Writing Proposals for HIV/AIDS Prevention Grants - U.S. Conference ...

Tools for HIV PreventionTechnical Assistance ReportsUSCM HIV/AIDS PROGRAMMarch 2003Writing ProposalsWriting Proposals for HIV/AIDS Prevention GrantsThis Technical Assistance Report (TAR) serves as abasic guide to proposal writing for staff of communitybasedorganizations (CBOs) and health departmentsapplying for HIV prevention funding. Since proposalguidelines vary from funder to funder, a specific or “ideal”proposal format is not presented here. Instead, the basicelements of a proposal are described along with provenstrategies to improve the chances that a proposal will befunded. Many of these strategies are drawn from theexperience of staff of the U.S. Conference of Mayors(USCM) Health Programs, which has conducted anannual HIV prevention grantmaking process with fundsfrom the Centers of Disease Control and Prevention(CDC) since 1985.The U.S. Conference of Mayors HIV/AIDS PreventionGrants ProgramThe USCM HIV/AIDS Prevention Program wasestablished in 1984, with funding from CDC, to provideinformation and technical assistance to local governmentsand community-based organizations. In 1985, USCMestablished its HIV/AIDS Prevention Grants Programwhich, through 2002, has awarded over $12 million to245 organizations and health departments nationwide.The Grants Program releases a Request for Proposals(RFP) once a year, usually in the winter.The United States Conference of Mayors • 1620 Eye Street,NW • Washington, DC 20006 • (202) 293-7330www.usmayors.org/uscm

2 TECHNICAL ASSISTANCE REPORTS March 2003Before You BeginPreparing a proposal can be an extremely time-consumingprocess, particularly for CBOs and local healthdepartments that do not have full-time proposal-writingstaff. Following are some basic guidelines to considerbefore responding to a funding announcement:• Read the funding guidelines and directions carefully.Most funding announcements contain fairly detailedinformation about funding priorities, eligibility criteria,and submission requirements. Federal agencies, inparticular, have complex application requirementsthat must be followed exactly or the proposal maybe disqualified.• Make sure you have enough time to prepare the proposal.Funders’ deadlines are usually non-negotiable. Berealistic about how much time the proposal will takeyour agency to prepare given your current resourcesthen decide whether it’s worth the effort. If you don’thave time to do it properly, don’t do it at all.• Consider whether the grant is right for your organization.Even if your organization meets general fundingcriteria, it may not be the right “fit” for a particulargrants program. Following are some questions anapplicant may want to ask before beginning theapplication process:• Is the proposed program consistent with the missionand goals of my organization?• Does my organization currently have the staff expertiseand resources to implement the program?• Does my organization have the capacity to administerthe funds that it is applying for?• Does my organization have direct ties to andexperience with the target population?• Is there community support for the proposedprogram?• Is the amount of money being offered worth thetime and expense involved in applying for it?• If possible, discuss your proposed program with thefunder before writing the proposal. Some funders, likeUSCM for example, are willing to discuss yourproposed program by phone or to respond to yourletter of inquiry (a letter that briefly describes yourproposed program and the need that it addresses–see box to the right). In fact, some private fundersrequire you to go through a screening process beforesubmitting a proposal. Take advantage of any opportunitiesyou have to get feedback from a funderbefore submitting a proposal. Making sure, upfront,that your program is a logical fit with a particularfunder will save you a lot of time and trouble inthe long run.• Consider collaborating with other organizations. Manyfunders, particularly federal agencies, prefer proposalsthat involve collaboration between two or moreorganizations because they avoid duplication of effortand enhance the capacity of the applicant to serveclients. You may increase your chances of beingselected for funding if you pair up with anotherorganization, particularly when your areas of expertisecomplement each other.TECHNICAL ASSISTANCE REPORTS (TAR), is an official publication of the Health Programs of The United States Conferenceof Mayors (USCM) and is a product of the HIV/AIDS Program, funded by the U.S. Centers for Disease Control and Prevention (CDC)under grant #U62/CCU300609-19. However, any opinions expressed herein do not necessarily reflect the policies of CDC.Thomas M. Menino, Mayor of Boston, serves as USCM President, Irma L. Anderson, Mayor of Richmond (CA), is Chair of the StandingCommittee on Children, Health and Human Services. USCM executive officers with responsibility for Health Programs are: J. ThomasCochran, Executive Director, and Crystal D. Swann, Director of Health Programs. This publication was prepared by Elizabeth Kresse,M.A., Senior Staff Associate with assistance from Laurence Tate, Grants Manager, and Dora Marcus, Ph.D., evaluation consultant.© The United States Conference of Mayors, March 2003The United States Conference of Mayors • 1620 Eye Street,NW • Washington, DC 20006 • (202) 293-7330www.usmayors.org/uscm

March 2003 TECHNICAL ASSISTANCE REPORTS 3How to Write a Letter of InquiryAlso known as a letter of intent, a letter of inquiryis a two- to three-page summary that briefly describesthe proposed project and gives potential fundersthe opportunity to decide whether they are interestedenough in a project to request a full proposal. It is mostcommonly used by foundations, who are looking forevidence that the proposed project fits their fundingpriorities before they invest staff resources in reviewinga full application. A letter of inquiry can be morechallenging to write than a full proposal because you onlyhave a few pages to make a compelling case for why yourproject should be funded. Typically, a letter of inquirycontains some or all of the following components:• An introduction that serves as a type of executive summary.The introduction should include basic informationsuch as the name of your organization, theamount being requested, and a brief description ofthe purpose of the project.• A description of the applicant organization. Yourdescription should focus only on the types of informationabout your organization’s history, experience,and staff qualifications that are relevant tothe proposed project and the funder’s interests.• A statement of need that describes the problems yourproject will address. It should describe the targetpopulation and geographical area and, withoutgoing into too much statistical detail, shoulddescribe the nature and extent of the problembeing addressed.• A description of how the proposal will meet the statedneed. Describe the project briefly, including majoractivities and objectives.• Budget information can include the estimated overallamount required to implement the project, thespecific amount being requested from the funder, thetime period for which funding is being requested,and a description of other funding sources thathave already committed support or are being askedfor support. Some funders may also ask for a completeproposed budget.• Contact information including name, title, address,phone number, fax and email.Note: Do not include attachments unlessthe funder specifically requests them.For more information on how to write a letter of inquiry,see “What Should be Included in a Letter of Inquiry?” athttp://fdncenter.org/learn/faqs/letter.html.Basic Elements of a ProposalMost proposals are made up of the following sections,although they may be called something else in eachfunding announcement and may appear in a differentorder. Once you understand what basic informationreviewers are looking for in each section, you will beable to respond to a variety of funding announcements.1. Executive SummaryMost funders require some sort of summary orabstract that highlights the key points of your proposal.Summaries provide reviewers with a quick orientationThe Executive Summary providesa snapshot of the whole proposal.to your proposal and help them determine whether ornot it matches their priorities. This section of the proposalis usually very brief–often a page or less. Because it isoften the very first thing reviewers read, the summaryshould be clear, well-written, and interesting.Requirements about what should be in the summaryvary by funding source but usually include some of thefollowing information:The United States Conference of Mayors • 1620 Eye Street,NW • Washington, DC 20006 • (202) 293-7330www.usmayors.org/uscm

4 TECHNICAL ASSISTANCE REPORTS March 2003entitled “Demonstrating HIV Risk When Limited DataExist on Your Target Population.”It is much easier to write the Executive Summary after allthe other parts of the proposal have been completed.At that point in the writing process, the details of theproposed program will be much clearer.• The name and description of the applicant organization,including a statement about why the applicant is qualifiedto do the proposed work.• The target population.• A brief statement of the problem or need the proposaladdresses.• A short description of the proposed project, includingthe main objectives, the key program components andactivities, the methods or approaches used, and theexpected outcomes.• Amount of funding requested.2. Problem StatementThe purpose of the Problem Statementis to show why the proposedprogram is needed.This section is often referred to as the ProblemStatement, Statement of Need, Justification of Need, orNeeds Assessment. Regardless of the name used, the purposeis the same: to convince the reviewer, through a presentationof supporting evidence and persuasive argument,that a compelling problem exists in your community thatcan be effectively addressed by your proposed program.Below are suggestions for areas that can be covered inthe Problem Statement. Deciding what information toinclude will ultimately depend on the requirements ofthe funding source, the nature of the problem and thetarget population, and the information available to theproposal writer. Most of the information discussed belowis already available in your local, regional, or state HIVprevention plan developed through the communityplanning process. For ideas on how to gather HIV riskinformation from other sources, see the box on page 6Definition of Target PopulationReviewers need to know as clearly as possible whoyour proposed program will serve. Given that all groupsof people are not at equal risk for HIV, it is important tobe as specific as possible in terms of race/ethnicity, specificrisk behavior(s), age, socioeconomic background, andgeographic area. Being specific demonstrates that yourorganization has a clear understanding of the risk behaviorsand needs of your target population and has defined the partof that population that it can reasonably expect to reach.Don’t say that your program will target “AfricanAmerican women in the Bronx.” After all, all AfricanAmerican women in the Bronx are not at risk for HIVand there are far too many at-risk African Americanwomen in the Bronx to be effectively reached by a singleprogram. A better way to specify a target population is tosay you will target “African American women betweenthe ages of 18-30 who live in the following areas of theBronx [insert the names of specific neighborhoods or zipcodes] and who are at risk for HIV because they abuse drugsand/or exchange sex for money, drugs, or resources.”Defining your target population as narrowly as possible willhelp you identify gaps in existing services for that populationand make a better case for why your program is needed.Impact of HIV/AIDS on Target PopulationYour discussion should include information on thenature and extent of the HIV/AIDS problem in the targetpopulation. Discuss briefly how HIV/AIDS has affectedthe target population. How many people in the targetpopulation are infected with HIV, how many haveAIDS, and how many have died of AIDS? What are theepidemiological trends that relate to your target population?The data you use should be as local as possible. Evenwhen epidemiological evidence is strong, you can addspecific examples from your organization’s own experienceto help reviewers visualize the situation. For example, ifyour organization recently provided HIV testing in a localbar to 30 Latino men who have sex with men (MSM)and several tested positive, tell reviewers about this(while protecting the clients’ identities).The United States Conference of Mayors • 1620 Eye Street,NW • Washington, DC 20006 • (202) 293-7330www.usmayors.org/uscm

