March 2003

The United States Conference of Mayors • 1620 Eye Street,NW • Washington, DC 20006 • (202) 293-7330

www.usmayors.org/uscm

USCM HIV/AIDS PROGRAM

Technical Assistance Reports

Tools for HIV Prevention

Writing Proposals

Writing Proposals for HIV/AIDS Prevention Grants

This Technical Assistance Report(TAR) serves as a

basic guide to proposal writing for staff of community-

based organizations (CBOs) and health departments

applying for HIV prevention funding. Since proposal

guidelines vary from funder to funder, a specific or “ideal”

proposal format is not presented here. Instead, the basic

elements of a proposal are described along with proven

strategies to improve the chances that a proposal will be

funded. Many of these strategies are drawn from the

experience of staff of the U.S. Conference of Mayors

(USCM) Health Programs, which has conducted an

annual HIV prevention grantmaking process with funds

from the Centers of Disease Control and Prevention

(CDC) since 1985.

The U.S. Conference of Mayors HIV/AIDS Prevention

Grants Program

The USCM HIV/AIDS Prevention Program was

established in 1984, with funding from CDC, to provide

information and technical assistance to local governments

and community-based organizations. In 1985, USCM

established its HIV/AIDS Prevention Grants Program

which, through 2002, has awarded over $12 million to

245 organizations and health departments nationwide.

The Grants Program releases a Request for Proposals

(RFP) once a year, usually in the winter.

Before You Begin

Preparing a proposal can be an extremely time-con-

suming process, particularly for CBOs and local health

departments that do not have full-time proposal-writing

staff. Following are some basic guidelines to consider

before responding to a funding announcement:

• Read the funding guidelines and directions carefully.

Most funding announcements contain fairly detailed

information about funding priorities, eligibility criteria,

and submission requirements. Federal agencies, in

particular, have complex application requirements

that must be followed exactly or the proposal may

be disqualified.

• Make sure you have enough time to prepare the proposal.

Funders’ deadlines are usually non-negotiable. Be

realistic about how much time the proposal will take

your agency to prepare given your current resources

then decide whether it’s worth the effort. If you don’t

have 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 funding

criteria, it may not be the right “fit” for a particular

grants program. Following are some questions an

applicant may want to ask before beginning the

application process:

• Is the proposed program consistent with the mission

and goals of my organization?

• Does my organization currently have the staff expertise

and resources to implement the program?

• Does my organization have the capacity to administer

the funds that it is applying for?

• Does my organization have direct ties to and

experience with the target population?

• Is there community support for the proposed

program?

• Is the amount of money being offered worth the

time and expense involved in applying for it?

• If possible, discuss your proposed program with the

funder before writing the proposal. Some funders, like

USCM for example, are willing to discuss your

proposed program by phone or to respond to your

letter of inquiry (a letter that briefly describes your

proposed program and the need that it addresses–

see box to the right). In fact, some private funders

require you to go through a screening process before

submitting a proposal. Take advantage of any oppor-

tunities you have to get feedback from a funder

before submitting a proposal. Making sure, upfront,

that your program is a logical fit with a particular

funder will save you a lot of time and trouble in

the long run.

• Consider collaborating with other organizations. Many

funders, particularly federal agencies, prefer proposals

that involve collaboration between two or more

organizations because they avoid duplication of effort

and enhance the capacity of the applicant to serve

clients. You may increase your chances of being

selected for funding if you pair up with another

organization, particularly when your areas of expertise

complement each other.

The United States Conference of Mayors • 1620 Eye Street,NW • Washington, DC 20006 • (202) 293-7330

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2 TECHNICAL ASSISTANCE REPORTS March 2003

TECHNICAL ASSISTANCE REPORTS (TAR), is an official publication of the Health Programs of The United States Conference

of 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 Standing

Committee on Children, Health and Human Services. USCM executive officers with responsibility for Health Programs are: J. Thomas

Cochran, 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 • 1620 Eye Street,NW • Washington, DC 20006 • (202) 293-7330

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March 2003 TECHNICAL ASSISTANCE REPORTS 3

Basic Elements of a Proposal

Most proposals are made up of the following sections,

although they may be called something else in each

funding announcement and may appear in a different

order. Once you understand what basic information

reviewers are looking for in each section, you will be

able to respond to a variety of funding announcements.

1. Executive Summary

Most funders require some sort of summary or

abstract that highlights the key points of your proposal.

Summaries provide reviewers with a quick orientation

to your proposal and help them determine whether or

not it matches their priorities. This section of the proposal

is usually very brief–often a page or less. Because it is

often the very first thing reviewers read, the summary

should be clear, well-written, and interesting.

Requirements about what should be in the summary

vary by funding source but usually include some of the

following information:

Also known as a letter of intent, a letter of inquiry

is a two- to three-page summary that briefly describes

the proposed project and gives potential funders

the opportunity to decide whether they are interested

enough in a project to request a full proposal. It is most

commonly used by foundations, who are looking for

evidence that the proposed project fits their funding

priorities before they invest staff resources in reviewing

a full application. A letter of inquiry can be more

challenging to write than a full proposal because you only

have a few pages to make a compelling case for why your

project should be funded. Typically, a letter of inquiry

contains some or all of the following components:

• An introduction that serves as a type of executive sum-

mary.The introduction should include basic infor-

mation such as the name of your organization, the

amount being requested, and a brief description of

the purpose of the project.

• A description of the applicant organization. Your

description should focus only on the types of infor-

mation about your organization’s history, experi-

ence, and staff qualifications that are relevant to

the proposed project and the funder’s interests.

• A statement of need that describes the problems your

project will address. It should describe the target

population and geographical area and, without

going into too much statistical detail, should

describe the nature and extent of the problem

being addressed.

•

A description of how the proposal will meet the stated

need. Describe the project briefly, including major

activities and objectives.

•

Budget information can include the estimated overall

amount required to implement the project, the

specific amount being requested from the funder, the

time period for which funding is being requested,

and a description of other funding sources that

have already committed support or are being asked

for support. Some funders may also ask for a complete

proposed budget.

• Contact information including name, title, address,

phone number, fax and email.

Note: Do not include attachments unless

the 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?” at

http://fdncenter.org/learn/faqs/letter.html.

How to Write a Letter of Inquiry

The Executive Summary provides

a snapshot of the whole proposal.

The United States Conference of Mayors • 1620 Eye Street,NW • Washington, DC 20006 • (202) 293-7330

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4 TECHNICAL ASSISTANCE REPORTS March 2003

• The name and description of the applicant organization,

including a statement about why the applicant is qualified

to do the proposed work.

• The target population.

• A brief statement of the problem or need the proposal

addresses.

• A short description of the proposed project, including

the main objectives, the key program components and

activities, the methods or approaches used, and the

expected outcomes.

• Amount of funding requested.

2. Problem Statement

This section is often referred to as the Problem

Statement, Statement of Need, Justification of Need, or

Needs Assessment. Regardless of the name used, the purpose

is the same: to convince the reviewer, through a presen-

tation of supporting evidence and persuasive argument,

that a compelling problem exists in your community that

can be effectively addressed by your proposed program.

Below are suggestions for areas that can be covered in

the Problem Statement. Deciding what information to

include will ultimately depend on the requirements of

the funding source, the nature of the problem and the

target population, and the information available to the

proposal writer. Most of the information discussed below

is already available in your local, regional, or state HIV

prevention plan developed through the community

planning process. For ideas on how to gather HIV risk

information from other sources, see the box on page 6

entitled “Demonstrating HIV Risk When Limited Data

Exist on Your Target Population.”

Definition of Target Population

Reviewers need to know as clearly as possible who

your proposed program will serve. Given that all groups

of people are not at equal risk for HIV, it is important to

be as specific as possible in terms of race/ethnicity, specific

risk behavior(s), age, socioeconomic background, and

geographic area. Being specific demonstrates that your

organization has a clear understanding of the risk behaviors

and needs of your target population and has defined the part

of that population that it can reasonably expect to reach.

Don’t say that your program will target “African

American women in the Bronx.” After all, all African

American women in the Bronx are not at risk for HIV

and there are far too many at-risk African American

women in the Bronx to be effectively reached by a single

program. A better way to specify a target population is to

say you will target “African American women between

the ages of 18-30 who live in the following areas of the

Bronx [insert the names of specific neighborhoods or zip

codes] and who are at risk for HIV because they abuse drugs

and/or exchange sex for money, drugs, or resources.”

