnosis.
3. Determine the frequency of
Pneumocystis dihydropteroate
synthase (DHPS) gene
mutations and study putative
mechanisms for trimethoprim-
sulfamethoxazole drug resistance.
6 Longitudinal Studies 1. Determine if particular HIV Nef France, USA; N/A 80 HIV1 patients with
of HIV-1 Nef in signature sequences are 12/2008 PAH and 60 HIV1
Pulmonary associated with and predict patients without PAH
Hypertension HIV-related pulmonary
(PI, Sonia Flores) hypertension.
7 Prevalence 1. Describe epidemiology and risk USA; 8/2008 Multicenter AIDS Cohort 4000 HIV1 and HIV2
& Pathogenesis factors for pulmonary disease in Study (MACS) and outpatients enrolled in
of Pulmonary the current era. Women’s Interagency MACS and WIHS, with
Disease in a Large 2. Determine if COPD is more HIV Study (WIHS) 600 of these enrolled
Multicenter HIV prevalent and progresses cohorts (48, 49) in emphysema studies
Cohort (PI, more quickly in those with HIV
Alison Morris) infection compared with
control subjects.
3. Evaluate the role of infections in
HIV-associated COPD.
(Continued )
278 PROCEEDINGS OF THE AMERICAN THORACIC SOCIETY VOL 8 2011
TABLE 2. (CONTINUED)
Clinical Enrollment Sites; Date
Center Study Goal/Intervention Enrollment Began Affiliated Cohort Study Patient Population
8 Investigations in HIV 1. Understand the epidemiology of USA;12/2008 Veterans Aging Cohort Approximately 3,500
Associated Lung lung diseases in HIV, and Study (VACS) (50) HIV1 and 3,500 HIV2
Events (INHALE) and smoking as a risk factor veterans enrolled in
Examinations 2. Compare clinical and VACS for INHALE; with
of HIV Associated pathophysiologic differences 180 HIV1 and 180
Lung Emphysema in COPD and decline in HIV2participants with
(EXHALE) Studies pulmonary function between or at risk for COPD
(PI, Kristina Crothers) HIV1 and HIV2 patients prospectively enrolled in
EXHALE; those with lung
diseases other than COPD
are excluded from EXHALE.
Definition of abbreviations: BAL 5 bronchoalveolar lavage; COPD 5 chronic obstructive pulmonary disease; HIV1 5 HIV-infected; HIV2 5 HIV-uninfected; PAH 5
pulmonary arterial hypertension; PCP 5 Pneumocystis pneumonia; PI 5 principal investigator; RCT 5 randomized controlled trial; TB 5 tuberculosis.
Rates of lung cancer have been reported to be substantially reassessed in multisite cohorts or compared among international
increased among HIV-infected persons, even after controlling sites with wide variations in ART use.
for the higher prevalence of smoking in this population. In one Although HIV infection continues to confer an increased risk
study, HIV infection was independently associated with a hazard for opportunistic pneumonias, including bacterial pneumonia,
ratio of 3.6 for lung cancer (95% confidence interval, 1.6–7.9) TB, and PCP, our understanding of the global epidemiology of
(37). Similarly, in another study, HIV infection was associated these diseases in the current ART era is limited. Numerous
with a standardized incidence ratio of 2.5 (95% confidence questions need to be answered to improve our understanding and
interval, 1.6–3.5) for lung cancer, adjusting for estimates of management of HIV-associated lung infections. For example,
smoking prevalence (38). strategies to improve the diagnosis and management of TB,
Numerous studies have reported an increased frequency of particularly multidrug resistant and extremely drug resistant
pulmonary arterial hypertension in the HIV-infected popula- TB, in populations with HIV infection are urgently needed.
tion. Prevalence is estimated at approximately 1 case per 200 How additional risk factors, such as body mass index and ART-
(0.5%) among HIV-infected persons, compared with 1 to 2 induced diabetes, influence risk for TB in HIV-infected patients
cases per million in the non–HIV-infected population (39). requires investigation. The optimal timing for initiation of ART
Advancing age, a high prevalence of cigarette smoking, and in the setting of lung infections associated with respiratory failure
an independent risk from HIV infection all likely contribute, and critical illness is uncertain. Whether Pneumocystis is devel-
particularly to increases in COPD and lung cancer. oping drug resistance to sulfa-containing medications remains
Wide gaps in our understanding of the pulmonary complica- unclear. Reasons for the persistently elevated rates of bacterial
tions of HIV exist, particularly in the modern era of combination pneumonia are not fully understood, although the high prevalence
ART. The nature and prevalence of lung complications was of cigarette smoking among many HIV-infected populations is one
characterized by the Pulmonary Complications of HIV Infection important risk factor (31). Whether bacterial pneumonia, like TB,
Study (40) more than 15 years ago, before ART increased life influences HIV viral replication is unknown (43).