March 2003 TECHNICAL ASSISTANCE REPORTS 5Demographic FactorsUse demographic data to provide a profile of the targetpopulation in terms of race/ethnicity (including membershipin a racial/ethnic sub-group), age range, gender,self-identity (e.g., sexual orientation, gender identity),language, geographic location, socio-economic status(e.g., how many receive public assistance), legal status(e.g., immigration status, incarceration) and any otherrelevant demographic characteristics. If you are targetinga small or distinct population (e.g., male-to-female transgendersof color in Manhattan), you should provide an estimate ofthe size of that population–if that information is available.Cultural FactorsDiscuss any relevant cultural factors that contribute toHIV risk in the target population. For example, if youare targeting African-American MSM in the rural South,you may want to discuss the effect of homophobia,racism, and social and religious conservatism on thispopulation’s HIV risk.Behavioral Risks for HIVDescribe the specific behaviors that put members ofthe target population at risk of HIV infection. Thesebehaviors may include unprotected sexual contact, injectiondrug use, use of drugs such as “crack” cocaine that areassociated with high-risk sexual practices, or the exchangeof sex for drugs or resources. Provide statistics drawn frombehavioral data to show how common these risk behaviorsare in your target population. If there is limited informationon behavioral risks in your target population that are directlyrelated to HIV, provide data that indirectly demonstratea risk. For example, if you are trying to prove that yourtarget population–say high-risk women–is participatingin risky sexual behavior, you can cite rates of sexuallytransmitted diseases or unplanned pregnancies.Existing HIV Prevention Services and Gaps in ServicesTry to provide as complete a picture as possible ofHIV prevention services in your community that relateto your proposed program. What HIV prevention servicesare currently being provided in your community, whichpopulations are being served, what geographical areas arebeing served, and who is providing these services?Remember to include activities conducted and/or fundedRemember that reviewers are human and, like everybodyelse, respond to a well-told story that grabs their attentionand moves them. Don’t be afraid to use your own words,to express how you feel about the problem you aredescribing, and to include anecdotal (based on your ownknowledge and experience) information that will bringto life the story you are telling.by the local or state health department, by other CBOs,and by your own organization.Then discuss the specific gaps in services for your targetpopulation. These gaps could include: geographic areasor neighborhoods that are not being served, types of services(such as HIV counseling and testing or prevention casemanagement) that are not being offered, or cultural orlinguistic needs that are not being met (e.g., there are noservices in Spanish for individuals whose first language isSpanish). What specific gaps will your proposed programfill and how will your program complement or add to theservices that are already being provided to the targetpopulation in your community? Be as precise and honestas possible when describing gaps. Remember that reviewersmay already be aware of the existing range of services,particularly in major metropolitan areas, and may noticeif your discussion of gaps is not complete or is inaccurate.Reviewers are frustrated by vague descriptions that don'tmake it clear whether a program is really needed. Yourability to provide a clear and accurate picture of what’salready available helps demonstrate to the reviewer thatyou understand how the proposed program fits into therange of services in your community.Barriers to AccessAre there any barriers that exist in your communitythat make it difficult for members of your target populationto access HIV prevention services? These barriers may bepractical ones such as inadequate transportation and a lackof childcare services. Or they might be related to culturalfactors such as specific cultural beliefs that discourageindividuals from seeking services, or linguistic factorssuch as low literacy levels or poor English languageskills. After identifying barriers, discuss how your proposedprogram will overcome these.The United States Conference of Mayors • 1620 Eye Street,NW • Washington, DC 20006 • (202) 293-7330www.usmayors.org/uscm

6 TECHNICAL ASSISTANCE REPORTS March 2003Using Statistics toDemonstrate HIV Risk• Make sure that any statistics you cite are up-todateand accurate; the persuasiveness of yourargument will be weakened if you don’t botherto check your facts or use outdated statistics.• Whenever possible, use local–rather than stateor national–data to illustrate your point, even ifthey are limited or anecdotal (based on yourexperience). Using local data will assure reviewersthat your organization knows what’s goingon with the target population in the targetcommunity.• Don’t include information that doesn’t directlyrelate to the point you’re trying to make just tofill up space; it will only take away from youroverall argument.• Avoid repeating a long list of statistics that youhave copied from elsewhere without interpretingthem; help the reader understand what thesestatistics mean and how they relate to the reallifeproblems of people in your community.• Always provide references and dates of publicationfor the data that you cite so that reviewers canknow what the source of that data is and howcurrent the data are.Demonstrating HIVRisk When Limited DataExist on Your TargetPopulationNot all populations have a current or likely HIVproblem. Even populations with serious social and economicproblems may not be at great risk for HIV. Youmust make an honest assessment of whether or not anHIV prevention intervention is needed for a particularpopulation before you can make a persuasive case tofunders. Still, there may be times when you believe aspecific population is at risk for HIV, even though thisrisk may not be fully reflected, or reflected at all, in officialHIV/AIDS surveillance data. For example:• Persistent under-reporting and misclassification have madeit impossible to know the true extent of HIV/AIDSamong Native Americans and Asians/Pacific Islanders.• The HIV/AIDS status of homeless persons or migrantworkers is very hard to determine because of the mobileand sometimes “hidden” nature of these populations.• Frequently HIV/AIDS cases among male-to-femaletransgendered people are not reported separately butare included with MSM cases, even though their riskfactors are specialized and transgenders may be atmuch higher risk than MSM in general.• Women who seem to be low-risk may be at riskbecause of unacknowledged risk behaviors amongtheir male partners such as injection drug use orsame-sex contact.In instances like these, there are various strategiesyou can use to demonstrate convincingly that there is areal problem in your target population.a) Use surrogate data. If primary surveillance data(reported cases of HIV and AIDS) on your targetpopulation is lacking, look for other official data thatcan demonstrate a potential risk for HIV. For example,some Native Americans may not appear to belong toThe United States Conference of Mayors • 1620 Eye Street,NW • Washington, DC 20006 • (202) 293-7330www.usmayors.org/uscm

March 2003 TECHNICAL ASSISTANCE REPORTS 7obvious HIV risk groups but may still engage inbehavior that may put them at risk for HIV. To showthis, you can cite local alcohol and non-injectiondrug use statistics, rates of sexually transmitted diseasesand unwanted pregnancies, and socioeconomic datapointing to poverty and general social vulnerability.b) Collect your own data. If your organization’s resourcespermit, consider collecting your own data to demonstraterisk in the target population. You can collect data onspecific risk behaviors in your target population byadministering a survey to a small segment of thepopulation, conducting focus groups with membersof that population, or holding key informant interviewswith community representatives and leaders whohave first-hand knowledge of the target populationand its risk behaviors.c) Report your organization’s own data. Most serviceorganizations collect some kind of statistics on theirclients such as basic demographic, socioeconomic,and behavioral data (e.g., whether a client reportshaving injected drugs in the last 30 days or havingexchanged sex for drugs in the last 30 days) collectedduring initial intake interviews. This in-house informationis often overlooked by applicants, even though itcan provide a rich source of information on anorganization’s client base.d) Report anecdotal data. Often service providers becomeaware of a developing HIV problem before that problemis reflected in local health department statistics. Forexample, outreach workers from your organizationmay report having witnessed high-risk behaviors amongcertain groups of people who are not currently beingserved. Don’t be afraid to use this information becauseit’s not “official” (i.e., from a government source).e) Cite evidence from published and unpublished studies.If you come across a study detailing HIV risk in apopulation similar to the one you want to target, youmay want to cite that study and its general findings.However, don’t rely on this information too much tomake your case.What Funders Look forin the Problem Statement• A proposed program that addresses a real andcompelling need. Funders want to feel goodabout the selections they make; in general, theylike programs that they think will make a difference.First, make sure your program targets apopulation that is demonstrably at high risk forHIV and is not already being served, or adequatelyserved, by other organizations. Next, tell yourstory in a way that brings the problem to lifeand grabs the interest of the reviewer.• A clearly defined target population. Be as specificas possible when defining your target population.If your definition is too broad, reviewers maythink your organization lacks a clear understandingof the risk behaviors and needs of the targetpopulation and the segment of that populationthat it can reasonably expect to reach.• Solid evidence that supports your claims about thenature and extent of the problem your proposaladdresses. Start by providing a clear and specificdescription of the problem your proposal hopesto address. Back up these claims with facts thatare related directly to the situation you describe,that are current, and that are, above all, local.• A clear match between the problem the proposaladdresses and the funder’s priorities. Take thetime to figure out what your funder’s prioritiesare before you write the proposal. Most fundersclearly state their priorities in the body of theirfunding announcement or in general informationthey provide to potential applicants.The United States Conference of Mayors • 1620 Eye Street,NW • Washington, DC 20006 • (202) 293-7330www.usmayors.org/uscm