Defining your target population as narrowly as possible will

help you identify gaps in existing services for that population

and make a better case for why your program is needed.

Impact of HIV/AIDS on Target Population

Your discussion should include information on the

nature and extent of the HIV/AIDS problem in the target

population. Discuss briefly how HIV/AIDS has affected

the target population. How many people in the target

population are infected with HIV, how many have

AIDS, and how many have died of AIDS? What are the

epidemiological trends that relate to your target population?

The data you use should be as local as possible. Even

when epidemiological evidence is strong, you can add

specific examples from your organization’s own experience

to help reviewers visualize the situation. For example, if

your organization recently provided HIV testing in a local

bar to 30 Latino men who have sex with men (MSM)

and several tested positive, tell reviewers about this

(while protecting the clients’ identities).

It is much easier to write the Executive Summary after all

the other parts of the proposal have been completed.

At that point in the writing process, the details of the

proposed program will be much clearer.

The purpose of the Problem Statement

is to show

why the proposed

program is needed.

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March 2003 TECHNICAL ASSISTANCE REPORTS 5

Demographic Factors

Use demographic data to provide a profile of the target

population in terms of race/ethnicity (including mem-

bership in 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 other

relevant demographic characteristics. If you are targeting

a small or distinct population (e.g., male-to-female transgenders

of color in Manhattan), you should provide an estimate of

the size of that population–if that information is available.

Cultural Factors

Discuss any relevant cultural factors that contribute to

HIV risk in the target population. For example, if you

are targeting African-American MSM in the rural South,

you may want to discuss the effect of homophobia,

racism, and social and religious conservatism on this

population’s HIV risk.

Behavioral Risks for HIV

Describe the specific behaviors that put members of

the target population at risk of HIV infection. These

behaviors may include unprotected sexual contact, injection

drug use, use of drugs such as “crack” cocaine that are

associated with high-risk sexual practices, or the exchange

of sex for drugs or resources. Provide statistics drawn from

behavioral data to show how common these risk behaviors

are in your target population. If there is limited information

on behavioral risks in your target population that are directly

related to HIV, provide data that indirectly demonstrate

a risk. For example, if you are trying to prove that your

target population–say high-risk women–is participating

in risky sexual behavior, you can cite rates of sexually

transmitted diseases or unplanned pregnancies.

Existing HIV Prevention Services and Gaps in Services

Try to provide as complete a picture as possible of

HIV prevention services in your community that relate

to your proposed program. What HIV prevention services

are currently being provided in your community, which

populations are being served, what geographical areas are

being served, and who is providing these services?

Remember to include activities conducted and/or funded

by the local or state health department, by other CBOs,

and by your own organization.

Then discuss the specific gaps in services for your target

population. These gaps could include: geographic areas

or neighborhoods that are not being served, types of services

(such as HIV counseling and testing or prevention case

management) that are not being offered, or cultural or

linguistic needs that are not being met (e.g., there are no

services in Spanish for individuals whose first language is

Spanish). What specific gaps will your proposed program

fill and how will your program complement or add to the

services that are already being provided to the target

population in your community? Be as precise and honest

as possible when describing gaps. Remember that reviewers

may already be aware of the existing range of services,

particularly in major metropolitan areas, and may notice

if your discussion of gaps is not complete or is inaccurate.

Reviewers are frustrated by vague descriptions that don't

make it clear whether a program is really needed. Your

ability to provide a clear and accurate picture of what’s

already available helps demonstrate to the reviewer that

you understand how the proposed program fits into the

range of services in your community.

Barriers to Access

Are there any barriers that exist in your community

that make it difficult for members of your target population

to access HIV prevention services? These barriers may be

practical ones such as inadequate transportation and a lack

of childcare services. Or they might be related to cultural

factors such as specific cultural beliefs that discourage

individuals from seeking services, or linguistic factors

such as low literacy levels or poor English language

skills. After identifying barriers, discuss how your proposed

program will overcome these.

Remember that reviewers are human and, like everybody

else, respond to a well-told story that grabs their attention

and moves them. Don’t be afraid to use your own words,

to express how you feel about the problem you are

describing, and to include anecdotal (based on your own

knowledge and experience) information that will bring

to life the story you are telling.

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6 TECHNICAL ASSISTANCE REPORTS March 2003

Demonstrating HIV

Risk When Limited Data

Exist on Your Target

Population

Not all populations have a current or likely HIV

problem. Even populations with serious social and eco-

nomic problems may not be at great risk for HIV. You

must make an honest assessment of whether or not an

HIV prevention intervention is needed for a particular

population before you can make a persuasive case to

funders. Still, there may be times when you believe a

specific population is at risk for HIV, even though this

risk may not be fully reflected, or reflected at all, in offi-

cial HIV/AIDS surveillance data. For example:

• Persistent under-reporting and misclassification have made

it impossible to know the true extent of HIV/AIDS

among Native Americans and Asians/Pacific Islanders.

• The HIV/AIDS status of homeless persons or migrant

workers is very hard to determine because of the mobile

and sometimes “hidden” nature of these populations.

• Frequently HIV/AIDS cases among male-to-female

transgendered people are not reported separately but

are included with MSM cases, even though their risk

factors are specialized and transgenders may be at

much higher risk than MSM in general.

• Women who seem to be low-risk may be at risk

because of unacknowledged risk behaviors among

their male partners such as injection drug use or

same-sex contact.

In instances like these, there are various strategies

you can use to demonstrate convincingly that there is a

real problem in your target population.

a) Use surrogate data. If primary surveillance data

(reported cases of HIV and AIDS) on your target

population is lacking, look for other official data that

can demonstrate a potential risk for HIV. For example,

some Native Americans may not appear to belong to

• Make sure that any statistics you cite are up-to-

date and accurate; the persuasiveness of your

argument will be weakened if you don’t bother

to check your facts or use outdated statistics.

• Whenever possible, use local–rather than state

or national–data to illustrate your point, even if

they are limited or anecdotal (based on your

experience). Using local data will assure reviewers

that your organization knows what’s going

on with the target population in the target

community.

• Don’t include information that doesn’t directly

relate to the point you’re trying to make just to

fill up space; it will only take away from your

overall argument.

• Avoid repeating a long list of statistics that you

have copied from elsewhere without interpreting

them; help the reader understand what these

statistics mean and how they relate to the real-

life problems of people in your community.

• Always provide references and dates of publication

for the data that you cite so that reviewers can

know what the source of that data is and how

current the data are.

Using Statistics to

Demonstrate HIV Risk

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March 2003 TECHNICAL ASSISTANCE REPORTS 7

obvious HIV risk groups but may still engage in

behavior that may put them at risk for HIV. To show

this, you can cite local alcohol and non-injection

drug use statistics, rates of sexually transmitted diseases

and unwanted pregnancies, and socioeconomic data

pointing to poverty and general social vulnerability.

b)Collect your own data. If your organization’s resources

permit, consider collecting your own data to demonstrate

risk in the target population. You can collect data on

specific risk behaviors in your target population by

administering a survey to a small segment of the

population, conducting focus groups with members

of that population, or holding key informant interviews

with community representatives and leaders who

have first-hand knowledge of the target population

and its risk behaviors.

c) Report your organization’s own data.Most service

organizations collect some kind of statistics on their

clients such as basic demographic, socioeconomic,

and behavioral data (e.g., whether a client reports

having injected drugs in the last 30 days or having

exchanged sex for drugs in the last 30 days) collected

during initial intake interviews. This in-house information

is often overlooked by applicants, even though it

can provide a rich source of information on an

organization’s client base.

d)Report anecdotal data. Often service providers become

aware of a developing HIV problem before that problem

is reflected in local health department statistics. For

example, outreach workers from your organization

may report having witnessed high-risk behaviors among

certain groups of people who are not currently being

served. Don’t be afraid to use this information because

it’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 a

population similar to the one you want to target, you

may want to cite that study and its general findings.

However, don’t rely on this information too much to

make your case.