expectancy. Although studies in the combination ART era have Our understanding of the prevalence, consequences, and
reported changes in pulmonary complications (29, 30, 41, 42), mechanisms that account for the increased risk of noninfectious
HIV-related lung complications have not been systematically pulmonary conditions associated with HIV infection are not well
understood. For example, studies have not addressed the role of from a standardized core set of data elements and use common
screening (e.g., with pulmonary function testing to detect COPD definitions for prevalence and incidence of pulmonary diseases,
or chest imaging to detect lung cancer), nor have they assessed and several perform standardized pulmonary function testing and
treatment of these diseases in the setting of HIV. Little is known chest CT scans. Clinical Centers also bank peripheral blood and
regarding the impact of chronic lung diseases on morbidity, BAL specimens at a central repository for future research studies
including risk for lung infections and cardiac disease, as well as by these investigators and the entire scientific community.
mortality and patient-centered outcomes such as quality of life. The common Lung HIV Study dataset offers numerous
Effective methods to decrease smoking prevalence among HIV- opportunities and strengths for studying HIV-related pulmonary
infected populations are needed. It also remains unclear whether diseases, including diversity in geographic locations, age, gender,
noninfectious pulmonary diseases have synergistic or additive racial and ethnic backgrounds, risk factors for HIV infection,
effects to influence HIV viral replication or compartmentaliza- stage and severity of HIV disease, and use of ART. Standardized
tion of HIV within the lung. The subsequent articles in this issue data definitions facilitate streamlined data management and
of the Proceedings of the American Thoracic Society review the analyses. The broad range of data collected will facilitate a better
major HIV-associated pulmonary diseases as well as critical understanding of the prevalence and incidence of pulmonary
illness among HIV-infected persons and highlight ongoing re- diseases across these populations and will allow for comparisons
search in each of these areas. of risk factors, respiratory symptoms, medication use, disease
control, and progression over time. With biologic specimens
paired to refined clinical phenotypes, insights can be gained into
NEW INSIGHTS INTO HIV AND LUNG DISEASE IN THE
the underlying mechanisms of lung diseases in HIV-infected
ART ERA: THE LUNG HIV STUDY
patients. The Lung HIV common dataset offers the opportunity
The ongoing Lung HIV Study, sponsored by the National Heart, to advance our scientific knowledge of HIV-associated lung
Lung, and Blood Institute, is a collaborative multi-R01 consortium diseases in the modern ART era because it will support in-
designed to address gaps in our knowledge of HIV-associated vestigations of HIV-related lung diseases with greater breadth
pulmonary diseases. The Lung HIV Study, which began enrolling and power than the individual projects could achieve.
participants in studies in 2008, includes a broad range of pulmonary
topics in persons with HIV infection. Studies are focused on CONCLUSIONS
infectious and noninfectious lung complications and encompass
United States and international populations, thereby providing Lung diseases are a significant cause of morbidity and mortality
researchers with the opportunity to study these diseases in multiple in HIV-infected individuals, and the lung infections and com-
settings. plications associated with HIV infection are broad. The impact
Eight Clinical Center principal investigators and their collab- of ART and chronic infection with HIV on lung health are
orators conduct their own separate research studies but also join unknown. Ongoing research within the Lung HIV Study seeks
under the stewardship of the National Heart, Lung, and Blood to characterize the lung complications occurring in HIV-
Institute and a Data Coordinating Center run by the Clinical infected individuals in diverse geographic regions, with and
Trials and Surveys Corp to conduct multisite and group-level without ART, and to provide insights into pathogenesis of these
collaborative studies. The program is structured to facilitate the complications.
completion of all eight individual projects, the development of Author Disclosure: K.C., B.W.T., and K.B. do not have a financial relationship with
shared resources, and the generation of biospecimens and ac- a commercial entity that has an interest in the subject of this manuscript. A.M.
received grant support from Gilead and Roche. S.C.F. does not have a financial
companying clinical data for future mechanistic studies (Figure 1). relationship with a commercial entity that has an interest in the subject of this
As individually funded R01 projects, each of the eight Clinical manuscript. P.T.D. received lecture fees from Covidien. He received institutional
Centers of the Lung HIV Study has its own unique cohort and grant support from MPEX Pharmaceuticals, Boehringer-Ingelheim, and Batelle
Memorial Institute. R.E.C.’s spouse/life partner owns stocks, or options of Merck.
study design (Table 2). However, the Lung HIV investigators have He received grant support from the CDC and the Gates Foundation. G.D.K. was
also created a collection of shared clinical datasets and biological a consultant for GlaxoSmithKline and Merck. W.N.R. received grant support from
specimens for use during their individual-, multisite-, and group- Con Edison. L.H. received grant support from Foundation for Innovative New
level projects and for future investigations (Figure 2). Collabora- Diagnostics (FIND).
tive efforts have enabled harmonized clinical data and specimen Acknowledgments: The Lung HIV Study investigators thank Hannah H. Peavy,
collection. Clinical Centers administer surveys that include items Barry Schmetter, and Gail G. Weinmann from the NIH/NHLBI.
280 PROCEEDINGS OF THE AMERICAN THORACIC SOCIETY VOL 8 2011
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