8 TECHNICAL ASSISTANCE REPORTS March 20033. Agency DescriptionThe purpose of the Agency Descriptionis to establish the credibility of yourorganization.This section goes by a number of different names,including Agency Description, Capability Statement andOrganizational Capacity. The task here is to convincethe reviewer that your organization is qualified to carryout the proposed project and that, if funded, has thecapacity to handle grant funds.At minimum, the Agency Description should:• describe (briefly) the mission and history of theorganization• describe past and present programs and services thatare relevant to the proposal• describe the populations served by the organization• describe the organization’s experience with the targetpopulation• describe the organization’s areas of expertise as theyrelate to the proposed project• discuss why the organization is qualified to carry outthe proposed projectInformation About Your AgencyThe types of information about your agency that youcan include in your proposal are outlined below. Beselective about what information you provide–more isnot always better. The challenge is to provide enoughinformation to convince reviewers your organization iswell suited to doing the proposed work, without wastingspace on irrelevant facts. Note: Only essential informationthat is directly related to the funding announcementshould be included in the Agency Description section;other information that it would be nice to includebut that isn’t essential can be put in the Appendix.General Background• a short history of the organization (including when,why, and by whom it was founded)• a statement about your organization’s mission and goalsOrganizational Structure• a short description of the organizational structure(this is often presented in the form of a diagram)• a description of existing staff, including the numberof full- and part-time staff and volunteers and theirareas of expertise• a description of the board of directors (including gender,race/ethnicity, areas of expertise, and the nature oftheir connection to the population(s) being served byyour organization)Programs and Populations Served• a brief overview of existing programs with particularattention to HIV prevention or related programs• a short description of the population(s) served bythe organizationThe Agency Description is a standard section that you canwrite once and re-use with modifications depending onthe priorities and requirements of the funder. You can savea lot of time and avoid last-minute stress when writingfuture proposals by periodically updating information inthis section so that it’s ready to go when you need it.• the number of people reached through programs• statistics on the gender, racial/ethnic, and socioeconomiccomposition of your client baseHIV Prevention Experience• a description of all the types of HIV prevention orAIDS-relatedservices your organization currentlyprovides or has provided, the target populations foreach service, and the length of time each service hasbeen provided• an explanation of how the proposed program will fitinto existing programsAdministrative Experience• a description of how grant funds will be monitoredand expended• a listing of past and current funding sourcesThe United States Conference of Mayors • 1620 Eye Street,NW • Washington, DC 20006 • (202) 293-7330www.usmayors.org/uscm

March 2003 TECHNICAL ASSISTANCE REPORTS 9What Funders Look for in the Agency Description• Clear ties to the target population. You must be ableto demonstrate that your organization has experiencewith the target population and has access to thatpopulation. In most cases, these ties will be evidentin such items as the description of existing servicesand populations served (if you already provideservices to the target population). In cases where tiesare not obvious, you will have to make a specialeffort to demonstrate that link. For example, youcan mention efforts your organization has made togather input from the target population (such asholding community forums or conducting focusgroups) or the fact that, if funded, your organizationwill hire members of the target population to runthe program.• Experience in HIV prevention. One of the firstthings reviewers will look for in reading the AgencyDescription is evidence that your organization isexperienced in providing HIV prevention services,particularly to the target population featured inyour proposal. If your organization is new and doesnot have a substantial HIV prevention trackrecord, cite the experience of staff, volunteers, andboard members in the field of HIV prevention anddescribe any training they have received in HIVprevention methodologies and techniques. If, onthe other hand, your organization is experienced inHIV prevention but does not have direct experiencewith the specific target population (e.g., an agencymay have worked with the general Hispanicpopulation but not with Hispanic MSM), thenacknowledge this weakness upfront and state howit will be addressed.• Administrative capacity. Funders want to be reassuredthat your organization can handle grant fundsresponsibly, particularly if it is a relatively neworganization. Some ways to demonstrate administrativecapacity include: showing your organizationhas a track record of receiving and administeringfunds from other funders, providing evidence thatyour organization participates in an annual fiscalaudit conducted by an independent auditor, anddescribing your accounting system. New organizationswithout an established track record should providedetailed information such as how funds will bemanaged, what accounting expertise staff or boardmembers have, and what procedures are in place toensure administrative oversight of grant funds.• Linkages to other organizations. Funders like to seethat your organization is an established player in thelocal HIV prevention field and works well withother organizations. Describe past or existing collaborationswith other organizations and how your organizationis integrated into the local HIV prevention serviceand referral network. If your organization participatesin local or state HIV/AIDS planning committeesor councils, say so. Reviewers usually look favorablyon plans to collaborate with one or more agenciesbecause it shows that you are making the most oflocal resources and are not duplicating services.However, if you do plan to collaborate, make surethat the roles and responsibilities of each partnerare clearly outlined in the proposal itself and inattached Memoranda of Understanding (MOA).(See the box entitled “Tips on Collaboration” for moreinformation.)The United States Conference of Mayors • 1620 Eye Street,NW • Washington, DC 20006 • (202) 293-7330www.usmayors.org/uscm

10 TECHNICAL ASSISTANCE REPORTS March 2003If you don’t already have one, start a “credibility file”containing documents that highlight the strengths andachievements of your organization. You can includecopies of newspaper articles about your organization;letters of support from elected officials, other agencies, orclients; official commendations or awards given to yourorganization; and positive evaluations of your organization’sprograms. You can use these documents as attachmentsor quote from them in the body of the proposal.Extent of Involvement With the Community• a description of any formal sources of communityinput that your organization maintains (such ascommunity advisory boards)• a description of existing linkages to other local organizations(e.g., formal referral agreements with other agencies)• mention of any memberships your staff or organizationhold in local or state groups related to HIV prevention(e.g., the state or local HIV Prevention CommunityPlanning Group)4. Proposed ProgramThe purpose of the Proposed Programsection is to describe and justify a set ofactivities to meet the prevention needsidentified in the Problem Statement.The Proposed Program section (also commonlyreferred to as the Methods section) should be the mostdetailed and comprehensive section of the proposal.Regardless of your proposal’s other strengths, if yourdescription of your proposed program is unclear, does notrelate logically to the rest of the proposal, or proposes aset of interventions that are unlikely to be effective withthe target population, the chances of your proposalbeing funded decrease greatly.Think of the Proposed Program section as a type ofblueprint that can be understood and carried out bysomeone who is unfamiliar with the project. New staffshould be able to read this section and get to work rightaway without needing a lot of clarification. At minimum,the Proposed Program section should address thesebasic questions:• What does the proposed program hope to achieve(what are its goals and objectives)?• How does the proposed program plan to achieve thestated objectives (what activities are planned andwhat is their content)?• When does the proposed program hope to achieveeach task and activity (what is the order and timingof individual tasks and activities)?• Who is going to implement the tasks outlined in theproposed program section (who will staff and supervisethe program)?• Why will the planned program lead to the anticipatedoutcomes (why do you think your program willwork; why did you select the interventions that makeup the program)?The following sections offers guidance on addressingthe key questions listed above.1) Goals and ObjectivesGoals and objectives provide the logical frameworkor structure for your program plan and evaluation plan.They are important because they tell the funder whatthe proposed program is expected to achieve, how it willachieve it, and by when it will do so. Setting specificgoals and objectives allows both the applicant organizationand the funder to monitor the progress and success ofthe program.GoalsGoals are broad statements that describe the ultimategeneral purpose(s) of the proposed program. They arenot specific or time-phased and tend to refer to longtermresults. Usually project goals reflect the priorities offunders as stated in funding announcements. Projectsusually have only one goal.The United States Conference of Mayors • 1620 Eye Street,NW • Washington, DC 20006 • (202) 293-7330www.usmayors.org/uscm