• A proposed program that addresses a real and

compelling need. Funders want to feel good

about the selections they make; in general, they

like programs that they think will make a differ-

ence. First, make sure your program targets a

population that is demonstrably at high risk for

HIV and is not already being served, or adequately

served, by other organizations. Next, tell your

story in a way that brings the problem to life

and grabs the interest of the reviewer.

• A clearly defined target population. Be as specific

as possible when defining your target population.

If your definition is too broad, reviewers may

think your organization lacks a clear understanding

of the risk behaviors and needs of the target

population and the segment of that population

that it can reasonably expect to reach.

• Solid evidence that supports your claims about the

nature and extent of the problem your proposal

addresses. Start by providing a clear and specific

description of the problem your proposal hopes

to address. Back up these claims with facts that

are related directly to the situation you describe,

that are current, and that are, above all, local.

• A clear match between the problem the proposal

addresses and the funder’s priorities. Take the

time to figure out what your funder’s priorities

are before you write the proposal. Most funders

clearly state their priorities in the body of their

funding announcement or in general information

they provide to potential applicants.

What Funders Look for

in the Problem Statement

3. Agency Description

This section goes by a number of different names,

including Agency Description, Capability Statement and

Organizational Capacity. The task here is to convince

the reviewer that your organization is qualified to carry

out the proposed project and that, if funded, has the

capacity to handle grant funds.

At minimum, the Agency Description should:

• describe (briefly) the mission and history of the

organization

• describe past and present programs and services that

are relevant to the proposal

• describe the populations served by the organization

• describe the organization’s experience with the target

population

• describe the organization’s areas of expertise as they

relate to the proposed project

• discuss why the organization is qualified to carry out

the proposed project

Information About Your Agency

The types of information about your agency that you

can include in your proposal are outlined below. Be

selective about what information you provide–more is

not always better. The challenge is to provide enough

information to convince reviewers your organization is

well suited to doing the proposed work, without wasting

space on irrelevant facts. Note: Only essential information

that is directly related to the funding announcement

should be included in the Agency Description section;

other information that it would be nice to include

but 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 goals

Organizational 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 number

of full- and part-time staff and volunteers and their

areas of expertise

• a description of the board of directors (including gender,

race/ethnicity, areas of expertise, and the nature of

their connection to the population(s) being served by

your organization)

Programs and Populations Served

• a brief overview of existing programs with particular

attention to HIV prevention or related programs

• a short description of the population(s) served by

the organization

• the number of people reached through programs

• statistics on the gender, racial/ethnic, and socioeconomic

composition of your client base

HIV Prevention Experience

• a description of all the types of HIV prevention or

AIDS-relatedservices your organization currently

provides or has provided, the target populations for

each service, and the length of time each service has

been provided

• an explanation of how the proposed program will fit

into existing programs

Administrative Experience

• a description of how grant funds will be monitored

and expended

• a listing of past and current funding sources

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8 TECHNICAL ASSISTANCE REPORTS March 2003

The Agency Descriptionis a standard section that you can

write once and re-use with modifications depending on

the priorities and requirements of the funder. You can save

a lot of time and avoid last-minute stress when writing

future proposals by periodically updating information in

this section so that it’s ready to go when you need it.

The purpose of the Agency Description

is to establish the credibility of your

organization.

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March 2003 TECHNICAL ASSISTANCE REPORTS 9

• Clear ties to the target population. You must be able

to demonstrate that your organization has experience

with the target population and has access to that

population. In most cases, these ties will be evident

in such items as the description of existing services

and populations served (if you already provide

services to the target population). In cases where ties

are not obvious, you will have to make a special

effort to demonstrate that link. For example, you

can mention efforts your organization has made to

gather input from the target population (such as

holding community forums or conducting focus

groups) or the fact that, if funded, your organization

will hire members of the target population to run

the program.

• Experience in HIV prevention. One of the first

things reviewers will look for in reading the Agency

Description is evidence that your organization is

experienced in providing HIV prevention services,

particularly to the target population featured in

your proposal. If your organization is new and does

not have a substantial HIV prevention track

record, cite the experience of staff, volunteers, and

board members in the field of HIV prevention and

describe any training they have received in HIV

prevention methodologies and techniques. If, on

the other hand, your organization is experienced in

HIV prevention but does not have direct experience

with the specific target population (e.g., an agency

may have worked with the general Hispanic

population but not with Hispanic MSM), then

acknowledge this weakness upfront and state how

it will be addressed.

• Administrative capacity.Funders want to be reassured

that your organization can handle grant funds

responsibly, particularly if it is a relatively new

organization. Some ways to demonstrate adminis-

trative capacity include: showing your organization

has a track record of receiving and administering

funds from other funders, providing evidence that

your organization participates in an annual fiscal

audit conducted by an independent auditor, and

describing your accounting system. New organizations

without an established track record should provide

detailed information such as how funds will be

managed, what accounting expertise staff or board

members have, and what procedures are in place to

ensure administrative oversight of grant funds.

• Linkages to other organizations. Funders like to see

that your organization is an established player in the

local HIV prevention field and works well with

other organizations. Describe past or existing collaborations

with other organizations and how your organization

is integrated into the local HIV prevention service

and referral network. If your organization participates

in local or state HIV/AIDS planning committees

or councils, say so. Reviewers usually look favorably

on plans to collaborate with one or more agencies

because it shows that you are making the most of

local resources and are not duplicating services.

However, if you do plan to collaborate, make sure

that the roles and responsibilities of each partner

are clearly outlined in the proposal itself and in

attached Memoranda of Understanding (MOA).

(See the box entitled “Tips on Collaboration” for more

information.)

What Funders Look for in the Agency Description

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10 TECHNICAL ASSISTANCE REPORTS March 2003

Extent of Involvement With the Community

• a description of any formal sources of community

input that your organization maintains (such as

community advisory boards)

• a description of existing linkages to other local organiza-

tions (e.g., formal referral agreements with other agencies)

• mention of any memberships your staff or organization

hold in local or state groups related to HIV prevention

(e.g., the state or local HIV Prevention Community

Planning Group)

4. Proposed Program

The Proposed Program section (also commonly

referred to as the Methods section) should be the most

detailed and comprehensive section of the proposal.

Regardless of your proposal’s other strengths, if your

description of your proposed program is unclear, does not

relate logically to the rest of the proposal, or proposes a

set of interventions that are unlikely to be effective with

the target population, the chances of your proposal

being funded decrease greatly.

Think of the Proposed Program section as a type of

blueprint that can be understood and carried out by

someone who is unfamiliar with the project. New staff

should be able to read this section and get to work right

away without needing a lot of clarification. At minimum,

the Proposed Program section should address these

basic questions:

• What does the proposed program hope to achieve

(what are its goals and objectives)?

• How does the proposed program plan to achieve the

stated objectives (what activities are planned and

what is their content)?

• When does the proposed program hope to achieve

each task and activity (what is the order and timing

of individual tasks and activities)?

• Who is going to implement the tasks outlined in the

proposed program section (who will staff and supervise

the program)?

• Why will the planned program lead to the anticipated

outcomes (why do you think your program will

work; why did you select the interventions that make

up the program)?

The following sections offers guidance on addressing

the key questions listed above.

1) Goals and Objectives

Goals and objectives provide the logical framework

or structure for your program plan and evaluation plan.

They are important because they tell the funder what

the proposed program is expected to achieve, how it will

achieve it, and by when it will do so. Setting specific

goals and objectives allows both the applicant organization

and the funder to monitor the progress and success of

the program.

Goals

Goals are broad statements that describe the ultimate

general purpose(s) of the proposed program. They are

not specific or time-phased and tend to refer to long-

term results. Usually project goals reflect the priorities of

funders as stated in funding announcements. Projects

usually have only one goal.

If you don’t already have one, start a “credibility file”

containing documents that highlight the strengths and

achievements of your organization. You can include

copies of newspaper articles about your organization;

letters of support from elected officials, other agencies, or

clients; official commendations or awards given to your

organization; and positive evaluations of your organization’s

programs. You can use these documents as attachments

or quote from them in the body of the proposal.

The purpose of the Proposed Program

section is to describe and justify a set of

activities to meet the prevention needs

identified in the Problem Statement.

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EX. To increase the commitment and abilities of young

African American men (in a specific geographical

area) who have sex with men to avoid or reduce

behaviors that put them at risk for HIV infection.