March 2003 TECHNICAL ASSISTANCE REPORTS 11EX.To increase the commitment and abilities of youngAfrican American men (in a specific geographicalarea) who have sex with men to avoid or reducebehaviors that put them at risk for HIV infection.Objectives are specific statements that describe whatthe proposed program is expected to achieve within aspecific time period and how it will do so.EX. To teach a minimum of 60 clients safer sex strategiesthrough a series of four interactive workshops tobe conducted during the last six months of thefunding period.Types of objectives. Objectives allow program staff tomeasure the extent to which they have accomplished theproposed activities or achieved the expected results laidout in the objectives. There are generally two types ofobjectives: process objectives, which describe what youwill do in your proposed program and how you willdo it and outcome objectives, which describe thechanges in the target population that you expect as aresult of your program. A proposal should includeboth process and outcome objectives. Process objectivesshould be written first and then followed by relatedoutcome objectives. A common mistake is to include onlyprocess or only outcome objectives. Listing process objectiveswithout any outcome objectives doesn’t give reviewersany information about the results you hope toachieve in the target population. Similarly, includingonly outcome objectives confuses reviewers because youare providing information about the results you want toachieve without saying anything about how you willachieve them.Note: Objectives are not written in stone; if you findthat they are not realistic once the project is underway,they can sometimes be adjusted in consultationwith the funder.• Process objectives focus on the implementation of a program;that is, they focus on the completion of the specificactivities you need to accomplish over the course of theproject. They answer the questions of what will be done,how it will be done, for whom and for how many it willbe done, and when and where it will be done.EX.To conduct 20 [how many] one-on-one weekly streetoutreach sessions [what], reaching a total of 320unduplicated individuals [how many] between theages of 12 and 21 who live in the ABC HousingProjects [for whom and where] during Months4 through 8 of the project [when].• Outcome objectives define the measurable results thatthe program expects to accomplish, i.e., the specificbenefits to participants that the project hopes toachieve. In HIV prevention programs, benefits includesuch things as an increase in knowledge about HIVprevention, increased skills in such areas as condomusage, and changes in beliefs, attitudes, and behaviorsrelated to HIV prevention. Outcome objectives shouldprovide information about whose knowledge, skills,beliefs, attitudes, or behaviors are being measured andhow many of these individuals will be tested, what isbeing measured (e.g., HIV-related knowledge orbehaviors), how it is being measured (e.g., pre/postintervention questionnaire), and how much of a changeis expected (e.g., a 40 percent increase in knowledge).EX. To increase by 25 percent [how much] the number ofinjection drug users attending HIV prevention counseling[who] who properly disinfect injection equipment withbleach and clean water [what] as measured by apre/post test [how measured] by the end of the projectperiod [when].EX. By the fourth month of the project [when], 80% [howmuch] of the HIV prevention support group participants[who] will express confidence in discussing safer sex[what] with their sexual partners(s) as measured by aself-report questionnaire [how measured].In general, all objectives should:• be directly related to project goal(s)• begin with the word “to” followed by an action verb• specify only one major result per objective• be specific• be time-phased (specify when it will be accomplished)• measurable• realistic and attainableThe United States Conference of Mayors • 1620 Eye Street,NW • Washington, DC 20006 • (202) 293-7330www.usmayors.org/uscm

12 TECHNICAL ASSISTANCE REPORTS March 20032) Program PlanAlso known as the Work Plan, the Program Plan shouldflow directly from your stated goals and objectives; thatis, each activity described in the Program Plan shouldrelate logically to a specific objective and the goal underwhich it falls. If you have written clear and specificobjectives, it should be relatively easy to fill in the detailsof the Program Plan.The exact format of this section of the proposal willvary depending on the requirements of the fundingsource and the grant writer’s preferences. Some applicantsstructure this section by first listing all their goals andobjectives and then plugging in descriptions of activitiesunder each one. Others list the goals and objectives separatelyfrom the description of the program and its activities.Some funders are interested in specific informationabout the proposed program and ask you to provide thatinformation; in that case, just follow their suggestedformat. Regardless of the format used, in most cases youwill have to cover the following information:Program overview. If your format allows, consider writinga short summary of all the program components beforedescribing each one in detail. Explain how each componentrelates to the others. This will make it easier for thereviewers to understand your program description.Description of individual interventions. Most preventionprograms are made up of a combination of individualservices–or interventions. Describe each interventionWhen you’ve finished the first draft of the ProposedProgram section, get someone who is not directly involvedwith the project to read this section and give you feedback.Chances are that if this individual doesn’t understandwhat you’re proposing, reviewers won’t either.separately, being careful to include as much as possibleof the following information:• Type of intervention (e.g., condom distribution, preventioncounseling, prevention education and risk reductionworkshops, community awareness event)• Information or skills to be delivered (e.g., “AIDS 101"information, sexual negotiation skills training, saferinjection skills)• Content of each intervention (topics to be covered)• Curriculum or model to be used (e.g., Red Cross HIVprevention curriculum, Stop AIDS model, in-housecurriculum to be developed)• Staff positions assigned to conduct the intervention (e.g.,program coordinator, peer educators, outreach workers)• Frequency and duration of the intervention (e.g., dailyoutreach for a total of three hours a day, weeklysupport groups lasting two hours)• Times and location of the interventions (e.g., outreachto high-risk MSM will be conducted between thehours of 11pm and 2am in bars frequented by MSM)• Number of clients expected to participate (e.g., maximumnumber of participants for safe sex workshop; expectednumber of street outreach contacts per month)• Client recruitment and retention (e.g, the program willbe advertised through flyers and word-of-mouth,incentives such as a meeting stipend or subwaytokens will be provided)• Activities or tasks related to implementing interventions(e.g., design of workshop content, recruitment andtraining of peer educators)• Linkages and referrals (how is the intervention relatedto other programs in your organization, what arrangementshave you made with other local agencies to help yourecruit clients, do you have a system for referring outclients who require assistance–such as locating affordablehousing–that your agency doesn’t provide?)Time line. Many funders require applicants to includea time line listing the key steps involved in implementinga project, including beginning and projected completiondates and staff responsible for each step. Even if a timeline is not required, it is a good idea to include one forseveral reasons. First, it reassures reviewers that yourorganization is realistic about the steps involved inimplementing the project and the approximate lengthof time each step will take. Second, the time line alsoserves as a tool which your organization and the fundercan use to monitor the progress of the project.Staffing of project. It is important to convey to reviewersthat your organization has a realistic understanding ofthe staff resources needed to implement the project.Briefly describe each proposed position by listing thejob title, main responsibilities, and required skills.The United States Conference of Mayors • 1620 Eye Street,NW • Washington, DC 20006 • (202) 293-7330www.usmayors.org/uscm

March 2003 TECHNICAL ASSISTANCE REPORTS 13Tips on Collaboration• Justify the collaboration. If you plan to collaborate withone or more organizations or agencies, explain inyour proposal why your organization has choseneach partner and what specific gaps each one willmeet. It is also crucial to explain the structure of thecollaboration. For example, if your organization isthe lead agency but has significantly less experiencewith the target population than the collaboratingagency, funders may wonder why the collaboratingagency isn’t applying for the grant instead of yourorganization. It may be that the collaboratingagency has greater cultural competency with thetarget population but lacks the organizational skillsto administer the project properly.• Make it formal. Formalize your organization’s relationshipwith potential collaborators by preparinga memorandum of agreement or MOA (also referredto as a “Letter of Collaboration” or a “Memorandumof Understanding”) that outlines each partner’stasks and responsibilities and include the MOA inyour proposal appendix. This is particularly importantwhen the success of your proposed project dependson the cooperation of another organization. Makesure that any MOA you include in the appendix iscurrent and specific to the proposed project.• Be specific. MOAs should include a detaileddescription of the services each collaborating agencywill provide and the time frame for these services.They should also describe how the partners willcommunicate with each other and monitor theprogress of the collaboration.• Ensure accountability. Work out a system in advancefor managing the collaboration. This can includeplanning regular meetings, developing and reviewingforms that record services performed by partners,and holding periodic strategy sessions.• Distinguish between a collaborator and sub-contractor.A collaboration is not primarily a financial relationship,though there may be some economic benefitsof the project for all partners. When another organizationis actually being paid to conduct some projectactivities, what’s needed is not a collaborative agreementbut a contract for services. There are a variety of waysin which collaborator/subcontractor relationshipscan be structured. For example, a project staffer mightwork at the offices of a collaborating organizationwhile remaining on the payroll of the lead organization;this would not require a subcontract. However, if astaff member on the payroll of a collaboratingorganization is conducting vital project activities, asubcontract with the second organization is needed.What concerns reviewers is that the projectincludes organizations with the capacity to reachthe target population, that project staff (no matterwhose payroll they are on) are properly compensated,and that all staff are supervised in a way thatensures accountability to the funder.Indicate whether the position will be full-or part-timeby specifying the percentage of time to be spent on theposition. It should be clear who will supervise each positionand how they will do so (e.g., weekly staff meetings). Ifyou have identified candidates for any of the proposedpositions, provide a resume in the supporting documentation.If the program involves volunteers, funders will pay closeattention to your plans for recruiting, training, supervising,and retaining them. Finally, be careful not to assign fulltimeresponsibilities to part-time staff or volunteers;reviewers may think you don’t understand what’s neededto do the job properly and that it won’t get done.Justification of methods. It is important to provide anexplanation of why your organization has chosen aparticular set of interventions for the target population.Most HIV prevention programs are designed accordingto a combination of formal (scientifically tested) andinformal (based on experience) theory. There is nothingwrong with using informal theory; just make sure thatyou describe the assumptions that are behind the choiceThe United States Conference of Mayors • 1620 Eye Street,NW • Washington, DC 20006 • (202) 293-7330www.usmayors.org/uscm

14 TECHNICAL ASSISTANCE REPORTS March 2003of each intervention. If you are basing the proposedprogram on formal theory, avoid copying the theoryword-for-word; simply repeating a theory does not showthe funder that you actually know how to apply thetheory to real-life interventions. Instead, explain howeach proposed intervention corresponds to the differentelements of a theory. For example, if you are using theStages of Change theory of behavior change, show howthe different components of your HIV risk reductionprogram will take clients through the five stages ofPrecontemplation, Contemplation, Preparation, Actionand Maintenance. If you are basing your programWhat Funders Look for in the Proposed Program Section• A logical link between the proposed program andproblem statement. Simply put, the proposed programshould address the specific problem outlined in theproblem statement.• A logical fit between individual program components.Because HIV prevention programs usually have morethan one component (for example, a weekly supportgroup combined with street outreach, prevention casemanagement, and referral services), it is importantto explain how the various pieces of a program relateto and support each other. When this explanation ismissing, reviewers may get the impression that youthrew together some services to “look busy” withoutgiving much thought to how they will work together.• Appropriateness of proposed program for targetpopulation. Reviewers will hesitate to fund yourproposal if they think it’s unlikely to be successfulwith your target population. For example, if you willbe working with an ethnic or racial minority,reviewers will expect you to tailor your interventionto the specific cultural, social, and linguistic needsof that population. If your proposed project involvesworking with a low-income, high-risk population anda key element of the project is a website that promotessafer sex, reviewers will be skeptical about its successwith a population that may not own computers.* Involvement of the target population. Because HIVprevention projects usually deal with very specificat-risk populations with unique perspectives andneeds, reviewers like to see involvement of the targetpopulation in the design and implementation ofthe proposed project. This is particularly true ofstate and federal funding agencies. Research hasshown that programs that are designed “by andfor” a specific population are more likely to gaincommunity support and succeed in their goalsthan “top down” approaches designed by individualswho are not familiar with the people whom theyare trying to reach.• Clear, detailed description of project activities. One ofmost common–and often fatal–mistakes that proposalwriters make is not providing enough detail abouta proposed project, or presenting the informationin such a confusing way that the reviewer can’t makesense of what is being proposed or how all the partsfit together. It is very important that you have at leastone other person in your agency read this sectionand provide honest feedback about any areas that areconfusing or vague so that you can correct them.• Sound justification for proposed activities. Reviewerswant to know why your organization chose thespecific set of interventions in the proposal. Ifyou are basing your program design on formaltheory, then provide references to the theory ortheories you are drawing from and discuss howyour project reflects them. If, instead, yourdesign is based on informal theory derived fromyour organization’s experience with the targetpopulation, then discuss what observations yourorganization has made about what works bestwith that population and why you have chosenthe approach taken in your proposal.The United States Conference of Mayors • 1620 Eye Street,NW • Washington, DC 20006 • (202) 293-7330www.usmayors.org/uscm

March 2003 TECHNICAL ASSISTANCE REPORTS 15design on another program that has been demonstratedto be effective (e.g., the STOP AIDS model based oncommunity mobilization, outreach, and small groupmeetings), then explain to reviewers why you havechosen this model and what, if any, modifications youwill need to make to tailor it to your target population.(See the Resources box at the end of the publicationfor information on where to find out more abouttheories and approaches commonly used in HIVprevention education.)What Funders Look for in the Proposed Program Section continued• The proposed program plan is reasonable and“doable.” Reviewers want to be reassured that yourorganization can actually do the proposed workgiven its overall resources–including financialresources, available staff and their areas of expertise,existing ties to the target population, physicalspace, etc.–and the time frame within which theactivities must take place. Don’t promise to do toomuch (e.g., reach 3,000 clients during the firstthree months of the project) or reviewers willthink your organization doesn’t know what it’sdoing. On the other hand, don’t promise too little(e.g., enroll a total of 25 clients during the projectyear) or reviewers will think the grant money won’tbe well spent.• Client recruitment and retention has been considered.One of the most common problems in implementingHIV prevention programs is difficulty in reachingor recruiting clients and getting them to keep comingback for services. Funders will be reassured if youexplain in detail how you plan to recruit and retainclients, or if your plan makes reasonable allowancesfor unavoidable client turnover.• The proposed project is special or unique. In a competitivefunding environment, proposals that are special orunique, either in the intervention proposed or inthe population targeted, are more likely to catchreviewers’ attention than those that appear to bedoing the “same old thing.” This is particularlytrue when the proposed project is dealing with anestablished target population in a geographical areathat already has many services for that population.For example, African American MSM in Harlemhave had access for some time to a variety ofprevention services, and it can be assumed that thebasic prevention strategies (outreach, groups,prevention case management, etc.) have been tried.In this case your chances may be much improved ifyou propose some innovative strategy that seems tofunders to be a fresh attempt to reach and engagethis population. By contrast, African Americanmen in a small Midwestern city may not havereceived any specific prevention services, and basicprevention strategies may represent a sensiblefirst step. In this case, what’s special is the deliveryof services to a previously unserved population. Inboth cases, your proposal will stand out fromothers that merely offer the usual services to theusual populations.• The project is adequately and appropriately staffed.The number of staff assigned to the proposedproject and their qualifications should match thelevel of effort required by your program plan.The United States Conference of Mayors • 1620 Eye Street,NW • Washington, DC 20006 • (202) 293-7330www.usmayors.org/uscm

16 TECHNICAL ASSISTANCE REPORTS March 20035. Evaluation PlanThe purpose of the Evaluation Plan isto describe how you will assess theextent to which your project has metits goals and objectives.The evaluation of HIV prevention projects is receivingincreasingly more attention–particularly from federaland state agencies. More and more, funders want toknow not only how a project was carried out (processevaluation) but also what effects it had on the clients(outcome evaluation). Even if an evaluation is notrequired (some funders just ask for occasional progressreports) it is a good idea to do one because it shows thatyour organization cares about the quality and impact of itsprojects. Evaluation has a number of benefits. It can help:• determine if the project goals and objectives are being met;• ensure that the activities in the work plan are beingfollowed closely and on schedule;• provide corrective feedback to staff that will increaseprogram quality and effectiveness;• gather information about the effects of the project onthe target population;• provide evidence of project achievements;• provide evidence to potential funders of the organization’sability to run successful projects; and• help with internal administrative planning.That being said, evaluation can be challenging,particularly for small organizations with limited fundsand capacity to conduct evaluation. However, by takingadvantage of existing evaluation technical assistanceand resources and free or low-cost evaluation expertise,conducting an evaluation of an HIV prevention projectis feasible, even for organizations with modest resources.Some state and city health departments offer assistancein evaluation design and implementation and free orlow-cost evaluation workshops are frequently offeredlocally or at national conferences. In addition, evaluationexperts are sometimes willing to conduct evaluation freeof charge as a form of community service and graduatestudents with an interest in evaluation may be willing tolend a hand to fulfill degree requirements.Basic Types of Program EvaluationThere are many types of program evaluation, morethan can be discussed adequately in this short publication,but for purposes of evaluating small, community-basedHIV prevention projects, the most commonly used areprocess and outcome evaluations (for more comprehensiveinformation on evaluation, see USCM’s publication“Evaluation for HIV/AIDS Prevention Programs.”)Process EvaluationDefinitionProcess evaluation examines the implementation ofa project. It documents what services were delivered,how they were delivered, and who received them. Thisinformation can be used to determine how well the projectwas managed, provide valuable feedback to project staff,and demonstrate to funders that the activities promisedin the proposal were delivered in the manner describedin the proposal. Of the two types of evaluationdescribed here, process evaluation is generally the easierto conduct because it relies on information that is fairlyeasy to obtain, that frequently already exists, and thatcan be built into regular project activities.Types of questions asked in process evaluation• How many clients were reached by the intervention?(e.g, how many individuals were contacted during streetoutreach, how many attended each prevention workshop?)• What was the demographic profile of the clientsserved? (e.g, race/ethnicity, gender, age, HIV risk factor,HIV status, etc.)• What type of services were provided? (e.g., condomdistribution, prevention case management counseling,HIV testing counseling, prevention workshops)• How many times were the services provided? (e.g.,number of condoms distributed, number of: streetoutreach contacts made, number of referrals to HIV testing,number of one-on-one counseling sessions held)• How much time was involved in providing each service?(e.g., minutes spent on each street outreach encounter,duration of each prevention workshop)The United States Conference of Mayors • 1620 Eye Street,NW • Washington, DC 20006 • (202) 293-7330www.usmayors.org/uscm