Objectives are specific statements that describe what

the proposed program is expected to achieve within a

specific time period and how it will do so.

EX. To teach a minimum of 60 clients safer sex strategies

through a series of four interactive workshops to

be conducted during the last six months of the

funding period.

Types of objectives.Objectives allow program staff to

measure the extent to which they have accomplished the

proposed activities or achieved the expected results laid

out in the objectives. There are generally two types of

objectives: process objectives, which describe what you

will do in your proposed program and how you will

do it and outcome objectives, which describe the

changes in the target population that you expect as a

result of your program. A proposal should include

both process and outcome objectives. Process objec-

tives should be writtenfirst and then followed by related

outcome objectives. A common mistake is to include only

process or only outcome objectives. Listing process objec-

tives without any outcome objectives doesn’t give review-

ers any information about the results you hope to

achieve in the target population. Similarly, including

only outcome objectives confuses reviewers because you

are providing information about the results you want to

achieve without saying anything about how you will

achieve them.

Note: Objectives are not written in stone; if you find

that they are not realistic once the project is under-

way, they can sometimes be adjusted in consultation

with the funder.

• Process objectivesfocus on the implementation of a program;

that is, they focus on the completion of the specific

activities you need to accomplish over the course of the

project. They answer the questions of whatwill be done,

howit will be done, for whom and for how many it will

be done, and when and where it will be done.

EX. To conduct 20 [how many] one-on-one weekly street

outreach sessions [what], reaching a total of 320

unduplicated individuals [how many] between the

ages of 12 and 21 who live in the ABC Housing

Projects [for whom and where] during Months

4 through 8 of the project [when].

• Outcome objectives define the measurable results that

the program expects to accomplish, i.e., the specific

benefits to participants that the project hopes to

achieve. In HIV prevention programs, benefits include

such things as an increase in knowledge about HIV

prevention, increased skills in such areas as condom

usage, and changes in beliefs, attitudes, and behaviors

related to HIV prevention. Outcome objectives should

provide information about whose knowledge, skills,

beliefs, attitudes, or behaviors are being measured and

how many of these individuals will be tested, what is

being measured (e.g., HIV-related knowledge or

behaviors), how it is being measured (e.g., pre/post

intervention questionnaire), and how much of a change

is expected (e.g., a 40 percent increase in knowledge).

EX. To increase by 25 percent [how much] the number of

injection drug users attending HIV prevention counseling

[who] who properly disinfect injection equipment with

bleach and clean water [what] as measured by a

pre/post test [how measured] by the end of the project

period [when].

EX. By the fourth month of the project [when], 80% [how

much] of the HIV prevention support group participants

[who] will express confidence in discussing safer sex

[what] with their sexual partners(s) as measured by a

self-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 attainable

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2) Program Plan

Also known as the Work Plan, the Program Plan should

flow directly from your stated goals and objectives; that

is, each activity described in the Program Plan should

relate logically to a specific objective and the goal under

which it falls. If you have written clear and specific

objectives, it should be relatively easy to fill in the details

of the Program Plan.

The exact format of this section of the proposal will

vary depending on the requirements of the funding

source and the grant writer’s preferences. Some applicants

structure this section by first listing all their goals and

objectives and then plugging in descriptions of activities

under each one. Others list the goals and objectives separately

from the description of the program and its activities.

Some funders are interested in specific information

about the proposed program and ask you to provide that

information; in that case, just follow their suggested

format. Regardless of the format used, in most cases you

will have to cover the following information:

Program overview.If your format allows, consider writing

a short summary of all the program components before

describing each one in detail. Explain how each component

relates to the others. This will make it easier for the

reviewers to understand your program description.

Description of individual interventions. Most prevention

programs are made up of a combination of individual

services–or interventions. Describe each intervention

separately, being careful to include as much as possible

of the following information:

• Type of intervention(e.g., condom distribution, prevention

counseling, prevention education and risk reduction

workshops, community awareness event)

• Information or skills to be delivered (e.g., “AIDS 101"

information, sexual negotiation skills training, safer

injection skills)

• Content of each intervention (topics to be covered)

• Curriculum or model to be used (e.g., Red Cross HIV

prevention curriculum, Stop AIDS model, in-house

curriculum 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., daily

outreach for a total of three hours a day, weekly

support groups lasting two hours)

• Times and location of the interventions (e.g., outreach

to high-risk MSM will be conducted between the

hours of 11pm and 2am in bars frequented by MSM)

• Number of clients expected to participate (e.g., maximum

number of participants for safe sex workshop; expected

number of street outreach contacts per month)

• Client recruitment and retention (e.g, the program will

be advertised through flyers and word-of-mouth,

incentives such as a meeting stipend or subway

tokens will be provided)

• Activities or tasks related to implementing interventions

(e.g., design of workshop content, recruitment and

training of peer educators)

• Linkages and referrals (how is the intervention related

to other programs in your organization, what arrangements

have you made with other local agencies to help you

recruit clients, do you have a system for referring out

clients who require assistance–such as locating afford-

able housing–that your agency doesn’t provide?)

Time line.Many funders require applicants to include

a time line listing the key steps involved in implementing

a project, including beginning and projected completion

dates and staff responsible for each step. Even if a time

line is not required, it is a good idea to include one for

several reasons. First, it reassures reviewers that your

organization is realistic about the steps involved in

implementing the project and the approximate length

of time each step will take. Second, the time line also

serves as a tool which your organization and the funder

can use to monitor the progress of the project.

Staffing of project. It is important to convey to reviewers

that your organization has a realistic understanding of

the staff resources needed to implement the project.

Briefly describe each proposed position by listing the

job title, main responsibilities, and required skills.

When you’ve finished the first draft of the Proposed

Program section, get someone who is not directly involved

with the project to read this section and give you feedback.

Chances are that if this individual doesn’t understand

what you’re proposing, reviewers won’t either.

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Indicate whether the position will be full-or part-time

by specifying the percentage of time to be spent on the

position. It should be clear who will supervise each position

and how they will do so (e.g., weekly staff meetings). If

you have identified candidates for any of the proposed

positions, provide a resume in the supporting documentation.

If the program involves volunteers, funders will pay close

attention to your plans for recruiting, training, supervising,

and retaining them. Finally, be careful not to assign full-

time responsibilities to part-time staff or volunteers;

reviewers may think you don’t understand what’s needed

to do the job properly and that it won’t get done.

Justification of methods. It is important to provide an

explanation of why your organization has chosen a

particular set of interventions for the target population.

Most HIV prevention programs are designed according

to a combination of formal (scientifically tested) and

informal (based on experience) theory. There is nothing

wrong with using informal theory; just make sure that

you describe the assumptions that are behind the choice

• Justify the collaboration. If you plan to collaborate with

one or more organizations or agencies, explain in

your proposal why your organization has chosen

each partner and what specific gaps each one will

meet. It is also crucial to explain the structureof the

collaboration. For example, if your organization is

the lead agency but has significantly less experience

with the target population than the collaborating

agency, funders may wonder why the collaborating

agency isn’t applying for the grant instead of your

organization. It may be that the collaborating

agency has greater cultural competency with the

target population but lacks the organizational skills

to administer the project properly.

• Make it formal. Formalize your organization’s rela-

tionship with potential collaborators by preparing

a memorandum of agreement or MOA (also referred

to as a “Letter of Collaboration” or a “Memorandum

of Understanding”) that outlines each partner’s

tasks and responsibilities and include the MOA in

your proposal appendix. This is particularly important

when the success of your proposed project depends

on the cooperation of another organization. Make

sure that any MOA you include in the appendix is

current and specific to the proposed project.

•

Be specific. MOAs should include a detailed

description of the services each collaborating agency

will provide and the time frame for these services.

They should also describe how the partners will

communicate with each other and monitor the

progress of the collaboration.

•

Ensure accountability.Work out a system in advance

for managing the collaboration. This can include

planning regular meetings, developing and reviewing

forms 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 rela-

tionship, though there may be some economic benefits

of the project for all partners. When another organi-

zation is actually being paid to conduct some project

activities, what’s needed is not a collaborative agreement

but a contract for services. There are a variety of ways

in which collaborator/subcontractor relationships

can be structured. For example, a project staffer might

work at the offices of a collaborating organization

while remaining on the payroll of the lead organization;

this would not require a subcontract. However, if a

staff member on the payroll of a collaborating

organization is conducting vital project activities, a

subcontract with the second organization is needed.