March 2003 TECHNICAL ASSISTANCE REPORTS 17Outcome EvaluationDon’t worry about developing the "perfect" evaluationdesign because there is no such thing. Just concentrateon designing the best evaluation you can with theresources you have available.• Were there any difficulties involved in providingthe services?• What factors made it easier to implement the project?• Were clients pleased with the quality of theservices offered?• Were project goals and objectives met; were theymet on schedule?Sources of information for process evaluationMany organizations routinely gather information abouttheir clients and services that can be used as the basis fora process evaluation, such as client intake forms andworkshop evaluations. Before developing an evaluationplan, project planners should assess what types ofinformation is already being collected and determinewhat else needs to be collected. It is not necessary tospend a lot of time designing data collection forms; inmany cases, you can use existing forms that have beensuccessfully used by your own or other organizationsand tailor them to your needs.Below are examples of types of data that can be used inprocess evaluation.• client registration/intake forms• participant sign-up sheets• participant recruitment logs• outreach encounter logs and diaries• referral forms• staff notes• routine project documentation• workshop evaluation forms• client satisfaction surveys• interviews with staff and clients• observation of client servicesDefinitionOutcome evaluation looks at the effects of a project.It is used to determine whether any changes occurred inthe target population as a result of the project (e.g., anincrease in knowledge about HIV prevention; changesin HIV risk-related beliefs, attitudes and/or behaviors).In HIV prevention, most outcome evaluations conductedby community-based organizations focus on the shorttermeffects of an intervention since long-term behaviorchange requires a more complex methodology (e.g., followupinterviews with a sample of the population over anextended period of time) and additional funding.Types of questions asked in outcome evaluation• Was there any immediate change in knowledge,behavior, attitudes, beliefs, and skills of participantsas a result of the intervention? If yes, what changesoccurred and by what amount? (quality and quantityof improvement)• Were there any differences in the effects of an interventionon one group as compared to another (e.g., betweenolder and younger clients)?• What benefits did clients report as a result of participatingin the project?• Were there any unexpected or unintended results ofthe project?Sources of information for outcome evaluationBelow are examples of types of data that can be used inoutcome evaluation.• pre- and post-intervention questionnaires assessing changesin clients’ knowledge, attitudes, beliefs, and behaviors• focus group data• observation of client behavior (e.g., correct use ofbleach to clean needles) before/after interventionThe United States Conference of Mayors • 1620 Eye Street,NW • Washington, DC 20006 • (202) 293-7330www.usmayors.org/uscm

18 TECHNICAL ASSISTANCE REPORTS March 2003Sample Evaluation PlanThere are many different ways to prepare an evaluationplan and no single “right” way. The following sampleevaluation plan walks the reader through the stepsinvolved in writing an evaluation plan for a hypotheticalproject that provides HIV/AIDS and risk reductioninformation to adolescents attending a runaway/homelessyouth facility in an inner-city neighborhood. Theintervention will be delivered through theatricalpresentations featuring peer actors recruited throughlocal high-school acting classes. Theatrical presentationswill be held in conjunction with youth facility activities(e.g., meal functions, health screenings), which typicallyattract small groups of 10-20 runaway/homeless youth.The examples provided here are kept simple on purpose;in real life, an evaluation plan will be more complex.The next step is to turn those answers into objectivesthat are specific, time-phased, and measurable.Objectives should be stated in quantifiable terms–thatis, they should use numbers to measure success (e.g.,numbers of clients you hope to reach, percentage ofchange in skills you hope clients will demonstrate).When writing outcome objectives, use actionverbs–such as to decrease, to increase, to reduce, toexpand–and express the degree of desired change inpercentages (e.g., 30% increase in condom use skills).Finally, be realistic about what project staff canaccomplish during the specified time frame and don’tpromise more than they can deliver.EX. Process Objective: To provide 270 runaway/homelessyouth ages 12-18 [who, how many] with HIV risk reductioninformation [what] through a 45-minute theatricalpresentation [how] within a six-month period [when].Step 1 – Project GoalState the goal of your project. The goal is a generalstatement of what your project hopes to accomplish.EX. To increase awareness about HIV, its transmission, andits prevention among youth residing in a runaway/homelessyouth facility in the inner city section of Anytown, U.S.A.Outcome Objective: At the conclusion of each 45-minute theatrical presentation [by when], participantswill demonstrate an average pre-post test gain inknowledge [desired outcome] of at least 70% [howmuch] on a competency test [how measured] onmodes of transmission of HIV infection and riskreduction behaviors.Step 2 - Project ObjectivesState the project objectives(s). These must define:the process (i.e., type of intervention or services) to beprovided and the expected outcome (i.e., effects andbenefits) that will result.The first step in writing objectives is to define anacceptable level of success for each individual objective.For example, you might ask yourself “How many clientscan I reasonably expect to reach during the projectperiod?” (process objective) or “How much of animprovement in skills and knowledge can I reasonablyexpect clients to demonstrate after attending theplanned workshops?” (outcome objective).The United States Conference of Mayors • 1620 Eye Street,NW • Washington, DC 20006 • (202) 293-7330www.usmayors.org/uscm

March 2003 TECHNICAL ASSISTANCE REPORTS 19Step 3 - Project ActivitiesDescribe, briefly, the specific activities that will beconducted in carrying out the project objectives.Carefully select from your work plan only those activitiesthat you want to evaluate. These should be the core activitiesthat are necessary to implementing the project objectives,not routine administrative activities.EX. Activities related to the process objective:1. Develop a theatrical presentation workshop usingpeer actors to deliver the HIV/AIDS information.This includes writing a script and developinga curriculum.2. Recruit peer actors from local high-school theaterclasses and train them.3. Hold 3-4 presentations per month over the last sixmonths of the project.Activities related to the outcome objective:1. Develop a pre-post test questionnaire to measureknowledge of modes of HIV transmission andrisk reduction behaviors.2. Pilot test theatrical presentation and questionnairewith members of the target population to determineif any changes are needed.3. Before each presentation, administer the questionnaireto audience members.4. Following each performance, administer thequestionnaire to audience members.5. Analyze results of the pre-post tests to measuregains in knowledge.Step 4 - Data Types and SourcesDecide on the types of data (information) you need todetermine whether you have met the project objectives(see Step 2) and the source of that data. What informationis needed? Data can be quantitative (numerical) orqualitative (descriptive)–usually both types are needed.What persons, records, or instruments can provide thatinformation? What’s the best way to collect the information?Select sources of data that provide the most usefulinformation with the least disruption to project activities.EX. Data types and sources for process objective:• number and demographic characteristics of youthattending theatrical presentation workshop (datatype) > demographic questionnaire handed out atbeginning of each workshop (data source)• number of presentations held, dates, times andplaces (data type) > project records (data source)Data types and sources for outcome objective:• results of pre-post test administered to audiencemembers at all theatrical workshop presentations(data type) > pre-post test questionnaires administeredto audience members (data source)Step 5 - Evaluation TimetableDescribe your timetable for the evaluation. Listeach evaluation activity, by when or at what stages in theproject each one will be completed, and who will beresponsible for collecting the information.EX.Activity When Conducted Responsibilityadminister before/after each theatrical Project Coordinatorknowledge test presentationThe United States Conference of Mayors • 1620 Eye Street,NW • Washington, DC 20006 • (202) 293-7330www.usmayors.org/uscm

20 TECHNICAL ASSISTANCE REPORTS March 2003What Funders Look forin the Evaluation Plan• The evaluation plan flows logically from theobjectives specified in the work plan. The evaluationplan should be based on the objectives in thework plan. If you have written your originalobjectives well, you can just plug them intoyour evaluation plan.• Your evaluation plan promises to provide solid evidenceof your project’s effectiveness. Funders understandthat most community-based organizations havelimited resources to conduct evaluation. However,they still want to see that an applicant organizationis making a sincere effort to assess how closely ithas come to meeting project objectives. For funders,evaluation is not about “proving” the success orfailure of a project; it’s about documenting andlearning from the experience of implementing aproject. Therefore, funders will look closely at yourevaluation plan to see whether you are planningto conduct both process and outcome objectives,whether you are making a reasonable effort tocollect appropriate and sufficient informationthroughout the project period, and to clarifywhat your interventions have achieved.• The evaluation plan is detailed and specific. Themore details you can provide about what you willevaluate and how you will evaluate it, the better.Describe the objectives you plan to evaluate,the methods and types of information you willcollect, the timing of each evaluation activity,and who will be conducting the activity. Thisreassures reviewers that your organizationunderstands exactly what is involved in carryingout an evaluation.• The evaluation plan is realistic and feasible.Evaluation can be very expensive and time-consuming.Reviewers like evaluation plans that seem “doable”given the amount of the grant, the duration of thefunding period, the type of project, and theresources available to the applicant organization.6. BudgetThe budget lists and justifies thecosts of implementing theproposed project.Although the proposal budget is usually not scoredby reviewers, it may influence–for better or worse–theirimpressions of your proposal. In fact, the budget is thefirst section of the proposal that some reviewers look atbecause it provides important clues about the applicantagency and the proposed program. A carefully preparedbudget that contains reasonable costs that are clearlyrelated to the proposed project can enhance the impactof your proposal. Similarly, a budget that is sloppy, thatcontains costs that have nothing to do with the proposedproject or omits costs clearly required by the project, orthat has costs that are too high or too low, may put offreviewers. Therefore, it is important to approach thebudget as seriously as you would any other part of theproposal. Remember, however, that a proposal budgetis only an estimate and will probably be changed duringthe negotiation process if your proposal is funded.The format of a budget depends on the requirementsof the funding source and your organization’s ownaccounting practices. Generally speaking, governmentalfunding sources require the most information andfrequently provide you with specific budget forms tocomplete. Private foundations usually have less detailedrequirements but nevertheless appreciate a carefullyprepared budget. Because there are many different waysof preparing a budget and no single “right” way, a samplebudget is not presented here. Instead, we discuss stepsthat should be taken to prepare a thorough budget andoffer general pointers on what funders look for whenreviewing proposal budgets. We recognize that the personwriting the proposal is not always the same as theperson preparing the proposal budget. However, weoffer detailed information on important aspects of budgetpreparation because the primary writer of the proposalshould ensure that the budget adequately supports theproposed project.The United States Conference of Mayors • 1620 Eye Street,NW • Washington, DC 20006 • (202) 293-7330www.usmayors.org/uscm