What concerns reviewers is that the project

includes organizations with the capacity to reach

the target population, that project staff (no matter

whose payroll they are on) are properly compensated,

and that all staff are supervised in a way that

ensures accountability to the funder.

Tips on Collaboration

of each intervention. If you are basing the proposed

program on formal theory, avoid copying the theory

word-for-word; simply repeating a theory does not show

the funder that you actually know how to apply the

theory to real-life interventions. Instead, explain how

each proposed intervention corresponds to the different

elements of a theory. For example, if you are using the

Stages of Change theory of behavior change, show how

the different components of your HIV risk reduction

program will take clients through the five stages of

Precontemplation, Contemplation, Preparation, Action

and Maintenance. If you are basing your program

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14 TECHNICAL ASSISTANCE REPORTS March 2003

• A logical link between the proposed program and

problem statement. Simply put, the proposed program

should address the specific problem outlined in the

problem statement.

• A logical fit between individual program components.

Because HIV prevention programs usually have more

than one component (for example, a weekly support

group combined with street outreach, prevention case

management, and referral services), it is important

to explain howthe various pieces of a program relate

to and support each other. When this explanation is

missing, reviewers may get the impression that you

threw together some services to “look busy” without

giving much thought to how they will work together.

• Appropriateness of proposed program for target

population. Reviewers will hesitate to fund your

proposal if they think it’s unlikely to be successful

with your target population. For example, if you will

be working with an ethnic or racial minority,

reviewers will expect you to tailor your intervention

to the specific cultural, social, and linguistic needs

of that population. If your proposed project involves

working with a low-income, high-risk population and

a key element of the project is a website that promotes

safer sex, reviewers will be skeptical about its success

with a population that may not own computers.

* Involvement of the target population. Because HIV

prevention projects usually deal with very specific

at-risk populations with unique perspectives and

needs, reviewers like to see involvement of the target

population in the design and implementation of

the proposed project. This is particularly true of

state and federal funding agencies. Research has

shown that programs that are designed “by and

for” a specific population are more likely to gain

community support and succeed in their goals

than “top down” approaches designed by individuals

who are not familiar with the people whom they

are trying to reach.

• Clear, detailed description of project activities.One of

most common–and often fatal–mistakes that proposal

writers make is not providing enough detail about

a proposed project, or presenting the information

in such a confusing way that the reviewer can’t make

sense of what is being proposed or how all the parts

fit together. It is very important that you have at least

one other person in your agency read this section

and provide honest feedback about any areas that are

confusing or vague so that you can correct them.

• Sound justification for proposed activities. Reviewers

want to know why your organization chose the

specific set of interventions in the proposal. If

you are basing your program design on formal

theory, then provide references to the theory or

theories you are drawing from and discuss how

your project reflects them. If, instead, your

design is based on informal theory derived from

your organization’s experience with the target

population, then discuss what observations your

organization has made about what works best

with that population and why you have chosen

the approach taken in your proposal.

What Funders Look for in the Proposed Program Section

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• The proposed program plan is reasonable and

“doable.” Reviewers want to be reassured that your

organization can actually do the proposed work

given its overall resources–including financial

resources, available staff and their areas of expertise,

existing ties to the target population, physical

space, etc.–and the time frame within which the

activities must take place. Don’t promise to do too

much (e.g., reach 3,000 clients during the first

three months of the project) or reviewers will

think your organization doesn’t know what it’s

doing. On the other hand, don’t promise too little

(e.g., enroll a total of 25 clients during the project

year) or reviewers will think the grant money won’t

be well spent.

• Client recruitment and retention has been considered.

One of the most common problems in implementing

HIV prevention programs is difficulty in reaching

or recruiting clients and getting them to keep coming

back for services. Funders will be reassured if you

explain in detail how you plan to recruit and retain

clients, or if your plan makes reasonable allowances

for unavoidable client turnover.

• The proposed project is special or unique.In a competitive

funding environment, proposals that are special or

unique, either in the intervention proposed or in

the population targeted, are more likely to catch

reviewers’ attention than those that appear to be

doing the “same old thing.” This is particularly

true when the proposed project is dealing with an

established target population in a geographical area

that already has many services for that population.

For example, African American MSM in Harlem

have had access for some time to a variety of

prevention services, and it can be assumed that the

basic prevention strategies (outreach, groups,

prevention case management, etc.) have been tried.

In this case your chances may be much improved if

you propose some innovative strategy that seems to

funders to be a fresh attempt to reach and engage

this population. By contrast, African American

men in a small Midwestern city may not have

received any specific prevention services, and basic

prevention strategies may represent a sensible

first step. In this case, what’s special is the delivery

of services to a previously unserved population. In

both cases, your proposal will stand out from

others that merely offer the usual services to the

usual populations.

• The project is adequately and appropriately staffed.

The number of staff assigned to the proposed

project and their qualifications should match the

level of effort required by your program plan.

What Funders Look for in the Proposed Program Section continued

design on another program that has been demonstrated

to be effective (e.g., the STOP AIDS model based on

community mobilization, outreach, and small group

meetings), then explain to reviewers why you have

chosen this model and what, if any, modifications you

will need to make to tailor it to your target population.

(See the Resources box at the end of the publication

for information on where to find out more about

theories and approaches commonly used in HIV

prevention education.)

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16 TECHNICAL ASSISTANCE REPORTS March 2003

5. Evaluation Plan

The evaluation of HIV prevention projects is receiving

increasingly more attention–particularly from federal

and state agencies. More and more, funders want to

know not only how a project was carried out (process

evaluation) but also what effects it had on the clients

(outcome evaluation). Even if an evaluation is not

required (some funders just ask for occasional progress

reports) it is a good idea to do one because it shows that

your organization cares about the quality and impact of its

projects. 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 being

followed closely and on schedule;

• provide corrective feedback to staff that will increase

program quality and effectiveness;

• gather information about the effects of the project on

the target population;

• provide evidence of project achievements;

• provide evidence to potential funders of the organization’s

ability to run successful projects; and

• help with internal administrative planning.

That being said, evaluation can be challenging,

particularly for small organizations with limited funds

and capacity to conduct evaluation. However, by taking

advantage of existing evaluation technical assistance

and resources and free or low-cost evaluation expertise,

conducting an evaluation of an HIV prevention project

is feasible, even for organizations with modest resources.

Some state and city health departments offer assistance

in evaluation design and implementation and free or

low-cost evaluation workshops are frequently offered

locally or at national conferences. In addition, evaluation

experts are sometimes willing to conduct evaluation free

of charge as a form of community service and graduate

students with an interest in evaluation may be willing to

lend a hand to fulfill degree requirements.

Basic Types of Program Evaluation

There are many types of program evaluation, more

than can be discussed adequately in this short publication,

but for purposes of evaluating small, community-based

HIV prevention projects, the most commonly used are

process and outcome evaluations (for more comprehensive

information on evaluation, see USCM’s publication

“Evaluation for HIV/AIDS Prevention Programs.”)

Process Evaluation

Definition

Process evaluation examines the implementation of

a project. It documents what services were delivered,

how they were delivered, and who received them. This

information can be used to determine how well the project

was managed, provide valuable feedback to project staff,

and demonstrate to funders that the activities promised

in the proposal were delivered in the manner described

in the proposal. Of the two types of evaluation

described here, process evaluation is generally the easier

to conduct because it relies on information that is fairly

easy to obtain, that frequently already exists, and that

can 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 street

outreach, how many attended each prevention workshop?)

• What was the demographic profile of the clients

served? (e.g, race/ethnicity, gender, age, HIV risk factor,

HIV status, etc.)

• What type of services were provided? (e.g., condom

distribution, prevention case management counseling,

HIV testing counseling, prevention workshops)

• How many times were the services provided? (e.g.,

number of condoms distributed, number of: street

outreach contacts made, number of referrals to HIV test-

ing,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 purpose of the Evaluation Plan is

to describe how you will assess the

extent to which your project has met

its goals and objectives.

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• Were there any difficulties involved in providing

the services?