March 2003 TECHNICAL ASSISTANCE REPORTS 21As you calculate estimated expenditures for each budgetline item, don’t forget to account for anticipated futureexpenses such as increases in rent or salaries that mayoccur during the project period.Getting Ready to Do a Budget1. Begin by reading the budget section in the fundingannouncement carefully and noting any specialinstructions. See whether the funder provides youwith a specific budget format; if a specific format isrequired or recommended, follow it exactly, even if itis not the way your organization normally preparesbudgets. Look carefully to see whether the funder hasany restrictions on funding certain items or services.For example, some funders will not pay for capitalcosts (costs related to purchasing a long-lasting physicalasset) such as construction costs or the purchase ofoffice equipment. The federal government also hasrestrictions on paying for such things as meals, beverages,and drug injection equipment. USCM, because of itsfocus on funding HIV prevention rather than the careand treatment of people infected with HIV, will notpay for medical, laboratory, or psychiatric services.2. Go back and read the Proposed Program section of yourproposal from beginning to end. As you read, make alist of all the staff who will be involved in implementingthe project, whether they will be paid staff workingfull- or part-time on the project, consultants, orunpaid volunteers. Next to each staff position, writethe percentage of time to be spent on each position(e.g., 100%, 15%). (You can also express this informationKeep copies of all the backup materials you used to comeup with the figures contained in your budget, includingcost estimates, notes, mathematical calculations, and addingmachine tape. That way, if you have to make any changesin the budget, you will know how you came up withyour original figures.as a decimal of a Full-time Employee or FTE–e.g.,0.75 FTE or 1.00 FTE). Finally, remember to includeor make allowances for fringe benefits (e.g., healthinsurance, payroll taxes) for employees who will bereceiving them. In some cases, fringe benefits can bequite high, say as high as 40 percent of an employee’ssalary, which will affect how much your organizationcan afford to pay for each position. Fringe benefits maybe itemized and charged at their actual cost or lumpedtogether and charged as a percentage of salary.3. Next, make a list of each activity and service mentionedin the Proposed Program section. Are there any specificcosts attached to these? For example, if you plan toconduct prevention workshops, will you be servingany snacks or providing participants with stipends? Ifyou’re planning to hold educational events featuringexpert speakers, will you be paying the speakers a fee?If your project involves regular street outreach, willyou have to purchase condoms, lube, bleach kits andother prevention supplies? How are you planning topromote your project? For example, will you be printingany promotional materials such as brochures? Willyou be advertising in any local publications? Next toeach activity, list its estimated cost based on pastexpenditures for similar items or estimates providedto you by vendors.Have someone compare the budget against the ProposedProgram to make sure that the numbers listed in eachsection are consistent with each other. For example, if youstate in the Proposed Program section that you will holdsix prevention workshops during the project period, makesure that the budget contains expenses for exactly six.4. Then, make a list of all one-time or occasionalexpenses related to your project such as purchase ofcomputers or other office equipment (if allowedby the funder), staff travel to an annual HIV/AIDSconference, or staff training. Again, list the estimatedcost based on past experience or by asking for estimatesfrom vendors.The United States Conference of Mayors • 1620 Eye Street,NW • Washington, DC 20006 • (202) 293-7330www.usmayors.org/uscm

22 TECHNICAL ASSISTANCE REPORTS March 20035. Next, make a list of all ongoing organizationalexpenses that are essential to the running of yourproject but that cannot be easily separated from alarger total and assigned to a specific project. Thesemight include rent, telephone, utilities, postage, andequipment rental. There are basically two ways to listthese expenses in a budget: as direct or indirect costs(see box entitled “What Are Direct and IndirectCosts?” for a more detailed explanation of the two).A cost may be either direct or indirect depending onhow an organization decides to treat it. For example,one organization may treat office supplies as a directcost and charge the actual cost of purchased suppliesto a specific project; another may treat it as an indirectcost and charge a set percentage each month for officesupplies. The decision of whether to treat a cost asdirect or indirect depends on the likelihood that afunder will reimburse for those charges. Before youdecide whether to make certain costs direct or indirect,find out what the funder’s definition is of direct andindirect costs and what is an allowable indirect rate.This information may be included in the fundingannouncement; if it isn’t, you should call the funderdirectly to clarify the matter.6. Remember to list in-kind expenses–if you have any.In-kind expenses are non-monetary donations toyour project of such things as volunteer time, stafftime, equipment, supplies, and office space. They can bedonated by other programs within your organizationor by outside sources. Generally speaking, key projectactivities should not be assigned to in-kind employees.Create a second column for in-kind expenses.7. Come up with an initial total. If a funding announcementstates an average or maximum grant amount forwhich you can apply, be careful not to exceed thatamount or you may run the risk of having the proposaldisqualified without even being read. In some cases,you may have to modify the work plan to keep thetotal cost of the project within the range of availablefunding. Be careful, however, not to cut out toomany key project activities or personnel in order tobalance the budget or you may jeopardize the qualityof the proposed project.Sustainability. Some funders, particularly private foundations,are concerned about the long-term sustainabilityof your proposed project. In other words, they want tomake sure that if they invest in your project, they areinvesting in something that will still be around in a fewyears. If you’re addressing this issue, describe how youplan to obtain additional funds to continue the projectin the future.The United States Conference of Mayors • 1620 Eye Street,NW • Washington, DC 20006 • (202) 293-7330www.usmayors.org/uscm

March 2003 TECHNICAL ASSISTANCE REPORTS 23What Are Direct and Indirect Costs?• Direct costs are those that are related to a specificproject. They are listed as separate line items in yourbudget. Common direct costs include personnel,fringe benefits, travel, materials, supplies, and rent.These costs may have to be separately documentedon a regular basis to meet financial reportingrequirements. In situations where you share directcosts with other programs within your organization,you will need to assign a percentage of costs toyour project and justify the percentage. Rent, forexample, may be a shared cost of various projectssharing the same offices. The percentage of rentassigned to a given project might be based on thenumber of staff employed by that project relativeto your total staff, or to the amount of spacerequired by that project relative to the total spacebeing rented, or to the percentage of your totalbudget represented by the project. Similar formulascould be used for a variety of shared costs. Theimportant thing is that you explain in theBudget Justification section how you calculatedthe formula for specific shared costs.• Indirect costs are associated with the general operationof an organization and are usually shared by two ormore projects. These can include such expenses as rent,utilities, insurance, equipment usage, administrativeoversight and accounting services. Indirect costsare not listed as separate line items, but are usuallyexpressed as a percentage (called the indirect costrate) of the direct costs of a project. Calculatingindirect costs (also sometimes called “overhead”)can be an extremely complicated process. On theother hand, the benefit of charging an indirect costis that it is a more efficient use of time to chargeshared costs than to determine the exact cost ofeach item used in a project and charge it separately.Some funders are generous with how much theywill allow you to charge for indirect costs. Othersallow no indirect costs or put a limit on how muchyou can charge for indirect costs. If yours is a smallorganization with limited funds, you may want toconsider whether it is worth your while to applyfor funding from a funder that does not allowindirect costs.Calculating indirect costs. Some organizations–usuallylarge, established ones that routinely apply for federalgrants–have gone through the process of negotiatinga Federal indirect cost rate. Others may have indirectrates approved by state or local governments. If yourorganization uses an indirect cost rate, you will haveto state somewhere in the budget section what thatrate is, what costs are included in the rate, and howyou calculated the indirect percentage you want toclaim. Even if this information is not specificallyrequested in the funding announcement, be preparedto provide it at a later point. The items included inthe indirect cost rate should not be listed again under“Direct Costs.” If necessary, ask funders for guidanceon this question before you draw up your budget.The United States Conference of Mayors • 1620 Eye Street,NW • Washington, DC 20006 • (202) 293-7330www.usmayors.org/uscm