• What factors made it easier to implement the project?

• Were clients pleased with the quality of the

services offered?

• Were project goals and objectives met; were they

met on schedule?

Sources of information for process evaluation

Many organizations routinely gather information about

their clients and services that can be used as the basis for

a process evaluation, such as client intake forms and

workshop evaluations. Before developing an evaluation

plan, project planners should assess what types of

information is already being collected and determine

what else needs to be collected. It is not necessary to

spend a lot of time designing data collection forms; in

many cases, you can use existing forms that have been

successfully used by your own or other organizations

and tailor them to your needs.

Below are examples of types of data that can be used in

process 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 services

Outcome Evaluation

Definition

Outcome evaluation looks at the effects of a project.

It is used to determine whether any changes occurred in

the target population as a result of the project (e.g., an

increase in knowledge about HIV prevention; changes

in HIV risk-related beliefs, attitudes and/or behaviors).

In HIV prevention, most outcome evaluations conducted

by community-based organizations focus on the short-

term effects of an intervention since long-term behavior

change requires a more complex methodology (e.g., follow-

up interviews with a sample of the population over an

extended 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 participants

as a result of the intervention? If yes, what changes

occurred and by what amount? (quality and quantity

of improvement)

• Were there any differences in the effects of an intervention

on one group as compared to another (e.g., between

older and younger clients)?

• What benefits did clients report as a result of partici-

pating in the project?

• Were there any unexpected or unintended results of

the project?

Sources of information for outcome evaluation

Below are examples of types of data that can be used in

outcome evaluation.

• pre- and post-intervention questionnaires assessing changes

in clients’ knowledge, attitudes, beliefs, and behaviors

• focus group data

• observation of client behavior (e.g., correct use of

bleach to clean needles) before/after intervention

Don’t worry about developing the "perfect" evaluation

design because there is no such thing. Just concentrate

on designing the best evaluation you can with the

resources you have available.

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Sample Evaluation Plan

There are many different ways to prepare an evaluation

plan and no single “right” way. The following sample

evaluation plan walks the reader through the steps

involved in writing an evaluation plan for a hypothetical

project that provides HIV/AIDS and risk reduction

information to adolescents attending a runaway/homeless

youth facility in an inner-city neighborhood. The

intervention will be delivered through theatrical

presentations featuring peer actors recruited through

local high-school acting classes. Theatrical presentations

will be held in conjunction with youth facility activities

(e.g., meal functions, health screenings), which typically

attract 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.

Step 1 – Project Goal

State the goal of your project. The goal is a general

statement of what your project hopes to accomplish.

EX. To increase awareness about HIV, its transmission, and

its prevention among youth residing in a runaway/homeless

youth facility in the inner city section of Anytown, U.S.A.

Step 2 - Project Objectives

State the project objectives(s).These must define:

the process (i.e., type of intervention or services) to be

provided and the expected outcome (i.e., effects and

benefits) that will result.

The first step in writing objectives is to define an

acceptable level of success for each individual objective.

For example, you might ask yourself “How many clients

can I reasonably expect to reach during the project

period?” (process objective) or “How much of an

improvement in skills and knowledge can I reasonably

expect clients to demonstrate after attending the

planned workshops?” (outcome objective).

The

next step is to turn those answers into objectives

that are specific, time-phased, and measurable.

Objectives should be stated in quantifiable terms–that

is, they should use numbers to measure success (e.g.,

numbers of clients you hope to reach, percentage of

change in skills you hope clients will demonstrate).

When writing outcome objectives, use action

verbs–such as to decrease, to increase, to reduce, to

expand–and express the degree of desired change in

percentages (e.g., 30% increase in condom use skills).

Finally, be realistic about what project staff can

accomplish during the specified time frame and don’t

promise more than they can deliver.

EX. Process Objective:To provide 270 runaway/homeless

youthages 12-18 [who, how many] with HIV risk reduction

information[what] through a 45-minute theatrical

presentation [how] within a six-month period [when].

Outcome Objective: At the conclusion of each 45-

minute theatrical presentation [by when], participants

will demonstrate an average pre-post test gain in

knowledge [desired outcome] of at least 70% [how

much] on a competency test [how measured] on

modes of transmission of HIV infection and risk

reduction behaviors.

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Step 3 - Project Activities

Describe, briefly, the specific activities that will be

conducted in carrying out the project objectives.

Carefully select from your work plan only those activities

that you want to evaluate. These should be the core activities

that are necessary to implementing the project objectives,

not routine administrative activities.

EX. Activities related to the processobjective:

1. Develop a theatrical presentation workshop using

peer actors to deliver the HIV/AIDS information.

This includes writing a script and developing

a curriculum.

2. Recruit peer actors from local high-school theater

classes and train them.

3. Hold 3-4 presentations per month over the last six

months of the project.

Activities related to the outcome objective:

1. Develop a pre-post test questionnaire to measure

knowledge of modes of HIV transmission and

risk reduction behaviors.

2. Pilot test theatrical presentation and questionnaire

with members of the target population to determine

if any changes are needed.

3. Before each presentation, administer the questionnaire

to audience members.

4. Following each performance, administer the

questionnaire to audience members.

5. Analyze results of the pre-post tests to measure

gains in knowledge.

Step 4 - Data Types and Sources

Decide on the types of data (information) you need to

determine whether you have met the project objectives

(see Step 2) and the source of that data. What information

is needed? Data can be quantitative (numerical) or

qualitative (descriptive)–usually both types are needed.

What persons, records, or instruments can provide that

information? What’s the best way to collect the information?

Select sources of data that provide the most useful

information with the least disruption to project activities.

EX. Data types and sources for process objective:

• number and demographic characteristics of youth

attending theatrical presentation workshop (data

type) > demographic questionnaire handed out at

beginning of each workshop (data source)

• number of presentations held, dates, times and

places (data type) > project records (data source)

Data types and sources for outcome objective:

• results of pre-post test administered to audience

members at all theatrical workshop presentations

(data type) > pre-post test questionnaires administered

to audience members (data source)

Step 5 - Evaluation Timetable

Describe your timetable for the evaluation. List

each evaluation activity, by whenor at what stages in the

project each one will be completed, and who will be

responsible for collecting the information.

EX.

Activity When Conducted Responsibility

administer before/after each theatrical Project Coordinator

knowledge test presentation

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20 TECHNICAL ASSISTANCE REPORTS March 2003

6. Budget

Although the proposal budget is usually not scored

by reviewers, it may influence–for better or worse–their

impressions of your proposal. In fact, the budget is the

first section of the proposal that some reviewers look at

because it provides important clues about the applicant

agency and the proposed program. A carefully prepared

budget that contains reasonable costs that are clearly

related to the proposed project can enhance the impact

of your proposal. Similarly, a budget that is sloppy, that

contains costs that have nothing to do with the proposed

project or omits costs clearly required by the project, or

that has costs that are too high or too low, may put off

reviewers. Therefore, it is important to approach the

budget as seriously as you would any other part of the

proposal. Remember, however, that a proposal budget

is only an estimate and will probably be changed during

the negotiation process if your proposal is funded.

The format of a budget depends on the requirements

of the funding source and your organization’s own

accounting practices. Generally speaking, governmental

funding sources require the most information and

frequently provide you with specific budget forms to

complete. Private foundations usually have less detailed

requirements but nevertheless appreciate a carefully

prepared budget. Because there are many different ways

of preparing a budget and no single “right” way, a sample

budget is not presented here. Instead, we discuss steps

that should be taken to prepare a thorough budget and

offer general pointers on what funders look for when

reviewing proposal budgets. We recognize that the person

writing the proposal is not always the same as the

person preparing the proposal budget. However, we

offer detailed information on important aspects of budget

preparation because the primary writer of the proposal

should ensure that the budget adequately supports the

proposed project.

• The evaluation plan flows logically from the

objectives specified in the work plan.The evaluation

plan should be based on the objectives in the

work plan. If you have written your original

objectives well, you can just plug them into

your evaluation plan.

• Your evaluation plan promises to provide solid evidence

of your project’s effectiveness.Funders understand

that most community-based organizations have

limited resources to conduct evaluation. However,

they still want to see that an applicant organization

is making a sincere effort to assess how closely it

has come to meeting project objectives. For funders,

evaluation is not about “proving” the success or

failure of a project; it’s about documenting and

learning from the experience of implementing a

project. Therefore, funders will look closely at your

evaluation plan to see whether you are planning

to conduct both process and outcome objectives,

whether you are making a reasonable effort to

collect appropriate and sufficient information

throughout the project period, and to clarify

what your interventions have achieved.

• The evaluation plan is detailed and specific. The

more details you can provide about what you will

evaluate and how you will evaluate it, the better.

Describe the objectives you plan to evaluate,

the methods and types of information you will

collect, the timing of each evaluation activity,

and who will be conducting the activity. This

reassures reviewers that your organization

understands exactly what is involved in carrying

out an evaluation.

•

The evaluation plan is realistic and feasible.

Evaluation can be very expensive and time-consum-

ing. Reviewers like evaluation plans that seem “doable”

given the amount of the grant, the duration of the

funding period, the type of project, and the

resources available to the applicant organization.

What Funders Look for

in the Evaluation Plan

The budget lists and justifies the

costs of implementing the

proposed project.

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March 2003 TECHNICAL ASSISTANCE REPORTS 21

Getting Ready to Do a Budget

1. Begin by reading the budget section in the funding

announcement carefully and noting any special

instructions. See whether the funder provides you

with a specific budget format; if a specific format is

required or recommended, follow it exactly, even if it

is not the way your organization normally prepares

budgets. Look carefully to see whether the funder has

any r

estrictions on funding certain items or services.

For example, some funders will not pay for capital

costs (costs related to purchasing a long-lasting physical

asset) such as construction costs or the purchase of

office equipment. The federal government also has

restrictions on paying for such things as meals, beverages,

and drug injection equipment. USCM, because of its

focus on funding HIV prevention rather than the care

and treatment of people infected with HIV, will not

pay for medical, laboratory, or psychiatric services.

2. Go back and read the Proposed Program section of your

proposal from beginning to end. As you read, make a

list of all the staff who will be involved in implementing

the project, whether they will be paid staff working

full- or part-time on the project, consultants, or

unpaid volunteers. Next to each staff position, write

the percentage of time to be spent on each position

(e.g., 100%, 15%). (You can also express this information

as a decimal of a Full-time Employee or FTE–e.g.,

0.75 FTE or 1.00 FTE). Finally, remember to include

or make allowances for fringe benefits (e.g., health

insurance, payroll taxes) for employees who will be

receiving them. In some cases, fringe benefits can be

quite high, say as high as 40 percent of an employee’s

salary, which will affect how much your organization

can afford to pay for each position. Fringe benefits may

be itemized and charged at their actual cost or lumped

together and charged as a percentage of salary.

3. Next, make a list of each activity and ser

vice mentioned

in the Proposed Program section. Are there any specific

costs attached to these? For example, if you plan to

conduct prevention workshops, will you be serving

any snacks or providing participants with stipends? If

you’re planning to hold educational events featuring

expert speakers, will you be paying the speakers a fee?

If your project involves regular street outreach, will

you have to purchase condoms, lube, bleach kits and

other prevention supplies? How are you planning to

promote your project? For example, will you be printing

any promotional materials such as brochures? Will

you be advertising in any local publications? Next to

each activity, list its estimated cost based on past

expenditures for similar items or estimates provided

to you by vendors.

4.Then, make a list of all one-time or occasional

expenses related to your project such as purchase of

computers or other office equipment (if allowed

by the funder), staff travel to an annual HIV/AIDS

conference, or staff training. Again, list the estimated

cost based on past experience or by asking for estimates

from vendors.

As you calculate estimated expenditures for each budget

line item, don’t forget to account for anticipated future

expenses such as increases in rent or salaries that may

occur during the project period.

Keep copies of all the backup materials you used to come

up with the figures contained in your budget, including

cost estimates, notes, mathematical calculations, and adding

machine tape. That way, if you have to make any changes

in the budget, you will know how you came up with

your original figures.

Have someone compare the budget against the Proposed

Program to make sure that the numbers listed in each

section are consistent with each other. For example, if you

state in the Proposed Program section that you will hold

six prevention workshops during the project period, make

sure that the budget contains expenses for exactly six.

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22 TECHNICAL ASSISTANCE REPORTS March 2003

5.Next, make a list of all ongoing organizational

expenses that are essential to the running of your

project but that cannot be easily separated from a

larger total and assigned to a specific project. These

might include rent, telephone, utilities, postage, and

equipment rental. There are basically two ways to list

these expenses in a budget: as direct or indirectcosts

(see box entitled “What Are Direct and Indirect

Costs?” for a more detailed explanation of the two).

A cost may be either direct or indirect depending on

how an organization decides to treat it. For example,

one organization may treat office supplies as a direct

cost and charge the actual cost of purchased supplies

to a specific project; another may treat it as an indirect

cost and charge a set percentage each month for office

supplies. The decision of whether to treat a cost as

direct or indirect depends on the likelihood that a

funder will reimburse for those charges. Before you

decide whether to make certain costs direct or indirect,

find out what the funder’s definition is of direct and

indirect costs and what is an allowable indirect rate.

This information may be included in the funding

announcement; if it isn’t, you should call the funder

directly to clarify the matter.

6. Remember to list in-kind expenses–if you have any.

In-kind expenses are non-monetary donations to

your project of such things as volunteer time, staff

time, equipment, supplies, and office space. They can be

donated by other programs within your organization

or by outside sources. Generally speaking, key project

activities 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 announce-

ment states an average or maximum grant amount for

which you can apply, be careful not to exceed that

amount or you may run the risk of having the proposal

disqualified without even being read. In some cases,

you may have to modify the work plan to keep the

total cost of the project within the range of available

funding. Be careful, however, not to cut out too

many key project activities or personnel in order to

balance the budget or you may jeopardize the quality

of the proposed project.

Sustainability. Some funders, particularly private foun-

dations, are concerned about the long-term sustainability

of your proposed project. In other words, they want to

make sure that if they invest in your project, they are

investing in something that will still be around in a few

years. If you’re addressing this issue, describe how you

plan to obtain additional funds to continue the project

in the future.

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March 2003 TECHNICAL ASSISTANCE REPORTS 23

• Direct costs are those that are related to a specific

project. They are listed as separate line items in your

budget. Common direct costs include personnel,

fringe benefits, travel, materials, supplies, and rent.

These costs may have to be separately documented

on a regular basis to meet financial reporting

requirements. In situations where you share direct

costs with other programs within your organization,

you will need to assign a percentage of costs to

your project and justify the percentage. Rent, for

example, may be a shared cost of various projects

sharing the same offices. The percentage of rent

assigned to a given project might be based on the

number of staff employed by that project relative

to your total staff, or to the amount of space

required by that project relative to the total space

being rented, or to the percentage of your total

budget represented by the project. Similar formulas

could be used for a variety of shared costs.

The

important thing is that you explain in the

Budget Justification section how you calculated

the formula for specific shared costs.

• Indirectcosts are associated with the general operation

of an organization and are usually shared by two or

more projects. These can include such expenses as rent,

utilities, insurance, equipment usage, administrative

oversight and accounting services. Indirect costs

are not listed as separate line items, but are usually

expressed as a percentage (called the indirect cost

rate) of the direct costs of a project. Calculating

indirect costs (also sometimes called “overhead”)

can be an extremely complicated process. On the

other hand, the benefit of charging an indirect cost

is that it is a more efficient use of time to charge

shared costs than to determine the exact cost of

each item used in a project and charge it separately.

Some funders are generous with how much they

will allow you to charge for indirect costs. Others

allow no indirect costs or put a limit on how much

you can charge for indirect costs. If yours is a small

organization with limited funds, you may want to

consider whether it is worth your while to apply

for funding from a funder that does not allow

indirect costs.

Calculating indirect costs. Some organizations–usually

large, established ones that routinely apply for federal

grants–have gone through the process of negotiating

a Federal indirect cost rate. Others may have indirect

rates approved by state or local governments. If your

organization uses an indirect cost rate, you will have

to state somewhere in the budget section what that

rate is, what costs are included in the rate, and how

you calculated the indirect percentage you want to

claim. Even if this information is not specifically

requested in the funding announcement, be prepared

to provide it at a later point. The items included in

the indirect cost rate should not be listed again under

“Direct Costs.” If necessary, ask funders for guidance

on this question before you draw up your budget.