24 TECHNICAL ASSISTANCE REPORTS March 2003What Funders Look for in the Budget• A clear match between proposed activities and proposedexpenditures. Every item in your budget should relatedirectly back to your work plan. There should beno inconsistencies or surprises in the budget. Onecommon pitfall is to introduce a line item in the budgetfor an expenditure that does not appear in thework plan. Another is to propose an activity in theProposed Program section and then neglect to providefinancial support for that activity in the budget.• Reasonable and realistic estimates of expected costs. Abudget that contains reasonable costs shows the reviewerthat the applicant organization knows what it willcost to do the job right. Underestimating expendituresmay suggest to the reviewers that your organizationis inexperienced. Overestimating expenditures mayraise suspicions that you may be unnecessarily“padding” the budget to cover expenses not relatedto the project.• Adequate justification for all expenditures. Even if it’snot required, include a Budget Justification (also knownas a Budget Narrative) that explains in narrative formwhat each line item is for and how you calculatedthe cost of that item. This is also the place toexplain how a particular cost that seems to beunrelated to the project or appears to be too highin fact supports the goals of the project.• Appropriate staffing of project. Budgets offer importantclues to reviewers about how you plan to staff aproject, particularly when staffing details are notdiscussed in the Proposed Program section. Red flagsmay go up for reviewers if the number of staffassigned to a project seems too small to carry it outproperly or if key staff are not being paid enough orare working less than full-time. (It is often a problemto find qualified staff who can be satisfied with apart-time salary.) Similarly, reviewers may questionthe honesty of your organization if it looks likeproject funds will be used to pay for staff positionsthat are unrelated to the proposed project.• Accuracy. If the numbers in the budget do not addup and the budget gives the impression that it wasdone in a hurry without being double-checked,your organization may lose some credibility in theeyes of reviewers.The United States Conference of Mayors • 1620 Eye Street,NW • Washington, DC 20006 • (202) 293-7330www.usmayors.org/uscm

March 2003 TECHNICAL ASSISTANCE REPORTS 257. AppendixThe Appendix section is where you put documentsrequired by your funder, such as evidence of your nonprofitstatus. It is also a good place to put additionalinformation that you want the funder to read but thatwould take up too much space within the main body ofthe proposal. Following are some general pointers forpreparing an Appendix.Dos and Don’ts for the AppendixDO read the funder’s instructions about requiredattachments very carefully and be sure to includeeverything that is asked for. Some funders willdisqualify a proposal if certain required documentationis not included.DON’T include materials that are bound or stapled(e.g., brochures, three-ring binders) because this willmake copying the proposal difficult. (Remember thatmany proposals are read by several reviewers and thatcopies have to be made for each one).DO make sure that all photocopied items are legible.Often documents that have been photocopied over andover become too faded to read accurately.DON’T include anything that is not required by yourfunder or that is not carefully chosen to help you makeyour case for funding. An appendix that is too heavyand full of irrelevant documents that nobody has timeto read will just annoy reviewers.DO check the dates on dated documents to make surethat they are current. This is particularly important ifyou’re including letters of support. Generic letters ofsupport are not as strong as letters of support for a specificproposal, and reviewers will notice the difference.DO make it easy for reviewers to locate documents inthe Appendix. Include a table of contents for theAppendix section (either on a separate page or integratedinto the proposal's overall table of contents) that tellsthe reader what items are included and where to findthem. Ideally, you should number all the pages in theAppendix–by hand if necessary. It is also helpful toreviewers if you divide the Appendix into sections andinclude dividers or tabs identifying each section.DO direct the reader to appendix items mentioned inthe main body of the proposal by writing something like“See Attachment 3 for more information.”The United States Conference of Mayors • 1620 Eye Street,NW • Washington, DC 20006 • (202) 293-7330www.usmayors.org/uscm

26 TECHNICAL ASSISTANCE REPORTS March 2003Before You Send the Proposal: A Checklist❍ Follow funders’ instructions exactly. Make sure yourproposal follows all instructions related to the organizationand formatting of the proposal such as sectiontitles, margin width, type size, page limitations,page order and numbering, and the inclusion of atable of contents and abstract page. Followingdirections is even more important in matters ofcontent, such as limitations on grant amounts,restrictions on specific kinds of activities or expenditures,and all criteria that determine eligibility.❍ Pay attention to proposal deadlines. Check whetherthe deadline is for the postmark date or date forreceiving the proposal. Whichever the case, send theproposal by a carrier or service that will absolutelyguarantee that the deadline will be met. (If theproposal must be received by a certain date, sendingit by regular mail is rarely a good idea; no matterhow early you send it, there can always be delays.)Check the address you are mailing to very carefully;a wrong number in a zip code or street number candelay the proposal and cause you to miss the deadline.❍ Make time to edit the proposal. Sloppy, poorly writtenproposals are unlikely to succeed. Typos, misspellings,grammatical errors, unclear sentences,and sections that have been copied from other documentsand inserted into your proposal withoutbeing properly integrated into it give the impressionthat the proposal was rushed or, worse, that theapplicant organization is not very professional. Forsome reviewers such mistakes can create a bad firstimpression that may be hard to overcome. (You aretrying, after all, to inspire confidence in your abilities.)They can also make the proposal so frustrating to readthat reviewers miss important information or loseinterest in the substance of the proposal. Someoneother than the main writer of the proposal shouldread the proposal from beginning to end to checkfor errors and clarity of meaning. (Note: runningSpellcheck on your computer is not enough; areference to a "peace of paper" may not be flaggedby the program, but reviewers will certainly noticethe error.)❍ Make sure all sections of the proposal are consistentwith each other. Often different people preparedifferent sections of a proposal and due to timeconstraints no one checks each section to make surethat it agrees with the other sections. Or last-minutechanges are made to one section without adjustingrelated sections to reflect those changes. For example,if you originally propose in the Program narrativeto hold a series of eight workshops and later decide toscale back to only six, you should go back and changethe original number wherever it appears in the workplan (e.g., budget, timetable, evaluation plan). Thismay be hard to do at the last minute, but suchinconsistencies will count against your proposal.Again, asking someone other than the main writerof the proposal read it from beginning to end tomake sure that all parts are consistent with eachother should help you avoid this common pitfall.❍ Check the appendix to make sure it includes allrequired attachments. Often funders require certainattachments such as audit statements or evidence ofyour organization’s 501(c)3(tax exempt) status that,if left out, may disqualifyyour proposal.The United States Conference of Mayors • 1620 Eye Street,NW • Washington, DC 20006 • (202) 293-7330www.usmayors.org/uscm

March 2003 TECHNICAL ASSISTANCE REPORTS 27ResourcesProposal Writing GuidesThe Foundation Center’s Guide to Proposal Writing(1997). Jane C. Geever, Patricia McNeill. Rev. ed.The Program Development Puzzle: How to Makethe Pieces Fit (1997). Support Center for NonProfitManagement/National Minority AIDS Council.(Currently being updated).Winning Grants: Step by Step (2002). Mim Carlson,The Alliance for Nonprofit Management. 2nd ed.Online Proposal Writing ResourcesProposal Writing Short Course. The FoundationCenter. http://fdncenter.org/learn/shortcourse/prop1.htmlProgram development and grant writing informationlisted under Resource Development. MOSAICA: TheCenter for Nonprofit Development and Pluralism.http://www.mosaica.org/resources.htmlGrant Writing Tutorial. National Minority AIDS Council.http://www.nmac.org/tech_assistance/Grant_Modules/grant_welcome.aspEvaluationEvaluating HIV/AIDS Prevention Programs inCommunity-Based Organizations (1993, 1995).National AIDS Fund.Theory and Program Design“Can HIV Prevention Programs Be Adapted?”Center for AIDS Prevention Studies (CAPS), Universityof California, San Francisco. Fact Sheet #23E.“What Is The Role of Theory in HIV Prevention?”Center for AIDS Prevention Studies (CAPS), Universityof California, San Francisco. Fact Sheet #14E.Compendium of HIV Prevention Interventions withEvidence of Effectiveness (1999, rev.). Centers for DiseaseControl and Prevention, HIV/AIDS PreventionResearch Synthesis Project.Preventing AIDS: Theories and Methods of BehavioralInterventions (1994). Di Clemente RJ (ed). New York,NY: Plenum Press.“Preventing HIV Infection: What Does the EmpiricalLiterature Say About Programs, Outcomes, Implicationsand Research Directions?” Kyung-Hee Choi and ThomasJ. Coates, 1995.Writing“Introducing Plain Language and Plain English.”MOSAICA: The Center for Nonprofit Developmentand Pluralism. (http://www.mosaica.org/intropl.pdf).Evaluation: Maximizing Your Prevention Efforts (1999).Dr. Charlene Day, National Minority AIDS Council.(Currently being updated).Evaluation for HIV/AIDS Prevention Programs.US Conference of Mayors Technical Asssistance Report.December 1990. (Currently being updated).The United States Conference of Mayors • 1620 Eye Street,NW • Washington, DC 20006 • (202) 293-7330www.usmayors.org/uscm

The United States Conference of Mayors1620 Eye Street, N.W.Washington, DC 20006Non Profit Org.U.S. PostagePAIDPermit No. 4780