What Are Direct and Indirect Costs?

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24 TECHNICAL ASSISTANCE REPORTS March 2003

• A clear match between proposed activities and proposed

expenditures. Every item in your budget should relate

directly back to your work plan. There should be

no inconsistencies or surprises in the budget. One

common pitfall is to introduce a line item in the budget

for an expenditure that does not appear in the

work plan. Another is to propose an activity in the

Proposed Program section and then neglect to provide

financial support for that activity in the budget.

•

Reasonable and realistic estimates of expected costs. A

budget that contains reasonable costs shows the reviewer

that the applicant organization knows what it will

cost to do the job right. Underestimating expenditures

may suggest to the reviewers that your organization

is inexperienced. Overestimating expenditures may

raise suspicions that you may be unnecessarily

“padding” the budget to cover expenses not related

to the project.

•

Adequate justification for all expenditures.Even if it’s

not required, include a Budget Justification (also known

as a Budget Narrative) that explains in narrative form

what each line item is for and how you calculated

the cost of that item. This is also the place to

explain how a particular cost that seems to be

unrelated to the project or appears to be too high

in fact supports the goals of the project.

• Appropriate staffing of project. Budgets offer important

clues to reviewers about how you plan to staff a

project, particularly when staffing details are not

discussed in the Proposed Program section. Red flags

may go up for reviewers if the number of staff

assigned to a project seems too small to carry it out

properly or if key staff are not being paid enough or

are working less than full-time. (It is often a problem

to find qualified staff who can be satisfied with a

part-time salary.) Similarly, reviewers may question

the honesty of your organization if it looks like

project funds will be used to pay for staff positions

that are unrelated to the proposed project.

• Accuracy.If the numbers in the budget do not add

up and the budget gives the impression that it was

done in a hurry without being double-checked,

your organization may lose some credibility in the

eyes of reviewers.

What Funders Look for in the Budget

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March 2003 TECHNICAL ASSISTANCE REPORTS 25

7. Appendix

The Appendix section is where you put documents

required by your funder, such as evidence of your non-

profit status. It is also a good place to put additional

information that you want the funder to read but that

would take up too much space within the main body of

the proposal. Following are some general pointers for

preparing an Appendix.

Dos and Don’ts for the Appendix

DO read the funder’s instructions about required

attachments very carefully and be sure to include

everything that is asked for. Some funders will

disqualify a proposal if certain required documentation

is not included.

DON’T include materials that are bound or stapled

(e.g., brochures, three-ring binders) because this will

make copying the proposal difficult. (Remember that

many proposals are read by several reviewers and that

copies have to be made for each one).

DO make sure that all photocopied items are legible.

Often documents that have been photocopied over and

over become too faded to read accurately.

DON’T include anything that is not required by your

funder or that is not carefully chosen to help you make

your case for funding. An appendix that is too heavy

and full of irrelevant documents that nobody has time

to read will just annoy reviewers.

DO check the dates on dated documents to make sure

that they are current. This is particularly important if

you’re including letters of support. Generic letters of

support are not as strong as letters of support for a specific

proposal, and reviewers will notice the difference.

DO make it easy for reviewers to locate documents in

the Appendix. Include a table of contents for the

Appendix section (either on a separate page or integrated

into the proposal's overall table of contents) that tells

the reader what items are included and where to find

them. Ideally, you should number all the pages in the

Appendix–by hand if necessary. It is also helpful to

reviewers if you divide the Appendix into sections and

include dividers or tabs identifying each section.

DO direct the reader to appendix items mentioned in

the main body of the proposal by writing something like

“See Attachment 3 for more information.”

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26 TECHNICAL ASSISTANCE REPORTS March 2003

❍Follow funders’ instructions exactly. Make sure your

proposal follows all instructions related to the organi-

zation and formatting of the proposal such as section

titles, margin width, type size, page limitations,

page order and numbering, and the inclusion of a

table of contents and abstract page. Following

directions is even more important in matters of

content, such as limitations on grant amounts,

restrictions on specific kinds of activities or expen-

ditures, and all criteria that determine eligibility.

❍Pay attention to proposal deadlines. Check whether

the deadline is for the postmark date or date for

receiving the proposal. Whichever the case, send the

proposal by a carrier or service that will absolutely

guarantee that the deadline will be met. (If the

proposal must be received by a certain date, sending

it by regular mail is rarely a good idea; no matter

how 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 can

delay the proposal and cause you to miss the deadline.

❍Make time to edit the proposal. Sloppy, poorly writ-

ten proposals are unlikely to succeed. Typos, mis-

spellings, grammatical errors, unclear sentences,

and sections that have been copied from other doc-

uments and inserted into your proposal without

being properly integrated into it give the impression

that the proposal was rushed or, worse, that the

applicant organization is not very professional. For

some reviewers such mistakes can create a bad first

impression that may be hard to overcome. (You are

trying, after all, to inspire confidence in your abilities.)

They can also make the proposal so frustrating to read

that reviewers miss important information or lose

interest in the substance of the proposal. Someone

other than the main writer of the proposal should

read the proposal from beginning to end to check

for errors and clarity of meaning. (Note: running

Spellcheck on your computer is not enough; a

reference to a "peace of paper" may not be flagged

by the program, but reviewers will certainly notice

the error.)

❍Make sure all sections of the proposal are consistent

with each other. Often different people prepare

different sections of a proposal and due to time

constraints no one checks each section to make sure

that it agrees with the other sections. Or last-minute

changes are made to one section without adjusting

related sections to reflect those changes. For example,

if you originally propose in the Program narrative

to hold a series of eight workshops and later decide to

scale back to only six, you should go back and change

the original number wherever it appears in the work

plan (e.g., budget, timetable, evaluation plan). This

may be hard to do at the last minute, but such

inconsistencies will count against your proposal.

Again, asking someone other than the main writer

of the proposal read it from beginning to end to

make sure that all parts are consistent with each

other should help you avoid this common pitfall.

❍Check the appendix to make sure it includes all

required attachments. Often funders require certain

attachments such as audit statements or evidence of

your organization’s 501(c)3

(tax exempt) status that,

if left out, may disqualify

your proposal.

Before You Send the Proposal: A Checklist

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March 2003 TECHNICAL ASSISTANCE REPORTS 27

Proposal Writing Guides

The Foundation Center’s Guide to Proposal Writing

(1997). Jane C. Geever, Patricia McNeill. Rev. ed.

The Program Development Puzzle: How to Make

the Pieces Fit (1997). Support Center for NonProfit

Management/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 Resources

Proposal Writing Short Course. The Foundation

Center. http://fdncenter.org/learn/shortcourse/prop1.html

Program development and grant writing information

listed under Resource Development. MOSAICA: The

Center for Nonprofit Development and Pluralism.

http://www.mosaica.org/resources.html

Grant Writing Tutorial. National Minority AIDS Council.

http://www.nmac.org/tech_assistance/Grant_Modules/grant

_welcome.asp

Evaluation

Evaluating HIV/AIDS Prevention Programs in

Community-Based Organizations (1993, 1995).

National AIDS Fund.

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).

Theory and Program Design

“Can HIV Prevention Programs Be Adapted?”

Center for AIDS Prevention Studies (CAPS), University

of California, San Francisco. Fact Sheet #23E.

“What Is The Role of Theory in HIV Prevention?”

Center for AIDS Prevention Studies (CAPS), University

of California, San Francisco. Fact Sheet #14E.

Compendium of HIV Prevention Interventions with

Evidence of Effectiveness (1999, rev.). Centers for Disease

Control and Prevention, HIV/AIDS Prevention

Research Synthesis Project.

Preventing AIDS: Theories and Methods of Behavioral

Interventions (1994). Di Clemente RJ (ed). New York,

NY: Plenum Press.

“Preventing HIV Infection: What Does the Empirical

Literature Say About Programs, Outcomes, Implications

and Research Directions?” Kyung-Hee Choi and Thomas

J. Coates, 1995.

Writing

“Introducing Plain Language and Plain English.”

MOSAICA: The Center for Nonprofit Development

and Pluralism. (http://www.mosaica.org/intropl.pdf).

Resources